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
Compliance Monitoring Officer role available with a consultancy business that has a range of clients across the financial services market predominantly within wealth management dealing with IFA clients.
You will be conducting file reviews and providing feedback about any compliance issues identified as well as undertaking risk assessments of high level systems and controls.
Project work will include reviewing SMCR arrangements, T&C schemes, investment propositions, and relations with third parties.
To support the compliance manager and compliance officers, listening to calls, marking calls and delivering feedback to the teams both in the office and at home, discussing next steps of compliance fails.
At times, delivering training updates to team members, this role will mainly be focused on the call monitoring which will take up a large part of the day.
General
Our client, a growing business just outside of Bicester is seeking a Compliance Administrator to join them on a remote basis.