Compliance Officer – Consulting firm

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £40,000 - £50,000

  • Consultant:

    Kirstie Burn

  • Email:


  • Job ref:


  • Published:

    11 days ago

Reporting to the Compliance Manager, you will assist in carrying out regular monitoring in various business areas, in line with the firm’s monitoring programme.


  • Monitoring: Carry out regular monitoring of the Financial Services business including;
    - reviewing advice given to clients, which cover all retail investment products
    - reviewing the sale of group risk schemes and products
    - ensuring any remedial action arising from this monitoring activity is completed within a timely manner
    - recording any rule breaches arising from this monitoring, investigate the issues arising and report the outcome
    - reviewing the winding up of occupational pension schemes
  • Reporting: Take responsibility for the timely production of the following reports arising from the monitoring activities:
    - Producing individual file review feedback reports for advisers, including remedial action requirements where necessary
    - Producing relevant management information and trend analysis
    - Producing monitoring reports to the firm’s standard templates, in a timely manner
  • Compliance guidance and advice: Provide advice and guidance to the business in respect of the firm’s compliance requirements as required; including:
    - Assist in the review and approval of marketing material, including FCA financial promotions
    - Assist in ensuring that compliance department procedures manuals are updated as and when required
  • Regulatory Matters such as completing FCA disclosure documents, research into new regulations or legislation and maintaining an up to date understanding of FCA regulations


Key Competencies:

  • An industry qualification would be an advantage or willingness to undertake relevant study
  • Preferably degree educated
  • Knowledge and experience of compliance monitoring in the areas of pensions, life assurance and retail investments, preferably in the IFA market
  • FCA handbook knowledge around COBS, ICOBS and PERG
  • An interest in maintaining up to date knowledge of the rules, regulations and guidance provided by the FCA in all aspects in the IFA market