c.£40,000 + Benefits
over 1 year ago
Our client is a well-respected financial services organisation looking for a Compliance Monitoring Officer to deliver high quality regulatory support and guidance in relation to client file reviews.
- Review client files in line with company procedures.
- Construct a professional and clear report on each file identifying areas where the firm can improve their regulatory behaviour;
- Build rapport with Business Consultants in order to forge good communication links and help provide a bespoke service.
- Maintain up-to-date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced
- Provide support to the Technical Services Partner as required
- Assist other Technical areas (Policy, Helpdesk) as required.
- Level 4 Diploma qualified at a minimum
- Sound knowledge of UK regulatory framework
- 3 years financial services industry experience, of which 1 year should involve regulatory experience in relation to client file reviews.