Compliance Monitoring Executive - Sale, Manchester

Following our recent authorisation by the FCA, it is an exciting time to join the One Advice Group! We are currently recruiting for a Compliance Monitoring Executive to join our Compliance department in our office in Sale (M33).

About The Role
Compliance Monitoring Executive
Department: Compliance
Location: Sale, M33
Salary: £30,000 - £40,000

The Compliance Monitoring Executive will undertake thematic reviews to ensure that the Group's FCA compliance strategy, policies and operational processes are adhered to and that all gaps and risks are identified and reported to the business for remediation . They will require strong interpersonal skills and preferably have previous experience in the regulatory field within the FCA environment. It is essential that candidates applying have compliance monitoring experience. The ideal candidate will have a proactive approach to the role and be able to communicate effectively and analytically.
Key Responsibilities
  • Regulatory risk is managed in line with risk appetite and policy across the Business.
  • Develops and implements corrective action plans for the resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future through the FS compliance development plan strategy.
  • Assists in the production of the Annual Risk & Compliance Monitoring Plan and its completion.
  • Conducts root cause analysis in respect to risk based reviews and undertakes investigations as required by Management.
  • Complete ad hoc reporting as and when required in line with identified risks from investigative reporting.
  • Acts as an independent review and evaluation body to ensure that compliance issues and concerns within the Business are being appropriately evaluated, investigated and resolved.
  • 360 degree approach in communicating remediation and corrective actions post-review.
  • Escalate any breaches, non conformances and risks including fraud as identified and required. Produce comprehensive and effective reporting detailing findings and actions required.
Compliance Monitoring experience is essential for the role 

About the One Advice Group
The Group incorporates HB Financial Solutions Ltd, one of the UK’s leading debt solution providers. Harrington Brooks and One Advice Ltd are currently helping customers repay their unsecured debts through financial management plans (FMP or DMP) and 25,000 customers trust them to handle their Individual Voluntary Arrangement (IVA).
Located in Jackson House, Sale - the office is in the heart of South Manchester with great access to local parking and public transport. We are closed on bank holidays and weekends, so if you are looking for a Monday to Friday position then this could be the role for you.
We offer a competitive salary, and will invest in your future and career progression within the Group. We provide excellent company benefits for successful candidates joining us such as subsidised gym membership, enhanced maternity/paternity pay, holiday buy scheme and many more!

If you are interested in this position, please send your CV and cover letter to