Compliance Monitoring Officer

My client is based in Manchester and they are looking for a Compliance Monitoring Officer to join their team. The business operates a hybrid working model.

The main purpose of the role is to provide a file review service to the clients of the business. The file reviews will mainly be for medium to large IFA firms.

Duties

• Deliver a client file review service in line with Service Level Agreements
• Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards
• Provide oral feedback to clients in respect of client file reviews as required
• To report to the Head of Compliance any specific issues or concerns regarding any client firms which might realistically affect their ability to trade, or affect their ability to fulfil its commercial and contractual obligations to one another.
• Maintain a CPD record in line with FCA requirements for regulated individuals
• Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance
• Undertaking specific projects - e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and providing written feedback and guidance

Suitable candidate will have:

• A QCF Level 4 Diploma qualification
• Experience in a compliance/technical area of a support service, network or IFA business.
• Detailed knowledge of regulatory framework required to carry out client file review
• Experience of providing feedback to IFAs in relation to client file quality or T&C issues
• Good communication skills verbal and written formats - for internal and external clients
• Attention to detail is a must

What they offer in return:

• Hybrid working
• A competitive salary
• 27 days holiday (plus bank holidays)
• 8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrifice
• AVIVA Private Health Care
• Death in Service benefit (4 times annual salary)
• Income Protection Insurance
• Free parking
• A friendly, supportive and accommodating working environment

For more information please contact me on or email:

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