Hybrid Compliance File Review Specialist

SimplyBiz PLC; Manchester; Hybrid; GBP 36,000 - 48,000; Full time

Benefits offered by this job

Hybrid working

Competitive salary

25 days holiday per year

Enhanced Maternity & Paternity Pay

Employer pension contribution up to 5%

Income Protection

Critical Illness cover

Death in Service (4x salary)

Free parking

Job summary

SimplyBiz PLC in Manchester is seeking a Compliance Monitoring Officer to provide a comprehensive file review service for financial services clients, assessing files against FCA requirements and client standards. You will build strong client relationships and communicate findings clearly and professionally.

The role involves delivering feedback, maintaining regulatory knowledge, and contributing to thematic reviews while balancing client service with regulatory rigor. Hybrid working is available.

Qualifications

• Minimum of a QCF Level 4 Diploma qualification, with a desire to continue studying towards Level 6.
• Experience in a compliance or technical area of a support service, network, or IFA business.
• Detailed knowledge of the regulatory framework required to carry out client file reviews.
• Experience providing feedback to IFAs on client file quality or T&C issues.
• Proficient in Microsoft Office (Word, Excel, Outlook).
• Good verbal and written communication skills, for both internal and external clients.
• High attention to detail.

Responsibilities

• Assess client files for suitability in line with FCA requirements and each client firm's business standards.
• Answer compliance queries raised by clients, or source a response from elsewhere in threesixty.
• Undertake project work relating to thematic reviews and other compliance issues as required.
• Maintain up-to-date and accurate knowledge across the regulatory and legislative areas relevant to file reviews.
• Deliver a client file review service in line with agreed Service Level Agreements.
• Respond to client queries in a timely, clear and concise manner, setting expectations on timescales and recording information to business standards.
• Provide oral feedback to clients on file reviews as required.
• Report any specific issues or concerns to the Head of Compliance Monitoring where they might realistically affect a client firm's ability to trade, or affect threesixty's ability to meet its commercial and contractual obligations.
• Maintain a CPD record in line with FCA requirements for regulated individuals.
• Generate reports and summaries of thematic reviews and file assessments as requested by the Head of Compliance Monitoring.

Skills

Strong communication

Attention to detail

Client-focused

Ownership

Education

QCF Level 4 Diploma

Tools

MS Office

Job description

SimplyBiz PLC in Manchester is seeking a Compliance Monitoring Officer to provide a comprehensive file review service for financial services clients, assessing files against FCA requirements and client standards. You will build strong client relationships and communicate findings clearly and professionally.

The role involves delivering feedback, maintaining regulatory knowledge, and contributing to thematic reviews while balancing client service with regulatory rigor. Hybrid working is available.