Product Features
Blog
Contact Us
Sign In
Huntswood
,
Northampton, Northamptonshire
Compliance Monitoring Officer
|
|
Job Type: Full-time |
|---|---|
|
|
Salary: £38,000 per annum |
Overview
Compliance Monitoring Officer Huntswood are delighted to continue to support a successful well-established financial services firm with the appointment of a compliance monitoring officer to support their Compliance team. The business provides key regulated services across Lending, Wealth Management and Financial Planning. As Compliance Monitoring Officer your role will be to complete regular compliance monitoring engagements in accordance with the annual Compliance Monitoring Plan. Key responsibilities include: Complete regular compliance monitoring engagements in accordance with the annual Compliance Monitoring Plan to ensure that relevant internal policies and processes are conducted in accordance with regulatory requirements and are adhered to in full. Report and discuss all findings with appropriate management obtaining their responses to the findings made. Make recommendations for remedial action and process improvements and agree timescales and action owners. Document the findings, recommended actions and management responses together with agreed timescales and action owners, using the Regular Assurance Report template. Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Compliance Manager. Key requirements for the role: In order to be successful, you must have the following skill and experience. Experience of compliance within Financial Services. Understanding of FCA rules and regulations. Good communication skills Please send your CV to Huntswood for immediate consideration. This role is based in Northamptonshire.