Compliance Monitoring Officer - Financial Services Group

SLM Search & Selection
16 Apr 2017
16 May 2017
Contract Type
Full Time

SLM Search and Selection are currently working on behalf of a diverse and entrepreneurial financial services organisation that offers Investment Management and wealth management services.

Based in Nottingham they are looking for a capable Compliance Manager with good all round pensions and Investment knowledge to join their organisation to oversee their relationship with the FCA whilst keeping abreast of best industry practice.

Key Responsibilities:

Assist in the design, implementation and periodic review of the company's compliance procedures

Contribute to the production and implementation of compliance plans and compliance monitoring programmes

Assess, prioritise and document the major risks impacting the company on a quarterly basis such as TCF, industry operational and financial and regulatory risks

Investigate any significant issues of concern and report as appropriate

Ensure that the compliance database and directly is accurate and up to date

Educate staff on the policies, procedures and regulations that impact the business

Key Experience:

Proven track record of field based Adviser or Compliance within a financial services environment

Minimum QCF Level 4 Qualified

Robust understanding of pensions & Investments