Compliance Quality Officer
- Recruiter
- Enjoy Recruitment Group Ltd
- Location
- Cheltenham, Gloucestershire, England
- Salary
- £0.00 - £35000.00 per annum + benefits
- Posted
- 28 Aug 2015
- Closes
- 04 Sep 2015
- Ref
- BBBH875
- Contact
- Jonathan Smith
- Sectors
- Banking & Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
*Compliance Quality Officer, Cheltenham*
Interviews being held immediately
Competitive Salary & Benefits Package
An exciting opportunity has arisen with my client based in Cheltenham that are rapidly expanding within its specialist sector. You will manage and assess files relating to personal recommendations made by the Financial Planners of the firm, ensuring these comply with the business' standards and regulatory requirements.
Key Responsibilities:-
Working as a Compliance Quality Officer you will check the files supporting the personal recommendations made by financial planners to ensure these comply with the firm's standards and the regulatory requirements, thereby mitigating against advice related complaints. You will also provide regular feedback on file quality to key stakeholders, to help develop the overall competence of individuals and the firm. You will also provide compliance guidance and advice to the firm, to ensure it acts compliantly at the outset, and therefore, in the interest of clients. You will also maintain you own competency levels and keep up to date with regulatory developments.
Qualifications & Experience requirements:-
*A minimum of 5 years' experience in the financial services industry is essential, ideally with exposure in a compliance monitoring role, which included responsibility for file assessment.
*Degree or equivalent qualification is desirable
*Financial services industry or equivalent qualification is essential
*Good understanding of the financial services marketplace, to include the regulatory and legislative framework
*A knowledge of pensions and investments is essential
*IT literate (Microsoft Office)
*Strong analytical skills
*Driven, self-motivated and with the desire to take industry examinations
If you feel you have the desired skill set for this role please call immediately on 01242 258257 to discuss in more detail.
Enjoy Recruitment Group acts as an employment agency and as an employment business as defined by the Employment Agencies and Employment Business Regulations 2003. Enjoy Recruitment Group is an equal opportunities employer and offers a free and confidential service to candidates
Enjoy Recruitment Group / Creative Mettle - acting as an Employment Agency in relation to this vacancy.
Thinking of relocating to the Cotswolds? You won't be alone - Type "Rock the Cotswolds" into your search engine and check out some of the most talented, creative and fascinating minds in the country!
Interviews being held immediately
Competitive Salary & Benefits Package
An exciting opportunity has arisen with my client based in Cheltenham that are rapidly expanding within its specialist sector. You will manage and assess files relating to personal recommendations made by the Financial Planners of the firm, ensuring these comply with the business' standards and regulatory requirements.
Key Responsibilities:-
Working as a Compliance Quality Officer you will check the files supporting the personal recommendations made by financial planners to ensure these comply with the firm's standards and the regulatory requirements, thereby mitigating against advice related complaints. You will also provide regular feedback on file quality to key stakeholders, to help develop the overall competence of individuals and the firm. You will also provide compliance guidance and advice to the firm, to ensure it acts compliantly at the outset, and therefore, in the interest of clients. You will also maintain you own competency levels and keep up to date with regulatory developments.
Qualifications & Experience requirements:-
*A minimum of 5 years' experience in the financial services industry is essential, ideally with exposure in a compliance monitoring role, which included responsibility for file assessment.
*Degree or equivalent qualification is desirable
*Financial services industry or equivalent qualification is essential
*Good understanding of the financial services marketplace, to include the regulatory and legislative framework
*A knowledge of pensions and investments is essential
*IT literate (Microsoft Office)
*Strong analytical skills
*Driven, self-motivated and with the desire to take industry examinations
If you feel you have the desired skill set for this role please call immediately on 01242 258257 to discuss in more detail.
Enjoy Recruitment Group acts as an employment agency and as an employment business as defined by the Employment Agencies and Employment Business Regulations 2003. Enjoy Recruitment Group is an equal opportunities employer and offers a free and confidential service to candidates
Enjoy Recruitment Group / Creative Mettle - acting as an Employment Agency in relation to this vacancy.
Thinking of relocating to the Cotswolds? You won't be alone - Type "Rock the Cotswolds" into your search engine and check out some of the most talented, creative and fascinating minds in the country!