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 financial services businesses.
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
* 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
* 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
Suitable candidate will have:
* A QCF Level 4 Diploma qualification
* 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 verbal and written formats – for internal and external clients
* Attention to detail is a must
What they offer in return:
* Hybrid working
* A competitive salary
* 27 days holiday (plus bank holidays)
* 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
For more information please contact me on 07896 933622 or email: graeme.hyland@idexconsulting.com