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Compliance Monitoring Officer

  • Location: Leeds
  • Salary: c. £30,000 to £35,000 plus benefits per year
  • Job Type:Permanent

Posted 12 months ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Contact Email:
  • Expiry Date: 12 September 2020
  • Job Ref: PC/16672(a)

Our client is a leading financial services business who are currently recruiting in the firms Compliance function and looking for a Compliance Monitoring Officer. The role will be responsible for ensuring that the business fulfils the FCA’s requirements and meets all relevant regulations.

Key Responsibilities:

  • Monitor business risks in accordance with regulatory requirements and internal procedures, both desk and potentially field based. Assist with tasks in relation to the Compliance Plan
  • Review customer complaints where required, to complete MI, contribute to Root Cause Analysis, and to submit regulatory reports
  • Monitor specific managed portfolio issues and assessment of suitability
  • Review and monitor work relation to daily queries, based primarily on Compliance duties
  • Review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance
  • Monitor Training & Competence arrangements throughout Head Office and Branches
  • Maintain a working knowledge of the FCA Conduct of Business rules, APER and T&C framework and implications for the business
  • Report any risks which may be detrimental to clients or the business which may arise

Key Requirements: 

  • Ideally possess or working towards a qualification in Wealth Management (Diploma Level 4) or in Investment Management
  • Experience of advice checking / file review
  • Financial Services experience
  • Compliance experience with good monitoring skills