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Job Specification

Field Monitoring Officer – AR or Branch Audit/Monitoring experience required

£37K + £6K Car + Bens & Bonus | North West + Travel
Ref: 3530R

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

 
 

Our client, a leading retail financial services firm, seeks an experienced Field Monitoring Officer (or similar) for a responsible role. Duties include;

 

·                     Oversight of Appointed Representatives (business and individuals) for all FCA authorised entities

·                     Monitor the quality of AR visits and feedback results, including and recommendations, to Field Managers, Compliance Business Partners and APER’s as appropriate

·                     Monitor several visits on a monthly/weekly basis to meet client audit requirements and FCA regulatory requirements

·                     Recommend improvements to the overall visit quality across the Appointed Representative workforce

·                     Prepare appropriate MI for reporting purposes and attend Regulated Business Review to present results to the Controlled Functions

 

You should have experience of carrying out similar AR or Branch audit/monitoring programmes for a regulated UK Financial Services firm and be willing to learn new areas if no previous knowledge e.g. CONC.

 

For a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at Dcrook@compliancerecruitment.com

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

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