Compliance Officer – Consulting firm

London (Central), London (Greater)
£40,000 - £50,000
13 Aug 2018
12 Sep 2018
Job Function
Compliance, Regulation
Experience Level
Contract Type
Full time, Permanent

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

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