The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.
General
Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
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.
Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company's QA programme that safeguards the quality in our dealings with customers.
You will feedback findings in a positive and constructive manner to the advice team.
Posted by CooperGrey Recruitment Ltd • £35K/yr to £40K/yr
The role
Compliance Officer is the point of contact for the business to provide support on all compliance matters including regulatory developments, regulatory change projects, financial promotions & delivery of Compliance Monitoring Plan.
The role of Compliance Officer reports to Head of Compliance.
A successful financial services business focused on supporting customers for the past 30 years with excellent customer service is now seeking to appoint a Compliance Officer.
Our client, a highly successful Investment Management firm, are looking for a Compliance Officer to join the business.
This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all the firm's departments.
The Compliance function delivers independent oversight and assurance, as well as advice in relation to FCA regulation and the effective design and operation of the control environment of the firm.
MERJE is seeking a highly skilled Compliance Monitoring Officer to join a prestigious private bank.
This role offers an exciting opportunity to contribute to the firm's compliance monitoring programme, ensuring regulatory and legal obligations are met.
This leading private bank specialises in wealth management, serving clients and their families across 50 European and UK locations.
Our client, a well-established Insurance Managing General Underwriter, are looking to recruit a Compliance Officer to support the Company Secretary in managing corporate governance including SMCR, making company filings, preparing agendas and collating materials for Board and sub-committee meetings.
You will be responsible for minute-taking and following up any open actions, as required as well as assisting with the monitoring of risks within the risk register, reporting risk incidents, assessing the operation of stated control environments to manage and mitigate risks and preparing the necessary management information and reporting of risk KPIs to the Board.
Candidates must have experience working in a regulated firm's risk and/or compliance environment, preferably Insurance, as well as a good understanding of the FCA GI regulatory environment.