Compliance Monitoring Executive

Title: Compliance Monitoring Executive | Financial Services | £20k - £26k | Central London

Industry: Other

Role/Sector: Office manager

Location: Central London

Placement: Graduate job (permanent)

Salary: £22,000 (per annum)

Apply for this role

Information on the company

This great company is a privately-owned mortgage broker with offices in London, Monaco & Dubai. They arrange finance for high net worth individuals and companies on a global scale - all of whom buy and sell properties in the UK and Europe.

They are a young and growing company with an excellent name in the market and an enviable list of clients. 


This is an exciting graduate level role paying between £20k - £26k circa.

Key responsibilities of the role:
Reporting to the Compliance Officer, the Purpose of the role is to assist the compliance officer in ensuring that the company is conducting its business in full compliance with all national and international laws and regulations as well as professional standards, accepted business practices, and internal standards.

  • Assisting the compliance department in completing full audits for mortgages, general insurance and protection on advisor files
  • Signing off financial promotions
  • Assisting the compliance officer as and when required, including reporting and updating the compliance database
  • Assisting with the fit and proper checks
  • Observing client services calls and giving constructive feedback
  • Observing broker meetings and giving structured feedback
  • Support with compliance feedback as and when required

Key requirements of the role:

  • Good analytical skills
  • Excellent Microsoft Office (including Word and Excel) skills
  • Ability to create and manage relationships across the business at all levels
  • Team Player
  • Excellent attention to detail

No formal qualifications required
Background or experience in Law or Finance desirable

Apply for this role