Our extensive in-house processing portfolio in combination with our expertise enables us to deliver cost efficient metal solutions and high-quality steel products.
We are renowned for supplying a diverse range of ferrous and non-ferrous products.
ASD is one of the leading metal stockholders and processing suppliers in the UK.
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.
Preferably, you'll have a minimum of three years of compliance experience in the legal sector.
Our esteemed Legal 500 and Chambers & Partners ranked client, is in search of a Legal Compliance Manager on a full-time permanent basis.
You will demonstrate strong problem-solving and analytical abilities, as well as excellent communication, conflict resolution skills, and attention to detail.
Posted by Broadgate Search Ltd • £40K/yr to £50K/yr
General
Compliance Monitoring Manager
This position will assume responsibility for the company operating within all FCA, regulatory requirements, as well as internal policy; the business is a very well-established name in the Investments sector, known for their bespoke offerings within the pensions and financial advisory space.
The Role
Regularly review compliance policy and procedure for the business.