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Compliance Monitoring Officer

Date posted: 08 May, 2018
Ref: Ref:cl080518
Industry: Compliance
Salary: £30000-£35000 + Bens
Location: Leicester
Contract Type: Permanent
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Further Information

My client is a growing Financial Services provider based in the East Midlands. To the continued success of the business and subsequent expansion of Compliance they are currently recruiting for a Compliance Monitoring Officer. 

Reporting to the Compliance Manager, you key responsibilities will include;
  • Assist in the preparation of the Compliance Monitoring Plan 
  • Support the delivery of the Compliance Monitoring Plan
  • Liaise closely with the Compliance Monitoring Manager and with the Risk and Internal Audit functions 
  • Support the identification of trends and root causes in all breaches and shortcomings identified during compliance monitoring 
  • Assist in the review and approval of key financial promotions and client communications 
  • Support the continual development and enhancement of 2ndline compliance oversight processes and procedures
  • Deputise for the Compliance Manager
You will be a Compliance professional with a minimum of 12 months experience working for a Financial Services provider. Banking experience is desirable although not essential. My client offers a competitive salary and benefits package and excellent scope to progress within the business. 

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