Compliance Monitoring Officer
|Date posted:||08 May, 2018|
|Salary:||£30000-£35000 + Bens|
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.