Compliance Monitoring Officer - Manchester - Fintel Services

    Fintel Services
    Fintel Services Manchester

    1 day ago

    Description

    At Fintel Services, we empower financial professionals with trusted tools, insights and support to shape the future of financial advice.

    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 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.

    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 ensuring 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.

    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, England, GB


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Compliance monitoring officer