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.
Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
You will feedback findings in a positive and constructive manner to the advice team.
Join the Team That Keeps Our Community Safe and Secure!
Our client, a highly respected local government organisation, is on the lookout for passionate individuals to join their essential electronic tagging service team.
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We have a fantastic opportunity for two Homeless Officers for Wakefield Council, this is a full-time Temporary role for the next 5 months, with the possibility of extension.
What is the role
Wakefield Council are looking for a two Homeless Officers, to work within the Service Wide Duty Team of the Housing Needs Service, dealing with new inquiries and approaches for homeless assistance both by telephone, and in person at the services office.
Yoh will undertake homeless assessments, inquiry work and associated functions to enable the council to meet its statutory responsibilities.
Posted by Broadgate Search Ltd • £40K/yr to £50K/yr
General
Compliance Monitoring Manager
This position will assume responsibility for the company operating within all FCA, regulatory requirements, as well as internal policy; the business is a very well-established name in the Investments sector, known for their bespoke offerings within the pensions and financial advisory space.
The Role
Regularly review compliance policy and procedure for the business.