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Oval Recruit Ltd
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Horsham, West Sussex
Compliance Monitoring Officer Investment / Financial Services
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Salary: From £32,500 to £40,000 per annum |
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Overview
Compliance Monitoring Officer – Investment / Financial Services Horsham - £40,000 Package We are working closely with a large expanding Financial Services Group whose entrepreneurial approach to the market and the use of technology within Financial Services has led to award winning industry recognition. On the back of the development of a successful Investment Platform, IFA Business, Financial Services Technology provider and Network Business they are now looking for an experienced Compliance Monitoring Manager to supervise their systems and controls for the Investment Platform. Specifics of the role will include – · Review the platforms systems and controls, provide guidance and advice helping the firm deliver on regulatory requirements. · Develop the Compliance Monitoring Plan and work closely with the Compliance Manager · Review internal standards and take on regular FCA regulation monitoring review. Provide feedback to Senior Management and the Compliance Manager. · Provide comprehensive reports evaluating weaknesses, making recommendations and action plans. · Report on action plans, provide guidance to management and implement further improvements if required. · Run compliance testing and provide extensive fact finds, reports and conclusions for review. · Maintain CPD records ensuring skills and knowledge to perform in roles are maintained and developed. · Help manage other compliance members with monitoring requirements and activities. · Take on ad-hoc compliance projects and help the compliance function grow in line with company development and expansion. To apply for the position, you must have Compliance Monitoring experience gained in a Financial Services environment, specific Investment Platform or retail Investment knowledge would be advantageous. You must be able to forge good relationships with senior operational colleagues and have the communication skills required to deliver in this type of role. This is a good opportunity to join a well-regarded business at a time of expansion and development. With a strong entrepreneurial ethos, the company is always looking to move forward and create new market opportunities making it an exciting and interesting place of work. For more information please contact Richard Garbett. This job was originally posted as www.totaljobs.com/job/89763921