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.
My client an established highly reputable stockbrokers are seeking a Compliance Monitoring Analyst.
The role is to ensure the continious designing and delivering a compliance monitoring programme to provide assurance to the business in relation to regulatory compliance and conduct risk, aswell as ensuring fair and consistent outcomes for customers.
General
Compliance Monitoring Analyst / Stockbrokers / Hybrid / Tunbridge Wells / Up to £80,000 bonus
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.