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)

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Information on the company

Our client is a privately owned and completely independent high net worth mortgage brokerage with offices in Central & North London.

They specialise in arranging large mortgage loans for individuals from both the UK and overseas who are either purchasing or refinancing residential or commercial property.


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

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