As a Compliance Consultant, you are responsible for carrying out monitoring of compliance with internal procedures, dealing with complaints and breaches, investigating root cause, ensuring business areas update procedures to mitigate risks and liaising with clients and third parties such as the Financial Ombudsman Service (FOS).
The Compliance Consultant role is to ensure the business is acting professionally and in accordance with regulation and internal procedures.
A Liverpool based financial advice / wealth management firm.
Talent84 is delighted to once again be supporting our award-winning fintech client with their search for a Trainee Compliance Consultant to join their busy compliance department team.
Salary £ 23,795 plus £500 monthly bonus
This is an exciting opportunity for an enthusiastic professional to join one of the UK's leading wealth management companies and play a key role.
Step into a pivotal role within a dynamic Compliance Team, where your expertise will be instrumental in maintaining the highest standards of regulatory adherence and quality control.
Imagine a career where each day brings a blend of meticulous oversight and collaborative engagement, all within the standard working hours of 09:00am to 17:30pm.
This full-time position, nestled in the heart of Chester, offers not just a workplace but a thriving environment where your contributions are valued and rewarded.
To assist in the provision of high-quality compliance governance and supervision.
Reporting to the Managing Director, you will play an important role in ensuring compliance with relevant legislation and procedures.
Implementing and maintaining the operation of effective systems and controls to mitigate business risks and to ensure compliance with FCA Regulation and the regulatory framework for ARs.
You will be required to demonstrate previous experience of working in a busy Compliance department (preferably within a Law Firm), with excellent AML and Regulatory Compliance knowledge and preferably a compliance or risk qualification.
A multi- service legal 500 law firm based in Chester City Centre is currently looking to recruit a Quality & Compliance Coordinator.
You will work within the Quality and Compliance Team, assisting with day-to-day operations, including the maintenance of records, and conduction of file reviews.
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world.
We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information company.
Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems.
Our client, a notable industry pension provider, collaborate with regulated financial advisers offering a range of personal pensions for UK and non-UK residents.
With a clear focus on financial services technology and innovation, backed by a strong set of values, their pension solutions ensure robust and continued performance for clients.
They offer advanced pension products, which have won various industry awards to date, with an unwavering focus on clients and their products.