Compliance Monitoring Manager
Leeds
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
- Support the development of the Compliance Monitoring Programme
- Identify potential compliance risks
- Produce verbal and written reports to propose recommended actions
Your Profile
- Financial Services background (investments/wealth management even better)
- 2nd line compliance monitoring experience
- Knowledge of FCA regulations and handbooks
If this snapshot piqued your interest, apply here for further details!