As a Compliance Officer, you will be responsible for ensuring that our organisation adheres to all applicable laws, regulations, and internal policies, promoting a culture of ethical conduct and integrity throughout the firm.
We are seeking a skilled and knowledgeable Compliance Officer to join our team.
Your expertise in legal compliance and attention to detail will play a vital role in safeguarding our reputation and maintaining our commitment to the highest standards of professional practice.
Our client is a successful financial planning business who are looking for a Compliance Officer to join the team.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing and monitoring effective compliance frameworks and policies across the company.
The successful candidate will be expected to
Support the Compliance Director in order to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc.
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly competitive package is on offer with a comprehensive benefits package.
Our client is a highly respected vendor and equipment finance company who operate across a broad range of assets and due to growth are looking to recruit a Compliance Officer to support the AML team.
Fantastic salary plus bonus and benefits
Responsibilities will include
Day to day customer due diligence (CDD) and know your customer (KYC);.