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.
Compliance Monitoring Officer will be responsible for carrying out second line monitoring of the company's adherence to regulatory requirements and conducting routine oversight over first line activities and third-party agencies.
Responsibilities
Setting up reviews and adhering to the Compliance Monitoring Methodology to demonstrate consistency and robustness when conducting monitoring activities.
Completing assigned monitoring reviews in line with the Compliance Monitoring Plan, including aspects of planning, fieldwork and report writing.
MERJE has collaborated with a leading Insurance Broker, and we are actively seeking a Compliance Monitoring Officer to join the Central Compliance team.
In this role, you will be responsible for:
Contributing to specific initiatives/projects that delve into metrics and data across the business
An exciting opportunity has arisen for an experienced compliance Manager/officer to join a growing wealth management practice who have offices all over the UK.
The role has come around due to some re-structuring in the company and the successful candidate will be working along side senior Directors in the firm.
QBE Europe is currently recruiting for a Head of Compliance Monitoring to join a well-established and successful compliance team in our London office.
In this role you will lead the respective part of the Compliance function to ensure the delivery of the department's strategic objectives, provide guidance and develop Compliance Manager (as appropriate) and their team and deputize for the Compliance Director as appropriate.
The successful candidate will execute a program of monitoring activities across systems, controls, and business conduct to ensure regulatory compliance.
MERJE, in collaboration with a prominent insurance brokerage, is seeking a Head of Compliance Monitoring.
This role involves developing and implementing a comprehensive monitoring framework to provide assurance to the Board and Senior Management Team.