Compliance Monitoring Officer
4 weeks ago
My client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.
About the RoleThe main purpose of this role is to provide pre and post-file reviews to ensure the business's controls are working effectively. You will work closely with the Head of Regulatory Compliance and Risk to deliver and update the national compliance monitoring plan.
Key Responsibilities- Carry out compliance checks to ensure the business's controls are working effectively.
- Work closely with the Head of Regulatory Compliance and Risk to deliver and update the national compliance monitoring plan.
- Create and conduct in-depth reviews, as well as custom investigations if there is a breach of company procedures and FCA regulations.
- Prepare reports for the Head of Regulatory Compliance and Risk to review and approve.
To be successful in this role, you will need:
- A QCF Level 4 Diploma qualification.
- Experience in a compliance monitoring/technical area of a support service within an IFA business.
- Detailed knowledge of the regulatory framework required to carry out client file reviews.
- Experience of providing feedback to IFAs in relation to client file quality or T&C issues.
- Excellent communication skills, both verbal and written, for internal and external clients.
As a Compliance Monitoring Officer, you will enjoy:
- Remote working.
- A competitive salary.
- 25 days' holiday, plus birthday leave (plus bank holidays).
- 5% employer pension contribution.
- Private Medical Insurance.
- Death in Service benefit.
- Plus additional benefits.
If you are interested in this role, please send your CV to Stuart at Reward Recruitment Limited or contact him on 07774782934.
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Compliance Monitoring Officer
3 weeks ago
Stratford-upon-Avon, Warwickshire, United Kingdom Reward Recruitment Full timeCompliance Monitoring OfficerMy client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.The main purpose of this role is to provide pre and post-file reviews to ensure the business's controls are...
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Compliance Monitoring Officer
3 weeks ago
Stratford-upon-Avon, Warwickshire, United Kingdom Reward Recruitment Full timeCompliance Monitoring OfficerMy client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.The main purpose of this role is to provide pre and post-file reviews to ensure the business's controls are...
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