Compliance Monitoring Officer

Compliance Monitoring Officer

Up to £38,000

Warrington / Hybrid

Role Overview

The Compliance Monitoring Officer ensures the company’s advice and services comply with FCA regulatory standards while safeguarding quality in customer interactions. This role involves reviewing advice files, providing constructive feedback to the advice team, identifying risks, and contributing to training and process improvement. It offers the flexibility of being office-based or fully remote, competitive compensation, and excellent benefits.

Responsibilities

Regulatory and QA Compliance
• Maintain up-to-date knowledge of FCA regulatory requirements and company quality assurance standards.
• Perform pre- and post-sale advice file reviews for compliance and positive client outcomes.
• Interpret and adhere to company QA policies, ensuring non-conformance is tracked and addressed.
• Document QA activities and prepare detailed reports for senior leadership.

Training and Feedback
• Provide constructive feedback on file reviews, ensuring rework meets compliance standards.
• Identify training needs within the advice team and recommend actionable improvements.

Monitoring and Reporting
• Conduct call observations to maintain high professional standards and mitigate customer risks.
• Report QA findings and potential risks to the Head of Compliance, recommending corrective actions.

Process Development
• Collaborate on developing new standards for the customer journey.
• Ensure company-wide compliance improvements align with evolving regulations.

Requirements

• Qualifications:
• Level 4 Diploma in Financial Planning (or equivalent) is mandatory.

• Experience and Skills:
• Prior experience in FCA-regulated environments.
• Deep knowledge of UK financial markets, pensions, and investment products.
• Strong analytical, communication, and feedback skills.

This role is ideal for someone with strong compliance expertise, an understanding of financial products, and a passion for improving quality assurance processes in a regulated environment