Compliance Monitoring Officer

Compliance Monitoring Officer

mbf. | West Yorkshire, England, UK

Posted 20 days ago

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Compliance Monitoring Officer - Advice Quality - 100% flexible Home Based working available if desired - to £45,000 plus Benefits

MBF have recently picked up an excellent new vacancy which can be based anywhere in the UK, either 100% from home or from your local office (or a mx of both). Our client, a National Wealth & Investment Management Organisation, are currently looking to hire an Advice Quality Officer to their busy team.

The role:

  • The purpose of the Advice Quality Officer is to conduct pre-approval and post sale File Reviews checks on advice given by their Financial Planners.
  • Business varies from Investments, Pensions, IHT, Protection etc.
  • You will also have to provide feedback to Advisors and Paraplanners based on your findings, working closely with them to resolve any issues


  • Candidates MUST be level 4 Diploma qualified as a minimum - those with advanced qualifications such as AF3 or AF7 would have an advantage
  • Previous experience of working within a Financial Planning environment is ESSENTIAL
  • Alongside experienced File Reviewers, the company would invite applications from candidates with different backgrounds; for example Paraplanners, Financial Advisors etc looking to use their experience in a different way

On offer

  • Generous salary of up to £45,000 plus company benefits and bonus
  • Completely flexible working - work from home, the local office or a mix of both
  • Flexible working hours
  • Study support and progression opportunities