Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Conduct compliance checks and file reviews for IFA firms to ensure regulatory standards.
- Company: Join a national Wealth Management business with a focus on compliance and risk management.
- Benefits: Enjoy remote work flexibility, competitive salary, bonuses, and additional benefits.
- Why this job: Be part of a growing team that values compliance and offers opportunities for professional development.
- Qualifications: Must have a QCF Level 4 Diploma and experience in compliance monitoring within an IFA business.
- Other info: Work closely with the Head of Regulatory Compliance and contribute to national compliance strategies.
The predicted salary is between 32000 - 48000 £ per year.
Compliance Monitoring Officer Home Based £40,000 – £45,000 per annum plus bonus and benefits About the role: My client is a national Wealth Management business and they are looking for a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and is paying a salary c£40k to £45k.The main purpose of the role is to provide a pre and post file reviews service to the clients of the business. The file reviews will mainly be for medium to large IFA firms. Duties will include: Carry out compliance checks to ensure the businesses controls are working effectively. Work closely with the Head of Regulatory Compliance and Risk to help deliver and update the national compliance monitoring plan, especially when new risks arise. Create and conduct in-depth reviews, aswell as custom investigations if there is a breach of company procedures and FCA regulations. Prepare reports for the Head of Regulatory Compliance and Risk to review and approve. Deliver outstanding service while meeting the highest regulatory standards. Suitable candidate will have: A QCF Level 4 Diploma qualification Experience in a compliance monitoring/technical area of a support service within an IFA business. Detailed knowledge of regulatory framework required t…
Compliance Monitoring Officer employer: Reward Recruitment
Contact Detail:
Reward Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer
✨Tip Number 1
Familiarize yourself with the latest FCA regulations and compliance standards. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those working within IFA firms. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific compliance monitoring experiences you've had in previous roles. Be ready to share examples of how you identified risks and implemented solutions.
✨Tip Number 4
Showcase your analytical skills by discussing any tools or methodologies you’ve used for compliance checks. Highlighting your technical expertise can set you apart from other candidates.
We think you need these skills to ace Compliance Monitoring Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring and any qualifications, such as the QCF Level 4 Diploma. Use keywords from the job description to demonstrate your fit for the role.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the responsibilities mentioned in the job description. Explain how your previous experience aligns with the duties of conducting compliance checks and preparing reports.
Showcase Your Knowledge: In your application, emphasize your understanding of the regulatory framework and any specific experiences you have had with IFA firms. This will show that you are well-prepared for the challenges of the role.
Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or typos. A polished application reflects your attention to detail, which is crucial for a Compliance Monitoring Officer.
How to prepare for a job interview at Reward Recruitment
✨Show Your Compliance Knowledge
Make sure to brush up on your understanding of the regulatory framework relevant to the role. Be prepared to discuss specific regulations and how they impact compliance monitoring, especially in the context of IFA firms.
✨Demonstrate Analytical Skills
Since the role involves conducting in-depth reviews and custom investigations, be ready to showcase your analytical skills. Prepare examples from your past experience where you identified compliance issues and how you addressed them.
✨Highlight Your Experience
Discuss your previous roles in compliance monitoring or technical support within an IFA business. Provide concrete examples of how you've contributed to compliance checks and the effectiveness of business controls.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities. Think about potential compliance breaches and how you would handle them, including the steps you would take to investigate and report.
