Compliance Monitoring Officer — Flexible Client Reviews

threesixty services LLP; Manchester; Hybrid; GBP 35,000 - 48,000; Full time

Benefits offered by this job

25 days holiday

Enhanced Maternity/Paternity Pay

Pension contributions up to 5%

Income Protection

Critical Illness cover

Death in Service benefit

Job summary

threesixty services LLP is seeking a Compliance Monitoring Officer in Manchester to provide professional file review services for financial services clients. The role requires handling feedback to clients, maintaining regulatory knowledge, and supporting thematic reviews while travel to the office is required.

Flexible working is available, with a strong emphasis on compliance standards, timely responses, and maintaining professional relationships with clients. A QCF Level 4 Diploma is preferred.

Qualifications

• Experience in 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.

Responsibilities

• 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.
• To report to the Head of Compliance Monitoring any specific issues or concerns regarding threesixty client firms which might affect their ability to trade, or affect threesixty’s ability to fulfil its obligations.
• 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 ensure that advice is not in conflict with other parts of the business.

Skills

Compliance experience

Regulatory knowledge

Client feedback

Education

QCF Level 4 Diploma

Job description

threesixty services LLP is seeking a Compliance Monitoring Officer in Manchester to provide professional file review services for financial services clients. The role requires handling feedback to clients, maintaining regulatory knowledge, and supporting thematic reviews while travel to the office is required.

Flexible working is available, with a strong emphasis on compliance standards, timely responses, and maintaining professional relationships with clients. A QCF Level 4 Diploma is preferred.