The role of the Field Based Compliance Monitoring Officer is to provide an external file review service to the clients. The file reviews will mainly be for medium to large financial services businesses. The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with clients.
- Reporting to the Head of Compliance
- Field and home based role
- Experience in a compliance/technical area of an IFA business or similar role
- Detailed knowledge of regulatory framework required to carry out client file reviews
- Level 4 qualified
- Desire to maintain competency in line with legislation and technical changes within the industry
- Good interpersonal skills and a team player
- Driving licence
Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.
- Compliance Monitoring
- Quality Assurance
- Compliance Officer
- Compliance Manager
- Field Based Compliance Monitoring Officer
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