I am keen to speak with Solicitors with ideally 3-5 PQE from a Business Crime and Regulatory background who have experience in a wide range of regulatory investigations, prosecutions and civil proceedings, ideally from a well-recognised practice.
This is an excellent opportunity to gain exposure to a broad range of interesting Business Crime and Regulatory cases, as part of a friendly and supportive team.
This role has great potential for development and progression for an individual looking to solidify their technical ability and gain further grounding in Insured Regulatory.
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.