Job Information

Working in partnership with a company who provide compliance and risk support, they are looking for a Field Based File Monitoring Officer to come on board in the London area.

This role involves travel to different firms across South London and Central London you will also work from home for days you are not visiting firms.

There are offices that can be used in London, however this role is predominantly working from home.

As a Field Based Compliance Monitoring Officer you will provide a file review service to the firms. The file reviews will mainly be for medium to large financial services businesses. The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with firms.

In return you will receive a salary of up to £45,000 (Although negotiable dependent upon experience).

** LEVEL 4 DIPLOMA IN FINANCIAL PLANNING IS ESSENTIAL **

AF7, G60 or AF3 desirable but not essential.

Duties include:

• Undertake compliance file review audits on clients, at clients premises or any other location to be agreed (dependent on whether internally or externally based)
• Deliver suitability assessments on client files in line with Service Level Agreements
• Generate reports, KPIs and Development Meeting Notes for clients as required
• Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards
• Provide oral feedback to clients in respect of compliance file reviews as required
• Maintain a CPD record in line with FCA requirements for regulated individuals
• Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance
• Maintain the company`s reputation as knowledgeable and professional in relation to compliance issues

The successful candidate must have proven experience in a similar role within/for IFA and Wealth Management firms.

For further information please search `Cameron James Professional Recruitment`, visit our website and contact Rebecca Hunt For further information please contact me on, email Rebecca.hunt@cameron-james.co.uk or 0161 638 8627