Compliance Monitoring Officer / Business Compliance Officer

Liverpool, Merseyside, England
22 Jan 2019
19 Feb 2019
Bluetown Online
Contract Type
Full Time

Job Title: Compliance Monitoring Officer (2 Roles Available - 1 Perm, 1 FTC 12 months)

Location: Liverpool

Salary: Competitive

Job Type: Full time, Permanent / 12 Month FTC - Please specify which you are applying for

The Company is one of the UK's leading investment managers, managing more than £39 billion for their clients, and they employ over 1,200 people across 15 locations in the UK and Jersey.

They began life as a family business and is now a FTSE 250 listed company, which through its subsidiaries, is a leading provider of high-quality, personalised investment and wealth management services for private clients, charities and trustees.

With a rich history dating back to the 1740s, looking forward has carried them and their clients safely through many eras. They continue to move with the times, blending new ideas and bespoke technology with their long-standing investment experience and constant values.

Their success is based on delivering a highly professional and personal service to their clients. They believe this can only be achieved by having engaged and motivated employees with a diverse range of backgrounds, skills and experiences. Their employee strategy, policies and investment plans are all designed to achieve these goals.

Working at the company is more than a job for their employees and they offer a nurturing, development-led working environment with a competitive benefits package. Many of their employees are also shareholders, which is something that we will continue to encourage.

The Role:

This is an exciting opportunity to provide business monitoring support to the Compliance department and contribute towards the efficient running of the team. The position will complement the service provided by the Liverpool Compliance Department.

You will be responsible for leading compliance monitoring reviews and assessing various business processes for adherence to regulatory requirements, producing a final report documenting key findings and recommendations.

Key Responsibilities and Accountabilities:

  • Responsibility for effective time management of monitoring reviews whilst ensuring work is completed to a high standard
  • Engage with key stakeholders (at times senior) and outline the proposed scope of the monitoring review together with a close down meeting (with compliance management assistance) once the work is completed and a final report produced
  • Develop and maintain own technical skills. Proactively develop the skills and knowledge of the business and the regulatory environment in which the business operates
  • To assist in the management of the compliance function to develop systems of working which are in support of the business strategy within the firm, and assist management of the business by identifying, measuring and managing risks which may give rise to regulatory concern

To be successful in this role, you will have/be:

  • Prior experience within the investment management industry
  • Prior experience within a Compliance role which has involved monitoring against or analysing FCA requirements
  • Compliance relevant qualification
  • Prior knowledge/experience of specific FCA sourcebooks such as MAR, COBS, CASS, MCOB, CONC
  • Strong IT skills including Microsoft Word/Excel)


  • A company pension
  • Private medical insurance
  • Life assurance
  • Company share scheme
  • Income protection
  • Season ticket loans
  • A range of other voluntary benefits

They are an equal opportunities employer and it is their policy to ensure that all job applicants and employees are treated fairly and on merit regardless of their race, gender, marital status, age, disability, religious belief or sexual orientation.

Please click the APPLY button to send your CV and covering letter for this role.

Candidates with the experience or relevant job titles of; Conduct and Compliance Lead, Quality Administrator, Quality Control, Audit Administrator, Compliance Lead, QC Manager, Quality Assurance Administrator, Quality Control Coordinator, Compliance Administrator, Quality Control Operator, Quality Assurance Assistant, Conduct & Compliance Coordinator, Assistant Auditor, Quality Assistant, Quality Control Development, Audit Assistant, Internal Auditor, Compliance Assistant, Quality Administrator, Quality Control Inspector, Compliance Supervisor, Conduct Analyst, Quality Control Analyst, Compliance Analyst will also be considered for this role.