Compliance Monitoring Officer – Greater Manchester

CRS (Compliance Resource Solutions)
Published
June 21, 2018
Job Type
Secondary Category
Banking - Compliance
Min. Experience
1- 2 years
Min. Qualifications
Vocational
Salary
£38k - £40k + Excellent Benefits Package!
Willing to Relocate
Yes

Description

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.

Responsibilities:

- 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)

- CeMAP

- Recent experience in a similar role.

Excellent Salary & Benefits Package Available!

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