Compliance Monitoring Officer

Know how good financial advice should look?

Maybe you’ve been an adviser. Maybe you check files. Maybe you’re a paraplanner who understands the advice process inside out.

Either way, if you know what good advice looks like, and more importantly what can go wrong, this could be a very good next step.

You’ll join a small, experienced Compliance Monitoring team within a national financial services business, carrying out 2nd line oversight across the advice operation.

For someone currently working in advice or checking files, it’s a chance to broaden your experience, move into genuine 2nd line compliance monitoring and develop beyond individual cases.

You’ll get exposure to controls, regulation, adviser standards and wider business risk, while working directly with an experienced Compliance Monitoring Manager.


PACKAGE

The salary is TO £45,000, depending on experience, alongside a strong benefits package including:

• 25 days’ holiday, increasing to 28 with service
• Employer pension contribution, increasing with length of service
• 2 x salary life assurance
• 24/7 GP and digital healthcare for you and your household
• Medicash health cash plan
• Employee Assistance Programme
• Enhanced maternity, paternity and adoption leave
• Paid sickness leave
• Specsavers eyecare
• Company and team events
• Free on-site parking

THE JOB

You’ll be reviewing how advice is being delivered, testing controls and identifying where processes, behaviours or outcomes need improving.

That means using your understanding of the advice journey, regulation and suitability to look beyond individual files and help the business maintain strong standards.

You’ll work directly with the Compliance Monitoring Manager as part of a team of four. The existing team includes people from both adviser and compliance monitoring backgrounds, so they’re open-minded about where you’ve come from.


HERE'S WHAT YOU'LL NEED

The key thing is that you understand the regulated advice process.

You might currently be:

• a Financial Adviser
• a Mortgage Adviser
• a File Checker
• an Advice Quality Specialist
• a Compliance Monitoring Officer
• a Paraplanner with strong regulatory knowledge

You don’t necessarily need previous 2nd line compliance experience. If you’ve worked close enough to advice to understand suitability, documentation, adviser responsibilities and where risks can emerge, they’re happy to consider you.

What won’t work is a background focused mainly on AML, KYC or financial crime without exposure to regulated advice.



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