Job Description
Compliance Monitoring Officer – Investment Management
What’s in it for you?
There’s loads of flexibility to work from home with just 1 day a week in the office required. The firm has offices in Bath, London, Salisbury and Tiverton, so choose whichever one works best for you.
This is a newly created role, and you’ll have plenty of scope to really make it your own.
The business is growing and there are genuine opportunities for career progression.
And you’ll get to learn from a very highly respected Head of Compliance as well!
What you’ll be doing
You’ll undertake 2nd LoD Compliance Monitoring for review of the effectiveness of the Compliance controls in place across the business.
You’ll design and execute reviews as required under the Compliance Monitoring Plan in line with departmental procedures.
You’ll ensure reviews occur across the whole customer journey and analyse company actions in th...