Compliance Monitoring Officer
Home Based
£40,000 - £45,000 per annum plus bonus and benefits
About the role:
My client is a national Wealth Management business and they are looking for a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and is paying a salary c£40k to £45k.The main purpose of the role is to provide a pre and post file reviews service to the clients of the business. The file reviews will mainly be for medium to large IFA firms.Duties will include:
* Carry out compliance checks to ensure the businesses controls are working effectively.
* Work closely with the Head of Regulatory Compliance and Risk to help deliver and update the national compliance monitoring plan, especially when new risks arise.
* Create and conduct in-depth reviews, aswell 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.
* Deliver outstanding service while meeting the highest regulatory standards.
Suitable candidate 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 regulatory framework required to ca...