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Business Monitoring Officer (Home Based)

  • Location: Birmingham
  • Salary: c.£40,000 + Benefits per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Contact Email:
  • Contact Phone: 0161 883 2746
  • Expiry Date: 17 April 2024
  • Job Ref: PS/11534B

Our client is a well-respected and growing Wealth Management firm.

Due to continued growth and success the firm is looking to recruiter a Business Monitoring Officer to check the suitability of advice provided by Advisers to ensure a high standard in line with the Regulator’s expectations.

In this role you will assist with the education and training of new and existing Financial Planners to ensure they have a thorough understanding of the compliance standards that need to be achieved and maintained.


  • To undertake client file reviews in line with company procedures covering all aspects of business written

  • Construct a clear and professional report on each file identifying whether the Financial Planner has met the regulatory and internal compliance requirements.

  • Provide both written and verbal feedback to Financial Planners regarding the findings of the review.

  • Build rapport with the Financial Planner to ensure that good relationships are maintained.

  • Assist with the development of internal systems and process within the monitoring team.

  • Provide support to the Directors as required.

  • Identify any negative trends and propose a resolution to achieve the required standards.

  • Assist with planning and delivering File Review training to Financial Planners and Paraplanners within the firm.  

  • Assist with Due Diligence exercises as required by the Directors.

Experience and key requirements are:

  • Candidates will be level 4 Diploma qualified.  

  • AF7 (Pension Transfers) and AF8 (Retirement Income Planning) qualifications are desirable.

  • Minimum of 3 years financial services industry experience, preferably in a compliance monitoring/file review/technical specialist role

  • Excellent attention to detail and analytical ability, with a high standard of both written & verbal communication skills.

  • Confident to be able to assist the Director in delivering training and presentations both on a one to one and company wide basis.

  • Ability to self-motivate in self-learning and the recording of CPD.

  • Diploma in Financial Planning (or equivalent) or working towards this.