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.