Field Monitoring Officer – Agent/ARs/Branch experience (any products) required
Our client, a leading retail financial services firms, seeks an experienced Field Monitoring Officer (or similar) for a responsible role. Duties include;
- Carrying out compliance reviews of all agents
- Assist the Head of Compliance produce, agree, implement and review strategic and business plans for the Compliance function in order to contribute to the overall compliant operations of the firm.
- Provide monthly report information on Compliance to enable Compliance Reporting.
- To ensure that, where possible, internal standards and deadlines are met in relation to compliance monitoring and reporting.
- Maintain close contact with senior management, provide input to regulatory policies, discuss any compliance breaches/ remedial action and provide advice as required, in order to promote a culture of compliance and to identify the optimum course of action in all cases.
- Provide input and analysis into policies, papers and strategy.
- Agree remedial action with management and track that action to completion, highlighting any delivery concerns with the Head of Compliance and escalating to the relevant Executive Committee & SLT members where appropriate;
No specific product knowledge or qualifications required however you must be self motivated with previous experience of monitoring agents, Appointed Reps or branches (probably gained from an insurance firm) and a broad knowledge of the FCA Handbook. NB Head office is based Surrey and visits will be between there and the North so you must be a car driver and likely to be based between London/M4 Corridor and the M62.
For a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or send your details to him at David@compliancerecruitment.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge