We are working with a leading UK-based financial services and business management consultancy to hire a Compliance Officer in Manchester. The firm is looking for an experienced professional who holds a QCF Level 4 Diploma and possesses a deep understanding of the FCA suitability requirements. They are looking for candidates with exceptional communication skills and the ability to engage effectively with senior stakeholders. This role is offered on a hybrid working basis with 1 day per week in the office.
The responsibilities will include:
- Delivering a high-quality client file review service in strict accordance with established Service Level Agreements.
- Assessing financial advice files for suitability, ensuring they align with both regulatory expectations and specific business standards.
- Providing clear, constructive oral and written feedback to Independent Financial Advisers regarding file quality and training issues.
- Responding to complex compliance queries from clients or coordinating specialist responses from wider internal teams.
- Undertaking targeted project work, including thematic reviews and reporting on emerging compliance trends.
- Identifying and escalating specific regulatory risks or concerns that could impact a client’s ability to trade or their commercial obligations.
- Maintaining a meticulous CPD record and staying abreast of all legislative changes affecting the financial advice sector.
- Generating detailed reports and summaries of assessments for senior management to ensure firm-wide quality control.
If you are a proactive compliance specialist looking to apply your technical rigour within a market-leading consultancy, we invite you to apply. Please submit your application today to start a conversation about this role.
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