Compliance Monitoring Officer

3 days ago

Manchester, United Kingdom IDEX Consulting Ltd Full time £40,000 - £45,000
Compliance Monitoring Officer

Our client, a leading financial services business based in Manchester, is seeking a highly skilled Compliance Monitoring Officer to join their team. As a Compliance Monitoring Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.

Key Responsibilities:
  • Provide a file review service to the clients of the business, focusing on medium to large financial services companies.
  • Respond to client queries in a timely and professional manner, setting clear expectations and recording information in line with business standards.
  • Report any specific issues or concerns to the Head of Compliance, ensuring the company's ability to trade and fulfill its commercial and contractual obligations.
  • Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance.
  • Undertake specific projects, such as reviewing SMCR arrangements, T&C schemes, and investment propositions.
Requirements:
  • Experience in a compliance/technical area of a support service, network, or IFA business.
  • Detailed knowledge of the regulatory framework required to carry out client file reviews.
  • Experience of providing feedback to IFAs in relation to client file quality or T&C issues.
What We Offer:
  • 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.
  • Free parking.

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