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Job Specification

Compliance Monitoring Officer

£55K - £65K + Benefits & Bonus | West End
Ref: 3556J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our Client, a boutique Wealth Manager, is looking to recruit a Compliance Monitoring Officer to join their team with a primary focus on maintaining and driving the completion of the Compliance Monitoring Programme and managing various day to day business queries.  Reporting to the Head of Compliance, duties will include:

• Assist in developing and implementing an effective compliance culture throughout the Company
• Conducting risk based monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies
• Review and approval of financial promotions
• Contributing to the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement
• Keep up to day with industry knowledge and to ensure the appropriate competency levels are maintained
• Ad Hoc Projects

The ideal candidate should be degree educated with at least 5 years Compliance related experience (including some monitoring) from financial services with a strong technical knowledge of the FCA Handbook and relevant regulations.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com                                                          

 

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