threesixty services
Compliance Monitoring Officer
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About threesixty
As part of Fintel Services, we are a leading UK provider of compliance, regulatory and business-support services for financial advice firms. We offer practical guidance, training, research and helpdesk support to strengthen governance, help advisers manage regulatory responsibilities and operate more efficiently.
Role Overview:
As a Compliance Monitoring Officer, you will provide a file review service to threesixty's clients, mainly medium to large financial services businesses. You'll assess client files for suitability against FCA requirements and each client firm's own business standards, feeding back your findings clearly and professionally. Alongside file reviews, you'll develop and maintain strong working relationships with clients, act as a source of compliance expertise, and contribute to wider thematic review projects.
This is an ideal role for someone with solid compliance or technical experience within a support service, network, or IFA business who wants to deepen their file review and client relationship skills, while continuing to develop professionally through further study.
What you'll do
- Assess client files for suitability in line with FCA requirements and each client firm's business standards.
- Answer compliance queries raised by clients, or source a response from elsewhere in threesixty.
- Undertake project work relating to thematic reviews and other compliance issues as required.
- Maintain up-to-date and accurate knowledge across the regulatory and legislative areas relevant to file reviews.
- Deliver a client file review service in line with agreed Service Level Agreements.
- Respond to client queries in a timely, clear and concise manner, setting expectations on timescales and recording information to business standards.
- Provide oral feedback to clients on file reviews as required.
- Report any specific issues or concerns to the Head of Compliance Monitoring where they might realistically affect a client firm's ability to trade, or affect threesixty's ability to meet its commercial and contractual obligations.
- Maintain a CPD record in line with FCA requirements for regulated individuals.
- Generate reports and summaries of thematic reviews and file assessments as requested by the Head of Compliance Monitoring.
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What you'll need to succeed:
Essential requirements:
- Minimum of a QCF Level 4 Diploma qualification
- Experience in a compliance or technical area of a support service, network, or IFA business.
- Detailed knowledge of the regulatory framework required to carry out client file reviews.
- Experience providing feedback to IFAs on client file quality or T&C issues.
- Proficient in Microsoft Office (Word, Excel, Outlook).
- Good verbal and written communication skills, for both internal and external clients.
- High attention to detail.
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Your approach to work:
- A professional, client-focused manner with the confidence to give clear, constructive feedback.
- A strong sense of ownership over the quality and consistency of your file review work.
- Commitment to maintaining threesixty's professionalism, ensuring advice given is never in conflict with other parts of the business, and avoiding any commercial or reputational risk.
What we offer:
- A friendly, supportive and accommodating working environment.
- Hybrid working.
- A competitive salary.
- 25 days holiday per year, increasing by 1 day per year of service (up to a maximum of 29 days).
- Enhanced Maternity & Paternity Pay.
- Up to 5% matched employer pension contribution.
- Income Protection.
- Critical Illness cover.
- Death in Service benefit (4x annual salary).
- Free parking.
Important to know:
- Reporting line: You will report to the Head of Compliance Monitoring.
- Location: Flexible/hybrid working is available; however, you'll need to be able to travel to the threesixty office in Manchester as and when required.
- Right to Work:
Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship. We are unable to provide Skilled Worker visa sponsorship.
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