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Compliance Auditor, North East
- UK - North East
- c.£30,000 - £40,000 + Bonus + Benefits
- Full-Time Permanent
- Financial Services - Compliance / Legal
- PSD Group
- 11-03-10
Job Description
In this role your responsibilities will be to:
- Carry out compliance audit work and internal monitoring of the firms advisors and appointed representatives including 121's, training and development.
- Conducting regular reviews, within an assigned area of business, of practices to ensure compliance with Group policies and external legislative and regulatory requirements.
- Conduct research and provide initial recommendations on complex regulatory risk practices, standards, and policies.
- Compile information and carry out research necessary to ensure compliance with standard regulatory reporting.
- Provide input to and some delivery of education and training for business employees on fundamental regulatory risk concepts.
- Provides support to Managers and Senior Managers, as applicable
- Paul Sherlock
- MPS/480480
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