At a Glance
- Tasks: Review client files and provide compliance feedback to ensure regulatory standards are met.
- Company: Join threesixty, a leading provider of compliance services for financial advice firms.
- Benefits: Flexible hybrid or remote work options, professional development, and supportive team culture.
- Other info: Opportunity for career advancement in a dynamic and collaborative environment.
- Why this job: Make a real impact in the financial sector while growing your compliance expertise.
- Qualifications: QCF Level 4 Diploma and experience in compliance or technical support.
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 for team collaboration sessions. Less experienced candidates would need to work on a hybrid basis from our Manchester office.
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.
- 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 ensure that advice is not in conflict with other parts of the business, not exposing Threesixty to commercial or reputational risk.
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.
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 collaboration 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: threesixty services
Threesixty services is an exceptional employer, offering a dynamic work culture that prioritises professional growth and development. As a Remote Risk & Compliance Advisor, you'll benefit from flexible working arrangements while collaborating with top-tier investment management firms, enhancing your expertise in regulatory frameworks. The company fosters a supportive environment where your contributions are valued, ensuring a rewarding career path in the compliance consultancy 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 compliance and financial services sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by practising common questions related to compliance monitoring. Think about how you can showcase your Level 4 Diploma and any relevant experience. We recommend doing mock interviews with friends or using online resources to boost your confidence.
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. Mention something specific from the interview to remind them of your conversation and keep you fresh in their minds.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Monitoring Officer in 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. Keep it professional but let your personality come through – we love a bit of character!
Showcase Your Communication Skills:Since this role involves a lot of client interaction, make sure to demonstrate your exceptional verbal and written communication skills in your application. We want to know how you engage with clients and handle queries effectively.
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 shows you’re keen on joining our supportive team!
How to prepare for a job interview at threesixty services
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance frameworks. Being able to discuss specific regulatory requirements 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 scenarios you might encounter in the role. Prepare examples of how you've handled compliance queries or provided feedback in the past. This will demonstrate your practical experience and problem-solving skills.
✨Showcase Your Communication Skills
Since the role involves a lot of client interaction, practice articulating your thoughts clearly and concisely. You might even want to do a mock interview with a friend to get comfortable with delivering feedback and answering questions.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions! Inquire about the team dynamics, ongoing training opportunities, or how threesixty measures success in compliance monitoring. This shows your interest in the role and helps you gauge if it’s the right fit for you.
