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Compliance Monitoring Officer, Manchester
Client:
IDEX Consulting
Location:
Manchester, United Kingdom
Job Category:
Other
EU work permit required:
Yes
Job Reference:
0ba40021df3e
Job Views:
53
Posted:
22.01.2025
Expiry Date:
08.03.2025
Job Description:
My client is based in Manchester and they are looking for a Compliance Monitoring Officer to join their team. The business operates a hybrid working model and is paying a salary c£40k to £45k.
The main purpose of the role is to provide a file review service to the clients of the business. The file reviews will mainly be for medium to large IFA firms.
Duties:
* Deliver a client file review service in line with Service Level Agreements
* Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards
* Provide oral feedback to clients in respect of client file reviews as required
* Report to the Head of Compliance any specific issues or concerns regarding any client firms which might realistically affect their ability to trade, or affect their, or threesixty's, ability to fulfil its commercial and contractual obligations to one another.
* Maintain a CPD record in line with FCA requirements for regulated individuals
* Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance
* Undertake specific projects - e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and provide written feedback and guidance
Suitable candidate will have:
* 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
* Good communication skills in verbal and written formats - for internal and external clients
* Attention to detail is a must
What they offer in return:
* 8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrifice
* AVIVA Private Health Care
* Death in Service benefit (4 times annual salary)
* Income Protection Insurance
* Free parking
* A friendly, supportive and accommodating working environment
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