Compliance Monitoring Officer

3 weeks ago

StratforduponAvon, Warwickshire, United Kingdom Reward Recruitment Full time
Compliance Monitoring Officer

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.

The 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 include:

  • Carrying out compliance checks to ensure the business's controls are working effectively.
  • Creating and conducting in-depth reviews, as well as custom investigations if there is a breach of company procedures and FCA regulations.
  • Preparing reports for the Head of Regulatory Compliance and Risk to review and approve.
  • Delivering outstanding service while meeting the highest regulatory standards.

Suitable candidates will have:

  • 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.
  • Attention to detail is a must.

What they offer in return:

  • 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.

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