Fintel
Compliance Monitoring Officer
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Compliance Monitoring Officer
Department: Compliance Monitoring
Employment Type: Permanent - Full Time
Location: Remote - UK
Description
Are you an experienced compliance professional looking to specialise in file reviewing for medium to large financial services businesses?
- Do you enjoy building trusted relationships with clients and giving clear, confident feedback on compliance issues?
- Are you detail-focused, technically strong, and comfortable balancing client service with regulatory rigour?
If so, our Compliance Monitoring Officer role could be the right next step for you.
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.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
What you'll need to succeed:
Essential requirements:
- Minimum of a QCF Level 4 Diploma qualification, with a desire to continue studying towards Level 6.
- 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.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
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.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location