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Compliance Monitoring Officer

£30,000 - £35,000

Due to continued growth, we are recruiting for a Compliance Monitoring Officer to join this successful financial services organisation. You will be a focal point of the business, ensuring processes are adhered to and reports are completed on time. Experience of working in a FCA regulated environment is desirable. Working with the Director, ensuring policies are followed and complaints handled within company guidelines.

Key Responsibilities

  • File and call monitoring in accordance with annual Compliance Monitoring Plan
  • Preparing compliance monitoring audit reports for the Executive team
  • Collation and updating of the compliance/conduct related management information
  • Assisting the Director of Compliance in reviewing and updating policies, procedures and point of sales material
  • Acting as the firm’s Complaints Officer to deal with customer complaints in consultation with the Director of Compliance
  • Document library maintenance
  • Administration of staff training and liaising with a variety of teams
  • Third party due diligence checks
  • Maintaining all compliance logs/ registers

We are particularly looking for candidates who are keen to take the next step in their career within financial services and have a real interest in compliance. You may come from a processing/back office role, reviewing files and documentation or already be working in compliance but looking for further development. You will have excellent attention to detail, high level communication and reporting skills. Call us or apply today!

The successful candidate will undergo screening including DBS and credit checks by the company.

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