As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Role Responsibilities
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.
The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with the clients.
The role of the Compliance Monitoring Officer is to provide a file review service to the clients.
The file reviews will mainly be for medium to large financial services businesses.
Kennedys is looking for a legal file auditor to join our Risk & Compliance department who provide expert information, advice, and guidance to the Firm on professional responsibility, risk, and compliance issues.
The role sits within the Quality and Audit Risk team.
Looking to recruit in either of the following offices: Birmingham, Bristol, Cambridge, Chelmsford, Leeds, Manchester, Newcastle and Sheffield.
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About the Role
This role is offering the opportunity to work with a diverse portfolio of clients and gain exposure to various industries.