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.
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 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