Compliance Monitoring Officer

3 weeks ago


Warrington, Warrington, United Kingdom D&R Recruitment Limited Full time

A leading firm in the wealth management sector is seeking a Compliance Monitoring Officer to be part of their team.

This role offers the flexibility to be based in the office or work remotely, with a competitive salary and comprehensive benefits package.

The Compliance Monitoring Officer will be responsible for reviewing advice files to ensure they meet the company's standards, providing feedback to the advice team, and acting as a subject matter expert. They will also be involved in maintaining knowledge of the company's products and services, as well as UK financial market and FCA regulatory requirements.

Key responsibilities will include:

  • Conducting pre- and post-sale advice file reviews to ensure correct client outcomes.
  • Interpreting and complying with company quality assurance standards.
  • Maintaining knowledge of regulatory changes and updating training as required.

The ideal candidate will have excellent knowledge of the company's products and services, as well as the UK financial market and FCA regulatory requirements. They will be able to maintain their knowledge by keeping up with any regulatory changes and updating training as required.


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