Compliance Monitoring Officer (Hybrid)

Our Clients provide a compliance consultancy services to a broad range of financial services firms including discretionary investment managers.

The services include:

• Assisting firms obtain FCA permissions to manage investments

• Undertaking onsite risk assessments of clients' high level systems and controls and identifying areas of concern / for improvement

• Helping clients implement robust and commercial compliance controls

• Producing client reports

• Undertaking specific projects - e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and providing written feedback and guidance

About the role

The role of the Compliance Monitoring Officer is to provide a file review service to the clients. The file reviews will mainly be for medium to large financial services businesses. The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with clients.

Flexible working is available, however, the candidate must be able to travel to the office as and when required.

You will report to the Head of Compliance Monitoring

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

• Detailed knowledge of regulatory framework required to carry out client file review

• Experience of providing feedback to IFAs in relation to client file quality or T&C issues

• Proficient Microsoft Office suite skills - Word, Excel, Outlook

Full driving license. The role is office based, though on occasions some travel may be required - client visits or event attendance to support the role

Excellent Benefits. This can be discussed on application along with a detailed job description.

Salary negotiable dependant on experience