Compliance Monitoring Officer

  • Location


  • Sector:

    Financial Planning

  • Job type:


  • Salary:

    £30000 - £36000 per annum + plus Bonus plus Benefits

  • Contact:

    David Everingham

  • Contact email:

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


  • Consultant:


Compliance Monitoring Officer - Solihull/ Home based - Salary to £36,000 plus bonus and benefits

MBF Recruitment are working with a West Midlands based firm of Chartered Financial Planners who are currently recruiting for a Compliance Monitoring Officer for their team.

The role is mainly home based, with the successful candidate required to attend the office only once a week on a rotation basis with other staff.

The role:

  • Working alongside the Operations Director, your role will be to assist in implementing the company's Compliance Monitoring & T&C plan
  • file checks (both pre-authorisation and post)
  • Delivering MI for senior management to assist in the running of the business
  • Perform the role of T&C supervisor in assessing adviser competency, through observations, 1;1's and testing
  • Provide due diligence on proposed providers, products and funds to be added to the panels


  • Experience working within the Financial Planning/ Financial Advice sector is essential
  • Ideally candidates will have previous experience working in a compliance or T&C focused role, with a keen interest in this area
  • File Checking experience would be preferred
  • Ideally you will be Diploma Qualified, although this is not essential

On offer:

  • Basic salary of up to £36,000 plus company benefits
  • Very flexible working - mainly home-based role, only 1 day per week in the office
  • Opportunity to progress within a growing business, working directly alongside decision makers