Compliance Monitoring Officer - Liverpool

  • Location

    Liverpool, Merseyside

  • Sector:

    Financial Services, Admin & Business Support

  • Job type:


  • Salary:

    £30000 - £40000 per annum

  • Contact:

    Alice Roberts

  • Email:


  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


  • Consultant:

    Alice Roberts

I am working with a great directly authorised IFA based North of Liverpool, who are looking for a Compliance Monitoring Officer to deliver high quality regulatory support and guidance in relation to client file reviews.

Primarily looking after the quality of business submissions within the firm, the ideal candidate will have experience of reviewing regulated financial advice across a wide range of advice areas. The role will also have some involvement in the firms training and competence.


  • Review client files in line with company procedures.
  • Construct a professional and clear report on each file identifying areas where the firm can improve their regulatory behaviour;
  • Build rapport with Business Consultants in order to forge good communication links and help provide a bespoke service.
  • Maintain up to date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced
  • Provide support to the Technical Services Partner as required
  • Assist other Technical areas as required.


  • £30,000 - £40,000 basic salary
  • Progression
  • 1 or 2 days flexibility working from home
  • Sociable office hours


  • Level 4 diploma qualified highly desirable
  • Excellent knowledge of UK regulatory framework
  • 12 months minimum experience in a similar role

Due to high amounts of applications if you have not been contacted within 7 days, please consider your application as unsuccessful.

This job has been posted by GCB Agency Recruitment Ltd who is acting as the Employment Agency in relation to this vacancy, working on behalf of their client who is confidential at this stage.