Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company's QA programme that safeguards the quality in our dealings with customers.
You will feedback findings in a positive and constructive manner to the advice team.
Posted by Broadgate Search Ltd • £40K/yr to £50K/yr
General
Compliance Monitoring Manager
This position will assume responsibility for the company operating within all FCA, regulatory requirements, as well as internal policy; the business is a very well-established name in the Investments sector, known for their bespoke offerings within the pensions and financial advisory space.
The Role
Regularly review compliance policy and procedure for the business.
We Are TransUnion: TransUnion is a major credit reference agency, and we offer specialist services in fraud, identity and risk management, automated decisioning and demographics.
We support organisations across a variety of sectors including finance, retail, telecommunications, utilities, gaming, government and insurance.
Fantastic opportunity for an Auditor to join a long-established, independent firm of Chartered Accountants based in Leeds City Centre.
You will have the opportunity to work with a range of clients, keeping your work varied and interesting, whilst encouraging you to progress within the firm.
This firm takes a modern approach to their work style, with 'dress for your day', flexible working, and early finish Friday's being the norm.