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Compliance Reporting Officer

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/27103
Contact Adam Pollard
Date posted 02-10-2017

BRUIN Financial is currently working with a leading UK Investment firm that is looking for a Compliance Reporting Officer to join their Compliance team. The successful candidate will join a team to work with the Head of Sales Compliance to provide robust oversight. They will also carry out effective monitoring of intermediated sales channels and brokers to ensure that poor conduct is identified and acted upon in the firm.

As a Compliance Reporting Officer your responsibilities will include:
• Collation and analysis of sales quality data including complaints, lapse rates and breaches
• Document processes and procedures within the Distribution Channels, identifying gaps and improvements
• Governance, Data collation and analysis for conduct committee and customer committee
• Attend and present at monthly sales meetings

The successful incumbent requires:
• Degree level or equivalent qualification
• Notable work experience within the financial investment industry
• Working knowledge of Microsoft Word, Access and PowerPoint
• Excellent verbal and written communication skills

For more information please contact Adam Pollard on 02031453348 or

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Associate, Consultant