Job Description
My client is based in Manchester and they are looking for a Compliance Monitoring Officer to join their team. The business operates a hybrid working model and is paying a salary c£40k to £45k.
The main purpose of the role is to provide a file review service to the clients of the business. The file reviews will mainly be for medium to large financial services businesses.
Duties
1. Deliver a client file review service in line with Service Level Agreements
2. 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
3. Provide oral feedback to clients in respect of client file reviews as required
4. To report to the Head of Compliance any specific issues or concerns regarding any client firms which might realistically affect their ability to trade, or affect their ability to fulfil its commercial and contractual obligations to one another.
5. Maintain a CPD record in line with FCA requirements for regulated individuals
6. Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance
7. Undertaking specific projects – e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and providing written feedback and...