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Job Specification

Compliance Monitoring Officer

£50K - £60K + Benefits & Bonus | West End
Ref: 3712R

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 3 years Compliance 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 David Crook on 020 7330 6963 or send your details to him at                                                          

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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