Compliance Monitoring Manager

Leeds

This position will assume responsibility for the company operating within all FCA, regulatory requirements, as well as internal policy; the business is a very well-established name in the Investments sector, known for their bespoke offerings within the pensions and financial advisory space.

The Role

• Regularly review compliance policy and procedure for the business
• Support the development of the Compliance Monitoring Programme
• Identify potential compliance risks
• Produce verbal and written reports to propose recommended actions

Your Profile

• Financial Services background (investments/wealth management even better)
• 2nd line compliance monitoring experience
• Knowledge of FCA regulations and handbooks

If this snapshot piqued your interest, apply here for further details!