The Compliance Monitoring Officer plays a vital role within the organisation, providing a key point of contact for policy owners, stakeholders, and members of the Senior Management Team. The role holder will ensure that all key tasks as detailed in the Compliance Monitoring Plan are completed diligently, impartially and in a timely fashion.
Key responsibilities include:
• The Compliance Monitoring Officer will assist both the Compliance Director and Manager in completing periodic Horizon Risk Scanning.
• It is a pre-requisite that the post holder ensures that the highest possible standard of service is provided to the company’s Senior Management Team, Policy Holders and Affinity / Introducer Relationships at all times. Furthermore, he/she will undertake continually review the company’s Compliance Monitoring Programme in accordance with the businesses on-going risk appetite and operational procedures so as to ensure that they both meet regulatory expectations and customer expectations.
• The Compliance Monitoring Officer will liaise / work closely with the company’s Senior Management Team, policy holders and the wider business so as to ensure that appropriate action is taken to improve and enhance the businesses customer proposition and manage both clients and introducers expectations accordingly.
• The Compliance Monitoring Officer will support both the Compliance Director and Manager in any thematic risk reviews as required from time to time.
• The Compliance Monitoring Officer will assist the Compliance Manager in marinating the company’s financial promotions register / log and undertake any document reviews that are required from time to time.
• Participation in the Complaints Handling Process, ensuring all complaints are dealt with in accordance with the companies’ Complaints Handling policies, FCA regulations
• Experience in a similar (compliance/audit) role gained within the Financial Services Industry, preferably in the Financial Adviser sector.
• Detailed knowledge of the FCA handbook
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.