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Compliance Monitoring Officer (Remote)


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Market Harborough

Salary £45000 - £55000

Recruiter Managing This Role

Compliance Monitoring officer – Remote – Up to £55,000

An exciting opportunity has arisen for an experienced compliance Manager/officer to join a growing wealth management practice who have offices all over the UK.

The role has come around due to some re-structuring in the company and the successful candidate will be working along side senior Directors in the firm.

What’s on offer?

  • 28 days holiday, plus bank holidays
  • Flexible hybrid working
  • Birthday day off
  • Income protection for up to 5 years
  • Pirkx online discounts and cashback plus 24-hour access to a GP
  • 4x salary death in service
  • 5% matched pension contributions
  • Competitive bonus scheme

Key Responsibilities

  • Monitoring – Perform file monitoring and compliance monitoring on all aspects of the FCA regulated activities within the group, assessing compliance with regulations, standards and outcomes.
  • Reporting – keeping the review spreadsheet up to date with effective record keeping on all checks undertaken.
  • Collaboration – Collaborate with the compliance team and business stakeholders to produce management information and reporting.


  • Minimum of QCF Level 4 Diploma qualification, with a desire to continue studying through to level 6
  • Experience in a compliance / paraplanning technical area of a support service, network or IFA business

You will need to have wealth management experience to be considered for this Compliance Manager position. 

What’s next?

Apply today to be considered for this compliance Manager opportunity.  If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client.  In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.

Synonyms: IFA, Compliance Manager, Compliance Officer, Compliance Executive, Financial Planning, Financial Advice, Financial Advisor, Financial Planner, Financial Adviser, Compliance Consultant, FCA, Oversight, Monitoring, file review, compliance technician

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