At a Glance
- Tasks: Review client files and provide feedback to ensure compliance with regulations.
- Company: Join Fintel Services, a leader in financial compliance support.
- Benefits: Flexible hybrid or remote work options, competitive salary, and ongoing training.
- Other info: Dynamic team environment with opportunities for professional development.
- Why this job: Make a real difference in the financial advice sector while growing your career.
- Qualifications: Level 4 Diploma in compliance and experience in a related field required.
The predicted salary is between 36000 - 60000 £ per year.
At Fintel Services, we empower financial professionals with trusted tools, insights and support to shape the future of financial advice. We are seeking an experienced, Level 4 Diploma-qualified candidate to join our supportive team who deliver a file review and feedback service for medium to large financial services businesses. For very experienced candidates, we would consider a fully remote role although you would still need to travel to our Manchester office from time to time. Less experienced candidates would need to work on a hybrid basis.
Threesixty is a leading UK-based provider of compliance, regulatory, and business-support services for financial advice firms and we are looking for a Compliance Monitoring Officer to join the team. We offer practical guidance, training, research, and helpdesk support to help advisers manage regulatory responsibilities, strengthen governance, and operate more efficiently.
Role overview
The role of the Compliance Monitoring Officer is to provide a file review service to the clients of threesixty. The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with clients.
Job Requirements
- Assess client files for suitability in line with FCA requirements and the client firm’s business standards.
- Answer compliance queries raised by clients or source a response from another area of threesixty.
- Undertake project work in relation to thematic reviews and other compliance issues as required.
- Maintain up to date and accurate knowledge in all regulatory and legislative areas required for file reviews.
- Provide a prompt and professional level of service consistent with the level of service offered by the rest of the business.
Key Outputs
- 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.
- Report to the Head of Compliance Monitoring any specific issues or concerns regarding client firms which might realistically affect their ability to trade, or affect their, or threesixty’s, ability to fulfil its commercial and contractual obligations to one another.
- 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 ensuring that advice is not in conflict with other parts of the business, not exposing threesixty to commercial or reputational risk.
Essential Requirements
- Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6.
- Experience in a 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.
- Proficient Microsoft Office suite skills – Word, Excel, Outlook.
- Exceptional verbal and written communication, with the ability to engage clients and internal stakeholders effectively.
- Attention to detail is a must.
Working arrangements
This is normally a hybrid working role; however, for very experienced candidates, we would consider a fully remote role although you would still need to travel to our Manchester office from time to time to join in-person team sessions.
Right to work
Applicants must already hold a legal right to work in the UK without time restrictions. We are currently unable to provide Skilled Worker visa sponsorship.
Compliance Monitoring Officer in Manchester employer: Fintel Services
At Fintel Services, we pride ourselves on fostering a collaborative and inclusive work environment that empowers our employees to thrive. With a strong focus on professional development, we offer ongoing training and support to help you advance your career in compliance monitoring. Our Manchester office serves as a hub for innovation and teamwork, making it an ideal location for those seeking meaningful and rewarding employment in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer in Manchester
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for a Compliance Monitoring Officer role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA requirements and compliance issues. We want you to be able to showcase your expertise and how you can add value to threesixty. Practice common interview questions and think about how your experience aligns with the role.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the position. It’s also a great opportunity to reiterate why you’re the perfect fit for the Compliance Monitoring Officer role.
✨Tip Number 4
Apply through our website for the best chance at landing the job. We love seeing candidates who take the initiative to engage directly with us. Plus, it shows you’re serious about joining our supportive team at threesixty!
We think you need these skills to ace Compliance Monitoring Officer in Manchester
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Compliance Monitoring Officer role. Highlight your Level 4 Diploma and any relevant experience in compliance or file reviews. We want to see how your skills match what we're looking for!
Showcase Your Communication Skills:Since this role involves a lot of client interaction, it's crucial to demonstrate your exceptional verbal and written communication skills. Use clear and concise language in your application to reflect how you would engage with clients effectively.
Highlight Attention to Detail:Attention to detail is key in compliance work. In your application, provide examples of how you've successfully managed detailed tasks or projects in the past. This will show us that you can maintain high standards in your work.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it gives you a chance to explore more about our company culture!
How to prepare for a job interview at Fintel Services
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance frameworks. Being able to discuss specific examples of how you've applied this knowledge in previous roles will show that you're not just familiar with the theory, but you can also put it into practice.
✨Prepare for Client Scenarios
Think about potential client scenarios you might face as a Compliance Monitoring Officer. Prepare to discuss how you would handle specific compliance queries or feedback situations. This will demonstrate your problem-solving skills and your ability to maintain professional relationships.
✨Show Off Your Communication Skills
Since exceptional verbal and written communication is key for this role, practice articulating your thoughts clearly. You might even want to prepare a mock feedback session to showcase how you would communicate with clients effectively.
✨Highlight Your Attention to Detail
Be ready to provide examples of how your attention to detail has made a difference in your previous roles. Whether it's through file reviews or compliance assessments, showing that you can spot the small things will set you apart from other candidates.
