Compliance Monitoring Officer

·
Full time
Location: Waterlooville
·
Job offered by: MERJE
·
Category:
Our client, a leading financial planning and wealth management firm, is looking for a Compliance Monitoring Officer to join the function on a permanent basis.

As Compliance Monitoring Officer, you will be responsible for undertaking the risk-based second line monitoring function.

Role Responsibilities:

To undertake second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business. To assist the Head of Regulatory Compliance & Risk in the delivery of the annual routine compliance monitoring plan. To assist the Head of Regulatory Compliance & Risk in reprioritising the plan each quarter based on emerging risks in the business. Assist in the design of the thematic reviews as required. Assist in the design of discovery reviews as required. To undertake routine, discovery and thematic reviews as required and produce draft reports for the approval of the Head of Regulatory Compliance & Risk. To undertake bespoke investigations where risk indicators indicate a significant breach of company procedure or FCA rules. Stay up to date on Consumer Duty training and regulations as they pertain to financial planning operations and administration. Under manager supervision, consider client needs, treat them fairly, and act in their best interests when executing administrative tasks related to client assets, reporting, and queries. Identify any issues relating to poor client outcomes or foreseeable harm to your manager. Key Skills & Experience:

At least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business. Confident and influential presentation skills, both internally and externally. Excellent organisation skills, with ability to work to tight deadlines and manage multiple tasks. Good understanding of financial planning markets. Good knowledge of UK regulation. Extensive and up to date technical knowledge of the financial planning process through appropriate industry exams and CPD, including products, funds, pensions, markets, appropriate financial instruments, the required regulatory standards and their relevance to private clients. Up to date with key developments, industry/market changes and regulations. Well-developed and effective communicator both verbally and in writing, exhibiting good questioning and listening skills, including excellent report writing skills. Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities. If you would like this job advertisement in an alternative format, please contact MERJE directly.

#J-18808-Ljbffr

Recent Jobs

London (On site) · Full time

Are you a smart, driven professional who takes pride in making a difference in local communities? Turner & Townsend’s Real Estate division is experiencing significant growth and we’re looking for an experienced industry professional with health project experience to join our high-performing and collaborative Project Management team. Why Join Us? Impactful Work: Contribute to social [...]Read More... from Assistant Project Manager – Healthcare See details

Chasetown (On site) · Full time

My client, Autosmart International are a manufacturing success story! Site Operations Manager – leading fast-paced manufacturing and warehousing About Our Client Autosmart International is a manufacturing success story, leading the field in vehicle cleaning products. We are the No.1 choice of automotive trade customers across the UK. We have doubled in size in the last [...]Read More... from Site Operations Manager See details

London (On site) · Full time

CSS are looking for an experienced duty officer to join our client’s team who are a local council responsible for all areas within the Tendering district. Working hours: All shifts are 8 hours long with various start times available: Monday to Friday – start times between 6AM – 3PM Saturday & Sunday – 6AM – [...]Read More... from Duty Officer See details