Fintel
Compliance Monitoring Officer
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Compliance Monitoring Officer
Department: Compliance Monitoring
Employment Type: Permanent - Full Time
Location: Manchester
Reporting To: Head of Compliance Monitoring
Description
We are seeking an experienced, Level 4 Diploma-qualified candidate to join our supportive team who deliver a file review and feedback service for medium to large financial services businesses.
Role Overview
The role of the Compliance Monitoring Officer is to provide a file review service to the clients of threesixty. They 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.
What you'll do
- Assess client files for suitability in line with FCA requirements and the client firm’s business standards
- Answer compliance queries raised by clients or source a response from another area of threesixty
- Undertake project work in relation to thematic reviews and other compliance issues as required
- Maintain up to date and accurate knowledge in all regulatory and legislative areas required for file reviews
- Provide a prompt and professional level of service consistent with the level of service offered by the rest of the business
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Key Outputs
- 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 Monitoring any specific issues or concerns regarding 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 Monitoring
- Maintain threesixty’s professionalism and ensuring that advice is not in conflict with other parts of the business, not exposing threesixty to commercial or reputational risk.
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What you'll need to succeed:
Essential requirements
- 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
Your approach to work
- Exceptional verbal and written communication, with the ability to engage clients and internal stakeholders effectively.
- Attention to detail.
Important to know:
Location
This is a hybrid working role where you'll work from our Wythenshawe office 3 days each week.
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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