Our Client is well known throughout Financial Services and IFA Industry. They are now looking to meet with an Experienced Compliance Monitoring Officer.
Purpose of the role:
To effectively deliver excellent feedback and guidance to individual advisers through individual file reviews.
- Review client files, including complex cases, to a high standard and prepare detailed and coherent reports and present appropriate remedial action necessary to comply with FCA Rules & TCF Principles and in doing so provide compliance services to best market standards.
- Actively manage the file review relationship with advisers to ensure excellent customer service.
Experience, Skills & Qualifications Required:
- Detailed and wide ranging knowledge of the FCA Rules and Principles with a sound technical knowledge
- Good background knowledge of FCA Conduct of Business and advice process requirements.
- Good knowledge of financial services markets, compliance processes and structures.
- Diploma in Financial Planning (or equiv)
- Certificate in Financial Planning (or equiv)
- Recent experience in a similar role.
Excellent Salary & Benefits Package Available!