Compliance Monitoring Officer; Investment Management

Location:
Tiverton – Hybrid (1 day per week in the office)

There’s loads of flexibility to work from home with just 1 day a week in the office required.

This is a newly created role, and you’ll have plenty of scope to really make it your own.

The business is growing and there are genuine opportunities for career progression.

And you’ll get to learn from a very highly respected Head of Compliance as well!

You’ll undertake 2nd LoD Compliance Monitoring for review of the effectiveness of the Compliance controls in place across the business.

You’ll design and execute reviews as required under the Compliance Monitoring Plan in line with departmental procedures.

You’ll ensure reviews occur across the whole customer journey and analyse company actions in the ‘eyes of the customer’, whilst maintaining a commercial focus.

You’ll also engage with senior leaders to understand their areas of concern and ensure these are considered as part of the execution of monitoring.

You’ll produce high quality reports arising from scheduled or ad hoc customer testing / sampling that succinctly prioritise important issues and your recommendations.

You’ll be an experienced Compliance professional with good Investment Management experience and strong working knowledge of the regulatory landscape impact retail Investment Managers (including Consumer Duty).

You’ll ideally have experience of performing Compliance Monitoring reviews and of writing reports for senior management, although strong candidates looking to move into Compliance Monitoring from other areas of Regulatory Compliance will also be considered.

If so, click apply and send over your CV.

Not got an up to date CV?

Don’t worry, you can always give me (Mark) a call on  for a confidential discussion or email me at mar letting me know that you’re interested. We’ll pick it up from there.