At a Glance
- Tasks: Review client files for compliance and provide expert feedback.
- Company: Join a supportive financial services firm with a focus on compliance.
- Benefits: Enjoy hybrid working, competitive salary, and generous holiday allowance.
- Other info: Flexible working environment with opportunities for professional development.
- Why this job: Make a real impact in compliance while building strong client relationships.
- Qualifications: QCF Level 4 Diploma and experience in compliance or technical support.
The predicted salary is between 31500 - 38500 £ per year.
Description
Are you an experienced compliance professional looking to specialise in file reviewing for medium to large financial services businesses?
Do you enjoy building trusted relationships with clients and giving clear, confident feedback on compliance issues?
Are you detail-focused, technically strong, and comfortable balancing client service with regulatory rigour?
If so, our Compliance Monitoring Officer role could be the right next step for you.
Role Overview
As a Compliance Monitoring Officer, you will provide a file review service to threesixty's clients, mainly medium to large financial services businesses.
You'll assess client files for suitability against FCA requirements and each client firm's own business standards, feeding back your findings clearly and professionally.
Alongside file reviews, you'll develop and maintain strong working relationships with clients, act as a source of compliance expertise, and contribute to wider thematic review projects.
This is an ideal role for someone with solid compliance or technical experience within a support service, network, or IFA business who wants to deepen their file review and client relationship skills, while continuing to develop professionally through further study.
- Department
- Compliance Monitoring
- Location
- Manchester
- What you’ll do
- 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.
- What you’ll need to succeed
- 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.
- Your approach to work
- A professional, client-focused manner with the confidence to give clear, constructive feedback.
- A strong sense of ownership over the quality and consistency of your file review work.
- Commitment to maintaining threesixty's professionalism, ensuring advice given is never in conflict with other parts of the business, and avoiding any commercial or reputational risk.
What we offer
- A friendly, supportive and accommodating working environment.
- Hybrid working.
- A competitive salary.
- 25 days holiday per year, increasing by 1 day per year of service (up to a maximum of 29 days).
- Enhanced Maternity & Paternity Pay.
- Up to 5% matched employer pension contribution.
- Income Protection.
- Critical Illness cover.
- Death in Service benefit (4x annual salary).
- Free parking.
- Important to know
You will report to the Head of Compliance Monitoring.
Location: Flexible/hybrid working is available; however, you’ll need to be able to travel to the threesixty office in Manchester as and when required.
Right to Work
Applicants must already hold a legal right to work in the UK without time restrictions and without the need for future sponsorship.
We are unable to provide Skilled Worker visa sponsorship.
Equal Opportunity Statement
Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.
We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.
We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes.
We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff.
From application to interview, we place inclusion at the heart of all we do.
#J-18808-Ljbffr
Compliance Monitoring Officer in Manchester employer: threesixty services
Threesixty Services is an excellent employer, offering a supportive work culture that prioritises professional development and accuracy in compliance monitoring. Located in Manchester, the company provides hybrid working options, allowing for a balanced work-life integration while fostering collaboration among colleagues to enhance client service and uphold regulatory standards.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer in Manchester
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like threesixty services looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Monitoring Officer in Manchester
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at threesixty services. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at threesixty services
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with threesixty services’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
