Compliance Monitoring Officer
4 weeks ago
Compliance Monitoring Officer
Location - South Manchester
Salary - £37,000 - £45,000
Have you reached your ceiling in your current company and are now looking to work for a well-established Compliance Consultancy firm.
Are you fed up with just working on simple cases where you are not utilising your superb technical knowledge?
Would you like a hybrid office/home based role with flexibility favouring either?
The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to the files they review and any compliance issues they've raised.
- Deliver a client file review service in line with the business 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 verbal feedback to clients in respect of client file reviews as required
- To report to the Head of Compliance any specific issues or concerns
- 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
- Maintain professionalism and ensuring that advice is not in conflict with other parts of the business, not exposing the business to commercial or reputational risk
Benefits / What they offer
- A friendly, supportive and accommodating work environment
- Hybrid Working
- Investment in training/qualifications
- 25 days holiday (plus bank holidays)
- A competitive salary
- Free parking
- 8% employer pension contribution
- AVIVA Private Health Care
- Death in Service benefit (4 times annual salary)
- Income Protection Insurance
Qualifications / Experience
- Minimum of QCF Level 4 Diploma qualification, with a desire to continue to study through to level 6
- 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
- Proficient Microsoft Office suite skills - Word, Excel, Outlook
- Good communication skills verbal and written formats - for internal and external clients
- High attention to detail
- Full UK driving license
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