Compliance Officer - COBS

Posted 3 days ago by MERJE Ltd Easy Apply

Our Client

An opportunity to work for one of the biggest Financial and Professional Services firms - operating as one of the top 10 largest accounting firms in the UK with revenues over £250 million. The business provides tailored financial and professional services to private clients as well as their business interests.

The Role

As the Compliance Officer with the COBS team your responsibilities would include:

  • Completing daily and monthly monitoring tasks (including File Reviews, using appropriate tools and methodologies and documenting the results accurately and in a timely fashion).
  • Assisting in the completion of thematic reviews.
  • Assisting with tracking the resolution of issues identified and action points agreed.
  • Providing day-to-day assistance and advice on regulatory issues to line management and staff.
  • Providing appropriate, consistent answers to general queries on policies.
  • Identifying, investigating and reporting on breaches and incidents, ensuring that these are logged promptly and accurately.
  • Assisting the Associate Director, COBS Compliance to maintain up-to-date departmental procedures as well as assisting with such other general Compliance tasks as may be reasonably requested.

Key Requirements

  • Experience gained within retail investment
  • Monitoring experience
  • Professional or academic quantitative background desired
  • University Degree

Reference: 34946999

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