Compliance Monitoring Officer role available with a consultancy business that has a range of clients across the financial services market predominantly within wealth management dealing with IFA clients.
You will be conducting file reviews and providing feedback about any compliance issues identified as well as undertaking risk assessments of high level systems and controls. Project work will include reviewing SMCR arrangements, T&C schemes, investment propositions, and relations with third parties.
Key responsibilities:
Skills and experience required:
On offer:
If you are currently working as a Compliance Monitoring Office conducting file reviews for IFAs, and would like more information, apply online for immediate consideration.