MERJE are working with a well known Financial Planning/Wealth firm in their search for a Compliance Monitoring Officer. You will be responsible for:

• Undertaking second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business.
• Engaging with senior leaders across the business to understand their areas of concern and ensure that these are considered as part of the execution of monitoring.
• Designing & executing reviews as required under the Compliance Monitoring Programme in line with departmental procedures.
• Providing monthly report information on Compliance findings to enable Compliance Reporting.
• Monitoring trends across customer metrics, reviewing areas of concern
• Agreeing remedial action with management and track that action to completion, highlighting any delivery concerns and escalating where appropriate

You will have:

• Relevant Compliance Monitoring background, gained in either an IFA, Financial Planning, Wealth Management or Investment Management environment.
• Strong knowledge of the FCA Handbook, including COBS, DISP and COLL.
• Ability to collaborate and work well within an team
• Excellent verbal and written communication skills with associates of all levels
• Excellent organisation skills and attention to detail.