Compliance Monitoring Officer - Surrey

Recruiter
BCT Resourcing
Location
Guildford, Surrey
Salary
£30,000 - £40,000 per annum
Posted
23 Aug 2017
Expires
21 Sep 2017
Ref
1455819
Contract Type
Permanent
Hours
Full Time
Compliance Monitoring Officer
On offer is a competitive salary + car allowance + package.

Client is a leading Financial Services business in Surrey for a Compliance Monitoring Officer. The role is field based and the role holder will be responsible to assist the Head of Compliance in fulfilling all regulatory compliance requirements are appropriately monitored and reported. The successful candidate can be based from home with travel to different locations.

Principal activities will be as follows:

* Assist in the management of the Producer Compliance Monitoring Programme. The role focus Producers meeting regulatory requirements.
* Assist the Head of Compliance to produce, implement and agree strategic plans for the compliance function.
* Build strong relationships with the Sales team to ensure liaison throughout producer monitoring.
* Report compliance information every month to enable compliance reporting.
* Monitor trends across Producer metrics.
* Monitor breaches and manage the resolution of potential and actual High Profile events.
* Monitor outside developments in the wider financial services sector and the compliance industry.

Successful candidates will have 1/2 years experience working in a Compliance Monitoring environment and must have Financial Services experience.

Keywords: "compliance" OR "monitoring"

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