At a Glance
- Tasks: Review client files and provide feedback on compliance issues.
- Company: Join threesixty, a leading provider of compliance services in the UK.
- Benefits: Hybrid working options, professional development, and supportive team culture.
- Other info: Opportunity for remote work and excellent career progression.
- Why this job: Make a real impact in financial services while growing your compliance expertise.
- Qualifications: Level 4 Diploma in compliance and experience in a related field.
The predicted salary is between 36000 - 60000 £ per year.
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
Minimum qualifications
- 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
- 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 (Manchester) employer: threesixty services LLP
At threesixty, we pride ourselves on being an exceptional employer that fosters a collaborative and supportive work culture. Our commitment to employee growth is evident through ongoing training and development opportunities, ensuring our team members are well-equipped to navigate the evolving regulatory landscape. Located in the heart of the UK, we offer a dynamic environment where you can build meaningful relationships with clients while contributing to their success in the investment management sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer (Manchester)
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work at threesixty or similar firms. A friendly chat can sometimes lead to job opportunities that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance standards. We want you to be able to showcase your expertise confidently when discussing client file reviews and feedback processes.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can leave a lasting impression and show your enthusiasm for the role. Plus, it keeps you on their radar as they make their decision.
✨Tip Number 4
Apply through our website for the best chance of landing that Compliance Monitoring Officer role. We love seeing candidates who take the initiative to connect directly with us!
We think you need these skills to ace Compliance Monitoring Officer (Manchester)
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to 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!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team at threesixty. Keep it concise but engaging – we love a good story!
Show Off Your Communication Skills:Since this role involves a lot of client interaction, make sure your written application showcases your exceptional verbal and written communication skills. We want to see how you engage with clients and handle compliance queries.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and keep track of it. Plus, you’ll get all the latest updates from us directly!
How to prepare for a job interview at threesixty services LLP
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance frameworks. Being able to discuss specific compliance issues and how they relate to client file reviews will show that you're not just qualified, but genuinely knowledgeable.
✨Prepare for Client Scenarios
Think about potential client queries you might face and how you would respond. Practising your answers can help you articulate your thoughts clearly during the interview, especially when discussing feedback processes or compliance challenges.
✨Showcase Your Communication Skills
Since the role requires exceptional verbal and written communication, prepare examples of how you've effectively engaged with clients or stakeholders in the past. This could be through presentations, reports, or even informal discussions.
✨Demonstrate Attention to Detail
Bring along examples of your work that highlight your attention to detail, such as reports or summaries you've generated. Discussing these in the interview will reinforce your capability to maintain high standards in compliance monitoring.
