Compliance Officer

AJ FOX COMPLIANCE; Manchester; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading UK-based consultancy in Manchester is seeking a Compliance Officer to ensure regulatory compliance and deliver high-quality client file reviews. The ideal candidate will possess a QCF Level 4 Diploma and demonstrate exceptional communication skills to engage effectively with senior stakeholders. Responsibilities include assessing financial advice, providing feedback, and identifying compliance risks. This role offers a hybrid work model, enhancing flexibility while maintaining high standards of compliance.

Qualifications

• Experience in compliance with a focus on financial services.
• Ability to engage effectively with senior stakeholders.
• Proactive attitude towards managing compliance risks.

Responsibilities

• Deliver client file review services in line with SLAs.
• Assess financial advice for regulatory compliance.
• Provide feedback to Independent Financial Advisers.
• Respond to complex compliance queries.
• Conduct project work and thematic reviews.
• Report on compliance trends and escalate risks.
• Maintain CPD records and monitor legislative changes.
• Generate reports for senior management.

Skills

Exceptional communication skills

Understanding of FCA suitability requirements

Education

QCF Level 4 Diploma

Job description

We are working with a leading UK-based financial services and business management consultancy to hire a Compliance Officer in Manchester. The firm is looking for an experienced professional who holds a QCF Level 4 Diploma and possesses a deep understanding of the FCA suitability requirements. They are looking for candidates with exceptional communication skills and the ability to engage effectively with senior stakeholders. This role is offered on a hybrid working basis with 1 day per week in the office.

The responsibilities will include:

• Delivering a high-quality client file review service in strict accordance with established Service Level Agreements.
• Assessing financial advice files for suitability, ensuring they align with both regulatory expectations and specific business standards.
• Providing clear, constructive oral and written feedback to Independent Financial Advisers regarding file quality and training issues.
• Responding to complex compliance queries from clients or coordinating specialist responses from wider internal teams.
• Undertaking targeted project work, including thematic reviews and reporting on emerging compliance trends.
• Identifying and escalating specific regulatory risks or concerns that could impact a client’s ability to trade or their commercial obligations.
• Maintaining a meticulous CPD record and staying abreast of all legislative changes affecting the financial advice sector.
• Generating detailed reports and summaries of assessments for senior management to ensure firm-wide quality control.

If you are a proactive compliance specialist looking to apply your technical rigour within a market-leading consultancy, we invite you to apply. Please submit your application today to start a conversation about this role.