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Compliance Monitoring Officer


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Salary £40000 - £50000

Recruiter Managing This Role

Compliance Monitoring Officer role available with a consultancy business that has a range of clients across the financial services market predominantly within wealth management dealing with IFA clients.

You will be conducting file reviews and providing feedback about any compliance issues identified as well as undertaking risk assessments of high level systems and controls. Project work will include reviewing SMCR arrangements, T&C schemes, investment propositions, and relations with third parties. 

Key responsibilities: 

  • Deliver client file reviews in line with SLAs. 
  • Respond to client queries and provide timeline updates.
  • Record information in line with correct processes. 
  • Report specific issues internally and to clients. 
  • Maintain CPD record in line with FCA regulations. 
  • Generate reports and commentary for review.

Skills and experience required: 

  • Minimum level 4 Diploma qualified. 
  • Be open to studying further towards level 6. 
  • Experience in a compliance and technical area of support service either directly inhouse or third party consultancy. 
  • Knowledge of regulatory frameworks to be able to carry out client file reviews.
  • Experience of providing feedback to IFAs in relation to client file quality or T&C issues.
  • Good level of report writing skills including competence with IT software packages. 
  • Some travel required so must be able to visit clients when needed.

On offer: 

  • Salary £40-50k depending on experience. 
  • Hybrid flexible working available. 
  • 27 days holidays plus bank holidays. 
  • Generous company pension contribution. 
  • Study support. 
  • Private health care. 
  • Life assurance. 
  • Income protection. 

If you are currently working as a Compliance Monitoring Office conducting file reviews for IFAs, and would like more information, apply online for immediate consideration.


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