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Compliance Audit Manager - Level 4 essential


£50000 - £60000 per annum

Compliance Audit Manager - Level 4 essential


The Company
An award winning financial advice business is currently seeking a Level 4 Qualified Compliance Audit Manager to join their team in Weybridge.

The Role
You will design and deliver a risk based Compliance Audit programme, including undertaking file reviews and managing thematic reviews.
- Design and deliver a risk-based annual Monitoring Audit programme
- Identify key underlying issues and root causes and propose appropriate risk mitigation actions
- Provide reports to the Board and proposals for remediation
- Provide pro-active guidance and response to identified trends arising from file reviews
- Conduct past business reviews where required.

The Person
To be considered for this role it is essential that you hold Level 4 or higher Diploma in Financial Planning and have experience of designing and delivering audit reviews. You must be willing to be hands on, conducting file reviews as well as developing frameworks and strategies.

The Benefits
You will work within a small team in a broad role which is hands on as well as strategic and involved reporting regularly to the Board and operating at a senior level with one administrative support.

Please quote Jo000013090 when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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