Compliance File Reviewer
The role of the Compliance Monitoring Officer is to carry out client file reviews in line with agreed contracts. Although some reviews will be individual cases and of an adhoc basis it is expected that you will also carry out additional remote review days as the schedule requires.
The role will involve:
- 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.
- Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6
- Minimum of 2 years working within a compliance monitoring role.
More searches like this
- Compliance Compliance Monitoring Manager Officer jobs in Manchester
- Private Banking / Wealth Management Compliance Monitoring Manager Officer jobs in Manchester
- Regulation Compliance Monitoring Manager Officer jobs in Manchester
- Banking Compliance Monitoring Manager Officer jobs in Manchester
- Life & Pension Compliance Monitoring Manager Officer jobs in Manchester