Compliance Monitoring Officer (Field based) - Permanent

VACANCY OVERVIEW

Contract Type:
Permanent

Salary:
£45,000 - £45,000

Recruiter Name:
Darren Winter

Reference:
DW13019

Compliance Monitoring Officer (Field based)
South East England (Across Kent / East or West Sussex / Surrey)
Permanent
Up to £45,000 + benefits + £500 a month car allowance

cer Financial are excited to be working with a Business Consultancy based across Kent, East or West Sussex, Surrey and London, who are looking for a Compliance Monitoring Officer to join their team and to progress within the company. This company works closely with IFA’s and you would be expected to monitor and review files, offering best regulatory advice when required.
 

The successful Compliance Monitoring Officer (Field based) responsibilities include:

  • Give verbal feedback to clients in respect of compliance file reviews as required
  • Preserve a CPD record in line with FCA necessities for regulated individuals
  • Create reports and summaries of thematic reviews/file assessments as desired by the Head of Compliance
  • Evaluate client files for appropriateness in line with FCA requirements and client’s business standards
  • Respond to compliance inquiries raised by clients or source an answer from another area  of the business
  • Accept project work in relation to thematic reviews and other compliance matters when required
  • Undertake compliance file review audits on clients from the offices, at clients premises or any other site to be agreed (reliant on on whether internally or externally based)
  • Produce reports, KPIs and Development Meeting Notes for clients when requested

The successful Compliance Monitoring Officer (Field based) skills are:

  • Involvement in a compliance/technical area of a support service, network or IFA corporate.
  • Thorough acquaintance of regulatory framework required to carry out client file evaluation and the complaints procedure
  • At least Level 4 qualified with a wish to progress with technical qualifications
  • MUST have a full driving licence
  • Practice of giving feedback to IFAs relative to client file quality or T&C topics
  • Further qualifications such as CF8, ER1, Cemap would be desirable
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CONSULTANT PROFILE


Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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