Flexible Work, Better Balance
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Role Responsibilities:
Assisting the Compliance Director in ensuring the appropriateness of the Company’s overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company’s business plan.
Participating in the delivery of the Company’s File Review Programme including all aspects of the work implicit in that Programme including but not limited to Client Onboarding, Communication, and ensuring the Suitability of Pension T...