This role involves:
Assisting with compliance assurance reviews for all business areas.
Maintaining accurate and complete records.
Compliance monitoring – performance of continuous monitoring and completion of periodic permanent control testing against policies and procedures.

The ideal candidate will have a good knowledge and understanding of control and reporting tools as well as a thorough understanding of private wealth management regulatory requirements including suitability, appropriateness and investment management.

Contact ASL on 500000 for further details.

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Permanent Team

For more information on this role or any other permanent positions, please call the Perm Team on 01534 500000 or click the "Enquire Now" button above to request more details.

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