I am pleased to be assisting a well established Wealth Management Company in their search for a Compliance Monitoring Officer. The company are looking for a monitoring specialist to form an integral part of the compliance team.
The role will report directly into the Compliance Manager with some independent project work expected.
Experience of compliance monitoring will be a necessity alongside the below key areas of knowledge and experience:
- Minimum five years experience of compliance in general with ideally 2+ directly within compliance monitoring.
- Detailed experience of completing thematic reviews.
- Knowledge of CASS, suitability and COBS necessary with MiFID II being beneficial.
- Wealth or discretionary management background.
If you would like to discuss the role in further detail please contact me via firstname.lastname@example.org or 0203 800 1565.