This is a fantastic opportunity for someone wishing to join an exciting wealth management group focused on providing top-quality financial advice and wealth management services to retail and professional clients.
Our client is a national wealth management firm who are looking for an experienced Training and Competence Manager.
The role will involve taking responsibility for the following
Reviewing third-party audit reports (client file reviews) and analysing the findings.
Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
Key Responsibilities
The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.