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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 carry out client file review.
Experience of providing feedback to IFAs in relation to client file quality or T&C issues.
Excellent communication skills verbal and written formats - 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
How to apply:
Please send your CV to Stuart at Reward Recruitment Limited or contact him on 0 7 7 4 7 7 8 2 9 3 4.
