Compliance Monitoring Officer

3 weeks ago

England, United Kingdom Oxbow Resourcing Full time

Are you passionate about compliance and looking to make a real impact?

Maybe you are looking to drive your Compliance career forward with a fast growing company that will actively grow and support your career by paying for your qualifications/courses?

If so, this could be the job for you.

Oxbow Resourcing are working with this dynamic Financial Planning business to hire a Compliance Monitoring Officer . This is a fantastic opportunity to be part of a dynamic compliance team, ensuring the financial planning advice processes meet all regulatory guidelines and service level agreements.

In this role you will have a real opportunity to shape and influence the environment around you. This business is at the start of their growth journey and this role is a great chance to be a part of their growing success.

This role can be based anywhere in the UK offering hybrid working. Meetings will be required on site on a regular basis so the successful candidate must be able to access a local office . Offices include London (Head Office), Barnstaple, Bromsgrove,Doncaster, Edinburgh, Market Harborough, Oldham and Perth.

Key Responsibilities:

  • Monitoring: Conduct comprehensive file and compliance monitoring of all FCA-regulated activities within the group to ensure adherence to regulations, standards, and desired outcomes.
  • Reporting: Maintain accurate records by keeping the review spreadsheet up to date with detailed records of all checks conducted.
  • Collaboration: Work closely with the compliance team and business stakeholders to generate management information and reports.

Person Specification:

  • IT Skills: Proficient in IT with excellent spreadsheet knowledge.
  • Experience: Minimum QCF Level 4 Diploma qualification , with an ambition to continue studying through to Level 6. Prior experience in a compliance or Paraplanning role within a support service, network, or IFA business .
  • Skills/Attributes: Strong planning and organizational skills, honesty, integrity, and a methodical approach to work.

The Benefits

  • Holidays: 28 days holiday, plus bank holidays.
  • Flexibility: Flexible hybrid working arrangements.
  • Perks: Birthday day off, Pirkx online discounts, cashback, and 24-hour access to a GP.
  • Security: Income protection for up to 5 years, 4x salary death in service benefit.
  • Retirement: 5% matched pension contributions.
  • Career Development: Access to the Training Academy to support your future career aspirations.
  • Bonus: Competitive bonus scheme.

If you're ready to take your compliance career to the next level and thrive in a supportive, forward-thinking environment, apply today.

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