Compliance Monitoring Officer
Job Description: Our client is a well-respected financial services organisation looking for a Compliance Monitoring Officer. Reporting to the Head of Compliance the Compliance Monitoring Officer will carry out client file reviews in line with agreed contracts.
- To understand and apply firm specific client file review requirements to client file reviews completed, where necessary these firm specific sheets should be updated.
- To undertake client file reviews for clients from the company office, on occasion it may be appropriate that these are carried out at the client’s premises or any other location to be agreed as needed by the business.
- To produce file review assessment sheets and reports in line with the company Compliance File Review Consistency programme, whilst meeting the requirements of the quality assessment programme.
- To act with professionalism at all times when dealing with clients and colleagues.
- To advise the company of any assistance required in order to meet the objectives, KPI and key requirements of the role.
- Be adaptable to the development of the role
- To follow the company staff handbook and internal compliance and T&C procedures.
- Minimum of QCF Level 4 Diploma qualification and ideally AF3/G60 qualified
- Minimum of 2 years working within a compliance monitoring role.
- Excellent interpersonal skills and be able to self-motivate and also be a team player