Compliance Monitoring Officer - Permanent


Contract Type:

£40,000 - £40,000

Recruiter Name:
Darren Winter


Compliance Monitoring Officer 
Manchester (Head Office)
To £40,000 + benefits

cer Financial are excited to be working with a Business Consultancy based in Manchester (their head office), who are looking for a Compliance Monitoring Officer to join their team and to progress within the company. This company works closely with IFA’s and you would be expected to monitor and review files, offering best regulatory advice when required. 

The successful Compliance Monitoring Officer responsibilities include:

  • Undertake client file reviews for clients from the office, in some instances it may be fitting that these are carried out at the client’s premises or any other location to be agreed as needed by the business
  • Create file review assessment sheets and reports in line with the Compliance File Review Consistency programme, whilst reaching the requirements of the quality assessment programme
  • Advise the company of any support required in order to hit the objectives, KPI and key necessities of the role.
  • Provide fee based assistance to firms under an suitable contract for services and or letter of engagement
  • Familiarise firms to other departments or individuals within the company for provision of services where possible
  • Represent the business at industry and media events and conferences
  • Answer any client file related inquiries raised by clients in a clear and concise way.
  • Guarantee that in the event clients’ queries cannot be replied to on the date of receipt that clients are provided with, where possible, an warning of the timescales involved.
  • Report to the Head of Compliance any definite issues or concerns concerning the clients which might affect the client, or the company’s ability to fulfil its commercial and contractual obligations to one another.
  • Sustain professionalism and confirming that advice is not in conflict with other parts of the business, not revealing the company to commercial or reputational risk

The successful Compliance Monitoring Officer skills are:

  • Preserve a detailed knowledge of the companies Compliance Monitoring programme and how this interacts with the CFR consistency necessities.
  • Must have a full Driving licence.
  • Acquaint with the businesses overall services so that you can direct clients to the applicable areas, for support across the whole business, compliance, technical, training, business strategy etc.
  • Ability to undertake travel and occasional overnight stays where external client file review visits are essential, in supporting the business needs.
  • Minimum of QCF Level 4 Diploma qualification with a wish to continue to study through to level 6
  • At least 2 years working practice within a compliance monitoring position. 
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Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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