Compliance Monitoring Officer – Manchester – Financial Planning



Compliance Monitoring Officer – Financial Planning          J-928


£35,000 to £50,000

If you would like to work for a forward thinking company in a self managed environment please read further. Applications welcome from either paraplanners or candidates with file monitoring experience.

The role of the Compliance Monitoring Officer is to carry out client file reviews in line with agreed contracts. Although some reviews will be individual cases and of an adhoc basis it is expected that you will also carry out additional remote review days as the schedule requires. In addition, where possible and where requested by the client, provide clients with a written response to their compliance review / queries and ensure that these responses are accurately recorded and tracked accordingly on the CRM back office system thereby ensuring a positive impression of the value of the compliance monitoring function for all clients.

Job Requirements:

  • To understand and apply firm specific client file review requirements to client file reviews completed, where necessary these firm specific sheets should be updated
  • To undertake client file reviews for clients from the office, on occasion it may be appropriate that these are carried out at the client’s premises or any other location to be agreed as needed by the business
  • To produce file review assessment sheets and reports in line with the Compliance File Review Consistency programme, whilst meeting the requirements of the quality assessment programme
  • To act with professionalism at all times when dealing with clients and colleagues
  • To advise of any assistance required in order to meet the objectives, KPI and key requirements of the role.
  • Be adaptable to the development of the role

Key Outputs

  • To follow the staff handbook and internal compliance and T&C procedures
  • Deliver fee based support to firms under an appropriate contract for services and or letter of engagement
  • Introduce firms to other departments or individuals for provision of services wherever possible
  • Maintain the firms reputation as knowledgeable and professional in all areas of financial and business planning
  • Be willing to represent tthe business at industry and media events and briefings
  • Maintaining  professionalism and ensuring that advice is not in conflict with other parts of the business, not exposing the firm to commercial or reputational risk

Qualifications / Experience

  • To respond to any client file related queries raised by clients in a clear and concise manner.
  • To ensure that in the event clients’ queries cannot be responded to on the date of receipt that clients are provided with, where possible, on that date, an indication of the timescales involved.
  • To report to the Head of Compliance any specific issues or concerns regarding the clients which might realistically affect the client’s ability to trade, or affect the client or the business’ ability to fulfil its commercial and contractual obligations to one another.
  • Have and maintain a detailed understanding of the Compliance Monitoring programme and how this interacts with the CFR consistency requirements.
  • Excellent interpersonal skills and be able to self-motivate and also be a team player.
  • Full Driving licence.
  • Be familiar with overall services so that you can direct clients to the relevant areas, for support across the whole business, compliance, technical, training, business strategy etc., whether this is identified by the client or by you.
  • May be required to undertake travel and occasional overnight stays where external client file review visits are required, in supporting the threesixty business needs.
  • Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6

Benefits: 4 x DIS, 5% Employer Contribution GPP. 25 days holiday. Private Medical care. Income Protection

To apply for this position please call the office on 0161 973 0133 or email

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