Our client, a full-service law firm, is looking to recruit a Compliance Auditor into their growing compliance team in central Newcastle.
The role would suit a Compliance Auditor with upwards of 2 years' compliance auditing experience gained within a regulated legal or professional services business.
Working alongside the Head of Risk and Compliance and a small compliance team, you will be responsible for:
We are seeking an Internal Compliance Auditor to ensure our client's practices, records, and controls meet the highest standards of regulatory compliance and accreditation requirements.
We are currently seeking a Compliance Auditor to join our client, a prestigious legal firm, based in Newcastle city centre.
This role is integral to maintaining their commitment to quality and excellence.
You will work across the firm to plan and conduct monthly quality audits on fee earners, to ensure practice, records and controls are in line with regulations.
You will perform risk assessments and internal control evaluations.
One of our long standing partners, a brilliant full service Legal 500 law firm is currently looking to add to their risk and compliance function, joining a growing law firm with an incredible supportive team with a culture of trust and respect.
Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company's QA programme that safeguards the quality in our dealings with customers.
You will feedback findings in a positive and constructive manner to the advice team.
Posted by LHH Recruitment Solutions • £50K/yr to £55K/yr
Compliance Monitoring - Pensions
Our client, a leading player in the Pensions industry, is currently seeking a talented and driven individual to join their team as a Compliance Monitoring professional.
As part of their organisation, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards.
As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Role Responsibilities
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
The Compliance function delivers independent oversight and assurance, as well as advice in relation to FCA regulation and the effective design and operation of the control environment of the firm.
Our client, a highly successful Investment Management firm, are looking for a Compliance Officer to join the business.
This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all the firm's departments.
Our client is seeking an Internal Auditor to assess and enhance the effectiveness of our company's internal controls and processes.
The successful candidate will be responsible for evaluating financial and operational procedures, identifying areas of improvement, and ensuring compliance with relevant regulations and standards.
Key Responsibilities
- Conduct thorough and systematic audits of financial statements, operations, and internal controls.
Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
Key Responsibilities
The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.