The purpose of the role is to support the Compliance Officer by carrying out the Compliance Monitoring Programme required for the business and underlying clients.
Key responsibilities in this role include:
- To complete the CMP for FFSL and client entities as required by the Compliance Officer. Manage outstanding action points for both Compliance and Funds to closure;
- To present findings in a clear and concise manner to allow the Compliance Officer or relevant administrator to action;
- To monitor close out of findings as presented and report on outstanding points to the Compliance Officer;
More information about the role is available upon request - contact the team today for further details.