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.
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.
My client is currently looking for a IFA Compliance Monitoring Officer to join their growing Compliance Function.
The ideal candidate will work remotely.
Key Accountabilities Include
Monitoring - Perform file reviews and compliance monitoring on all aspects of the FCA regulated activities within the group, assessing compliance with regulations, standards and outcomes.
Are you a compliance specialist with experience in audit/monitoring within a regulated organisation?
Do you have sound knowledge of FCA or other international regulatory bodies?
A bit about us
At BNP Paribas Personal Finance, we are part of a global bank and are proud to be a Top Employer UK, providing a great place to work in an open and inclusive environment.