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Compliance Resource Solutions Ltd
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Manchester, Greater Manchester
Compliance Monitoring Officer
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Job Type: Full-time |
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Salary: £35,000 per annum |
Overview
Purpose The role of the Field Based Compliance Monitoring Officer is to provide a file review service 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 atmosphere. Key Outputs Undertake compliance file review audits on clients from offices, at clients premises or any other location to be agreed (dependent on whether internally or externally based) Deliver suitability assessments on client files in line with Service Level Agreements Generate reports, KPIs and Development Meeting Notes for clients as required 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 stand Provide oral feedback to clients in respect of compliance file reviews as required 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 Qualifications / Experience Essential 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 Level 4 qualified Desire to maintain competency in line with legislation and technical changes within the industry Good interpersonal skills Driving licence Highly desirable Experience of providing feedback to IFAs in relation to client file quality or T&C issues Good working knowledge of Microsoft Office and Excel Desirable Additional qualifications e.g. CF8, ER1, Cemap Desire to progress with technical qualifications Understanding of the complaints process