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Compliance and Monitoring Officer

2 months ago

Manchester, United Kingdom IDEX Consulting Full time
Job Description

**Compliance and Monitoring Officer Role**

We are seeking a highly skilled Compliance and Monitoring Officer to join our team at IDEX Consulting. As a Compliance and Monitoring Officer, you will play a critical role in ensuring our clients' compliance with regulatory requirements and industry standards.

Key Responsibilities
  • **Client File Review Service**: Deliver a comprehensive file review service to our clients, ensuring that their files are in compliance with regulatory requirements and industry standards.
  • **Client Queries**: Respond to client queries in a timely and professional manner, providing clear and concise information and setting customer expectations.
  • **Oral Feedback**: Provide oral feedback to clients on file reviews as required, ensuring that they are aware of any issues or concerns.
  • **Reporting**: Report any specific issues or concerns to the Head of Compliance, ensuring that they are aware of any potential risks or issues.
  • **CPD Record**: Maintain a CPD record in line with FCA requirements for regulated individuals.
  • **Reports and Summaries**: Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance.
  • **Specific Projects**: Undertake specific projects, such as review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties, and provide written feedback and guidance.
Requirements
  • **Qualification**: A QCF Level 4 Diploma qualification.
  • **Experience**: Experience in a compliance/technical area of a support service, network or IFA business.
  • **Regulatory Knowledge**: Detailed knowledge of the regulatory framework required to carry out client file reviews.
  • **Communication Skills**: Good communication skills, both verbal and written, for internal and external clients.
  • **Attention to Detail**: Attention to detail is essential for this role.
What We Offer
  • **Hybrid Working**: A flexible working arrangement that allows you to work from home and in the office.
  • **Competitive Salary**: A competitive salary package.
  • **Holiday Entitlement**: 27 days holiday (plus bank holidays).
  • **Pension Contribution**: 8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrifice.
  • **Private Health Care**: AVIVA Private Health Care.
  • **Death in Service Benefit**: Death in Service benefit (4 times annual salary).
  • **Income Protection Insurance**: Income Protection Insurance.
  • **Free Parking**: Free parking.
  • **Friendly Working Environment**: A friendly, supportive, and accommodating working environment.