Compliance Monitoring Officer - Financial Services Group
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.
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
Proven track record of field based Adviser or Compliance within a financial services environment
Minimum QCF Level 4 Qualified
Robust understanding of pensions & Investments