Compliance Monitoring Officer - Financial Services

MERJE; Manchester; On-site; GBP 100,000 - 125,000; Full time

Job summary

A leading Financial Services firm is seeking a Compliance Monitoring Officer in Manchester. The role involves assisting in regulatory risk management through assessments and monitoring compliance measures. Candidates should have experience in the financial services sector, relevant qualifications in pension transfers, and strong analytical skills. Join us to ensure adherence to compliance standards and drive continuous improvement.

Qualifications

• Experience in compliance/audit within the Financial Services Industry.
• Professional qualifications relating to Pension Transfers.
• Ability to analyse complex financial information.

Responsibilities

• Assist in managing the Compliance Monitoring Programme.
• Participate in the Company's File Review Programme.
• Undertake Compliance Reviews and Monitoring activities.
• Report findings and make recommendations for change.
• Research regulatory developments and advise the company.
• Support the Complaints Co-Ordinator in investigations.
• Prepare and submit regulatory reports to the FCA.

Skills

Attention to detail

Analytical skills

Communication skills

IT literacy

Building relationships

Education

CII Certificate in Pension Transfer Advice

Diploma in Financial Planning + AF7 Pension Transfers

Tools

Microsoft Excel

Job description

A leading Financial Services firm is seeking a Compliance Monitoring Officer in Manchester. The role involves assisting in regulatory risk management through assessments and monitoring compliance measures. Candidates should have experience in the financial services sector, relevant qualifications in pension transfers, and strong analytical skills. Join us to ensure adherence to compliance standards and drive continuous improvement.