IFA Compliance Monitoring Officer

An IFA Compliance Monitoring Officer is required by a market leading financial services provider to undertake compliance reviews for clients.

You will carry out client file reviews (minimum of 6 per day) in line with agreed contracts. Although some reviews will be individual cases and on an ad hoc basis it is expected that you will also carry out additional remote review days as the schedule requires. In addition, where possible and where requested by the client, you will provide clients with a written response to their compliance review / queries. You will also ensure that these responses are accurately recorded and tracked accordingly on the CRM back office system thereby ensuring a positive impression of the value of the compliance monitoring function for all clients.

You will be a minimum of Level 4 Diploma qualified and will ideally wish to continue your studies to Level 6. You may have previously worked in a compliance role or may be an experienced Paraplanner or even Financial Advisor seeking to take your career in a different direction. In addition you must possess excellent communication and stakeholder management skills.

Location:Greater Manchester

Salary:£35000 - £45000 Per Annum


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