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COMPLIANCE MONITORING OFFICER (FILE REVIEW)
SALARY £35,000 - £50,000
MANCHESTER BASED / HYBRID
Benefits:
8% company pension contribution
27 days holiday + BH
Private Health insurance
Death in Service and Income Protection cover
Free parking
Our Client, a well-known and highly regarded Financial Adviser Network Support service now have an excellent opportunity available for a Compliance Monioring Officer to join their team in South Manchester to work on a hybrid basis. The successful Candidate will be part of a close working and collaborative team whose aim is to help support IFA Firms with their centralised product and investment research by providing informative and consultative File Review services to them.
Key responsibilities
- Deliver a client file review service in line with the firms 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
- To report to the Head of Compliance any specific issues or concerns
- 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
- Maintain professionalism and ensuring that advice is not in conflict with other parts of the business
Qualifications and experience
- To be a minimum of QCF Level 4 Diploma qualification, with a desire to continue to studying 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
- Good communication skills verbal and written formats - for internal and external clients
- High attention to detail
NJR 15422
