Compliance Monitoring Officer, Stockport

Financial Services Compliance vacancy in Stockport.  Compliance Monitoring Officer: 


Our Client is a major player within the IFA Market. They now wish to add to their already busy Compliance Team and want to meet with Compliance Professionals, in the Stockport area, who ideally have experience of working within a Desk Based Compliance Monitoring Environment.

Purpose of The Role:

To Establish / Maintain and develop standards for best advice and to improve relations between my Client and the IFA.

Key Responsibilities of the role:

1. To assess client files to ensure that Business quality standards are being met

2. To feedback the results to the Registered Individual and T & C Supervisors

3. To comply with all applicable FSA rules and requirements relevant to the role.

Objectives - Associated Activities Key Tasks:

• To assess an agreed number of client files per day within the agreed criteria and record the results of the assessment

• To assess the client files within the agreed criteria.

• To ensure, through constant communication with the registered Individuals, that an agreed number of cases per week are signed off.

• To ensure our Registered Individuals follow all Compliance and Training & Competence processes rules and procedures

• To be able to communicate effectively where remedial action is required and what the outcome of such remedial action is likely to be

Experience and Qualifications:

• At least FPC and CeMAP or equivalent and willing to progress towards the Diploma status under the CII.

• Good understanding of the group’s Training and Competence scheme and Compliance quality standards, and how to manipulate those in the day to day running of your work load.

You MUST have Previous or Existing Experience of working within a Compliance or Paraplanning Role.

There is also a Good Benefits Package available


To apply for this position please click here.