Hot VacancyField Based Compliance Monitoring Officer – HOME BASED ROLE!! - Permanent


Contract Type:


Recruiter Name:
Darren Winter


Field Based Compliance Monitoring Officer – HOME BASED ROLE!!
To cover London and SE England 
Salary to £45K + £6K annual car allowance + benefits

Our client a growing financial services company, urgently seek a Field Based Compliance Monitoring Officer to join their compliance team on a permanent basis. 

You will mainly work independently and on-site across a number of clients. Travelling is an essential part of this role. 

Please only apply for this role if you have previous experience in a compliance / suitability client file checking across regulatory frameworks. 

Responsibilities of the Field Based Compliance Monitoring Officer will include: 

  • Maintain up to date and accurate knowledge of all regulatory and legislative areas. 
  • Creating reports, KPIs and development meeting notes for clients when required. 
  • Assessing client files for suitability in line with FCA requirements and client business standards. 
  • Handling compliance queries raised by clients. 
  • Carrying out compliance file review audits on clients. 
  • Providing feedback to clients in respect of compliance file reviews as required.

Successful Compliance Monitoring Officer will have: 

  • Strong knowledge of regulatory frameworks.
  • Previous experience in a compliance/technical area. 
  • Proficient Microsoft Office and Excel skills.  
  • Solid understanding of the complaints process.
  • Full UK drivers licence 

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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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