At a Glance
- Tasks: Review client files for compliance and provide feedback to enhance their business standards.
- Company: Join a supportive team at threesixty, a leader in financial services compliance.
- Benefits: Enjoy competitive pay, generous holiday, and enhanced family leave options.
- Other info: Flexible working options and opportunities for professional growth await you.
- Why this job: Make a real difference in the financial sector while developing your compliance expertise.
- Qualifications: QCF Level 4 Diploma and experience in compliance or support services required.
The predicted salary is between 31500 - 38500 £ per year.
The role of the Compliance Monitoring Officer is to provide a file review service to the clients of threesixty. The file reviews will mainly be for medium to large financial services businesses. 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 threesixty clients. Flexible working is available, however, the candidate must be able to travel to the threesixty office as and when required.
Job requirements
- To assess client files for suitability in line with FCA requirements and the threesixty client firm’s business standards.
- To answer compliance queries raised by threesixty clients or source a response from another area of threesixty.
- Undertake project work in relation to thematic reviews and other compliance issues as required.
- To 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.
- To report to the Head of Compliance Monitoring any specific issues or concerns regarding threesixty 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.
Reporting line
You will report to the Head of Compliance Monitoring.
Skills – Technical
- 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.
Skills - Soft
- Good communication skills verbal and written formats – for internal and external clients.
- Attention to detail is a must.
What we offer
- A friendly, supportive and accommodating working environment.
- 25 days holiday per year increasing by 1 day per year of service (max. 29 days).
- Enhanced Maternity & Paternity Pay.
- Up to 5% matched employer pension contribution.
- Income Protection.
- Critical Illness cover.
- Death in Service benefit (4 times annual salary).
Compliance Monitoring Officer in Manchester employer: threesixty services LLP
Threesixty is an exceptional employer, offering a friendly and supportive work environment in Manchester that prioritises employee well-being and professional growth. With competitive benefits including enhanced maternity and paternity pay, generous holiday allowances, and a commitment to flexible working, threesixty fosters a culture of collaboration and continuous learning, making it an ideal place for Compliance Monitoring Officers seeking meaningful and rewarding careers.
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 LLP 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 LLP. 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 LLP
✨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 LLP’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
