Compliance Monitoring Officer

3 weeks ago


Liverpool, United Kingdom Recruit UK Full time

**Job Title: Compliance Monitoring Officer**

**Industry: Financial Services**

**Location: Liverpool**

**Salary: £40,000**

**Job Ref: 7366**

**Job Description:Compliance Monitoring Officer**

Recruit UK are working on an excellent opportunity for a Compliance Monitoring Officer to join a well-established UK Wealth Management firm in Liverpool.

This is a leading UK company, offering full holistic financial planning advice and excellent private client advice services.

**Role:Compliance Monitoring Officer**

To act as Compliance Monitoring Officer providing both compliance monitoring and assurance support, focused on the financial planning business within the Group.

To supportin the delivery of the annual Compliance Monitoring Plan by completing thematic and focused monitoring reviews. Achieved by testing key business processes and controls to determine whether they comply with applicable regulations and legislation.

Embedding and promoting a strong compliance culture across the business through effectively engaging with key business stakeholders in respect of their regulatory obligations.

**What’s in it for you: Compliance Monitoring Officer**
- Competitive Salary £40k+
- Discretionary Bonus
- Office based - Liverpool (Hybrid home working considered)
- Benefits - Pension, PMI, Life Cover, Income Protection
- Comprehensive Well Being Benefits Package
- Competitive holiday allowance
- Study support

**Skills and experience required: Compliance Monitoring Officer**

**Essential**:

- Previous experience working in a Compliance Function
- IT literate with a good working knowledge of Microsoft Office programmes

**Ideally**:

- Level 4 Advice Qualifications
- Accuracy and numeracy skills with experience in report writing
- Working knowledge of CRMs
- Working knowledge of the wealth management industry


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