Compliance Monitoring Officer; Wealth Management

Compliance Monitoring Officer (Wealth Management)

What’s in it for you?

A predominantly remote role meaning you can work from home for the bulk of your time with occasional visits to offices across the South and South West.

The chance to join a rapidly growing wealth management firm. This growth is likely to create opportunities for your further career progression.

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.

This role is predominantly home-based although you will need to visit Company offices 3-4 times a month. These offices are located across the South and South West of England.

You’ll ideally be qualified to CII Level 4 and will have good wealth management experience along with a strong working knowledge of pensions and investments.

You’ll ideally have experience of performing Compliance Monitoring reviews and of writing reports for senior management as well as a good understanding of the regulatory environment, including COBS, DISP, COLL and Consumer Duty.

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.

Company:
Highly respected Wealth Management firm

Location:

England South West

Workplace:
Remote Working

Reference: 415239

To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to  quoting reference 415239.

Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB
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