Compliance Monitoring Officer

London  ‐ Onsite
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Keywords

Description

My Client who are a leading Investment/Wealth Management company in central london are looking for an interim Compliance Monitoring Officer.

Main Duties:

  • Undertake monitoring reviews of business to ensure compliance with FCA's COB rules and other regulatory requirements. Prepare and deliver written execption reports of findings.
  • Undertake client file reviews in assigned location/s against in-house policy and regulatory requirements and prepare and deliver written exception reports of findings.
  • Undertake ad hoc and other themed/desk reviews of Investment/Wealth business.

Experience:

  • 3+ years of relevant experience.

If you are immediately available and interested in this position, please send your updated CV or call.

Start date
ASAP
Duration
6 months
From
GCS
Published at
01.08.2014
Project ID:
751533
Contract type
Freelance
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