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Compliance Monitoring Officer

2 months ago

United Kingdom Clayton Davies Full time

Job Description:


Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with customers. You will feedback findings in a positive and constructive manner to the advice team. You will also provide general suitability guidance and act as a SME to the advice team.


The role will involve taking responsibility for the following;


  • You will have excellent knowledge of the products and services offered by the company, knowledge of the UK financial market and sound knowledge of the FCA regulatory requirements.
  • You will be required to maintain your knowledge by keeping up with any regulatory changes and updating training as required.
  • Interpret, build upon, and comply with company quality assurance standards.
  • Conduct both pre- and post- sale advice file reviews to ensure correct client outcomes are being achieved. This will involve the review of file documentation and advice calls.
  • Feedback file review findings in a clear, constructive manner. Review rework until file is able to be signed off as demonstrating a positive client outcome
  • Carefully monitor non-conformance of company standards through records and tracking systems, including root cause analysis with recommendations of corrective actions to Head of Compliance.
  • Document quality assurance activities with internal reporting and audits.
  • Producing monthly report of QA activities and findings to the Head of Compliance.
  • Assist in the development of new standards for the end-to-end customer journey.
  • Help identify training needs and feedback to line managers for action to ensure company-wide compliance.
  • Conduct call observations to ensure that there is no material detriment to the customer and high professional standards are consistent in the team.
  • Identify any potential risks and bring these to the attention of the Head of Compliance.


Key Requirements:


  • Be qualified to Level 4 Diploma Financial Planning (or equivalent) as a minimum
  • Previous experience of working within an FCA regulated environment
  • Knowledge of the various financial services products including Pensions and Investments