Job Title:	Compliance Monitoring Assistant
Reference:	10748
Salary:	£20,000 - £23,000 per annum
Location(s):	Tyne and Wear
Industry(s):	Financial Services
Advertiser:	Mackenzie Scott
Employment Type:	Permanent
Posted:	06-08-2009

Description:

Company Overview:

Large IFA are looking to recruit an additional Compliance Assistant to work in the Monitoring Team.

Role & Principal Accountabilities:

Undertake desk based reviews and risk based monitoring.
Analyse areas of weakness and improvement.
Produce management information to highlight concerns and trends.
Assist with Training for both established and new entrant advisors.
Undertake comprehensive desk based reviews to ensure adherence to TCF.
Keep up-to-date with new legislation and regulatory requirements.

Skills & Experience required:

Previous Compliance Experience within Retail Financial Services.
Full FPC and CeMAP or equivalent required.
Knowledge of regulatory regime and current industry best practice.