Compliance Monitoring Officer

We are seeking an experienced, Level 4 Diploma-qualified candidate to join our supportive team who deliver a file review and feedback service for medium to large financial services businesses.

For very experienced candidates, we would consider a fully remote role although you would still need to travel to our Manchester office from time to time. Less experienced candidates would need to work on hybrid basis.

three sixty is a leading UK-based provider of compliance, regulatory, and business-support services for financial advice firms and we are looking for a Compliance Monitoring Officer to join the team.

We offer practical guidance, training, research, and helpdesk support to help advisers manage regulatory responsibilities, strengthen governance, and operate more efficiently.

Role overview

The role of the Compliance Monitoring Officer is to provide a file review service to the clients of three sixty.

The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with clients.

Job requirements

Assess client files for suitability in line with FCA requirements and the client firm’s business standards

Answer compliance queries raised by clients or source a response from another area of three sixty

Undertake project work in relation to thematic reviews and other compliance issues as required

Maintain up to date and accurate knowledge in all regulatory and legislative areas required for file reviews

Provide a prompt and professional level of service consistent with the level of service offered by the rest of the business

Key outputs

Deliver a client file review service in line with Service Level Agreements

Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards

Provide oral feedback to clients in respect of client file reviews as required

Report to the Head of Compliance Monitoring any specific issues or concerns regarding client firms which might realistically affect their ability to trade, or affect their, or three sixty’s, ability to fulfil its commercial and contractual obligations to one another

Maintain a CPD record in line with FCA requirements for regulated individuals

Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance Monitoring

Maintain three sixty’s professionalism and ensuring that advice is not in conflict with other parts of the business, not exposing three sixty to commercial or reputational risk.

Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6

Experience in a compliance/technical area of a support service, network or IFA business.

Detailed knowledge of regulatory framework required to carry out client file review

Experience of providing feedback to IFAs in relation to client file quality or T&C issues

Exceptional verbal and written communication, with the ability to engage clients and internal stakeholderseffectively.

Attention to detail is a must

Working arrangements

This is normally a hybrid working role however,for very experienced candidates, we would consider a fully remote role although you would still need to travel to our Manchester office from time to time to join in-person team sessions.

Right to work

Applicants must already hold a legal right to work in the UK without time restrictions. We are currently unable to provide Skilled Worker visa sponsorship.