Compliance Monitoring Officer

Compliance Monitoring Officer

Job Title: Compliance Monitoring Officer
Contract Type: Permanent
Location: Liverpool
Salary: £30000 - £40000 per annum, Benefits: pension scheme + benefits
Start Date: asap
Reference: BWD-MC-CMO-LV
Contact Name: Monika Carlton
Contact Email:
Job Published: March 20, 2017 17:30

Job Description

How would you like to work for one of the big players in the Financial Services industry? Do you like the sound of walking into a role that will allow you to use the entirety of your Compliance Monitoring and Investments knowledge and expertise? What if we said that in this job, in this company, your personal career development will be crucial and will always be a priority?

IF YOU aren’t afraid of a good challenge, and relish taking on the responsibility, this role is most definitely for you.

As part of your role you will:
  • Undertaking compliance monitoring reviews with a particular focus on suitability of recommendations and investment decisions
  • Support the Compliance team and build relationships within the business. The recommendations, based upon the findings will be effectively communicated and implemented with information regularly updated to the management team
  • Work to the compliance monitoring plan, undertaking reviews with particular focus on suitability reviews, identifying risks, remedial actions and recommendations and follow up actions
  • Production of accurate and timely reports in respect of compliance assurance activity
  • Production of accurate and timely monthly reports regarding activity and issues to the Head of Investment Compliance
  • Assist in preparing the compliance monitoring plan
  • Provision of feedback to senior management, investment managers and associates
  • Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team
  • Assist the team head to manage regulatory risk, including risk identification, assessment, mitigation, control and monitoring.
And you will:
  • Possess strong analytical skills.
  • QCF level 4 qualification in Regulated Financial Advice.
  • Degree holder preferable; CFA/IMC, Compliance Diploma
  • Compliance monitoring skills and experience with particular focus on suitability reviews
  • Excellent knowledge of FCA Rules and regulations, in particular ; COBS; Up to date CPD
  • Experience in a compliance role within an asset/wealth/investment manager environment
  • Excellent communication skills; The ability to influence at all levels; good judgement and decision making skills; coaching and training skills; the ability to work with a good degree of autonomy individually, and as part of a team.
  • Competent using Microsoft packages such as Word, Excel and Outlook
If any of the above strikes a chord, click on the ‘Apply’ button or, alternatively, send your CV to We promise we will contact you with feedback, regardless of the outcome.