Overview
As a Compliance Monitoring Officer, you will be responsible for conducting second-line file reviews and thematic assessments of investment management activities.
Key Responsibilities:
- Producing high-quality monitoring reports summarising findings, trends, and recommendations for remedial action
- Collaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.
- Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendations
- At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management or wealth management.
- Level 4 Investment Advice Diploma (IAD) or equivalent (e.g., CISI, CII).
- Strong working knowledge of FCA rules, particularly around suitability
