Hybrid Compliance Officer: FCA Suitability & File Quality

AJ FOX COMPLIANCE; Manchester; Hybrid; 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

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.