Posted by NELSON SCOTT RECRUITMENT SERVICES • £60K/yr to £75K/yr
This Independent Wealth Manager requiries an experienced, organised, and knowledgeable FLOD Compliance Manager to join the Financial Planning Leadership Team to build and deliver oversight of our Financial Advisers within the Financial Planning division").
As part of the team, you will have the opportunity to work in a fast-paced, collaborative environment where you will be able to utilise your skills and expertise to help deliver amazing outcomes for our clients, by placing first line risk, compliance and adviser oversight at the heart of the clients journey with us, whether through Select or Premier.
The role will report to the Managing Director of FP, but it is expected that the individual will work very closely with the Regional Directors, FP Training Manager and Director of Wealth Operations.
At LifeSearch, our Compliance Advisory Officer will play a crucial role in making sure we meet our regulatory requirements and deliver the best possible outcomes for our customers.
If you're a detail-oriented problem solver with a knack for simplifying complex regulations and communicating them clearly, this is the role for you!
What you'll be doing
You'll be the go to person for providing regulatory advice across LifeSearch, guiding our teams and helping ensure we're always compliant with FCA guidelines.
MERJE are delighted to be supporting one of their long-standing legal clients who is seeking a dedicated Compliance Assistant to support the Head of Compliance.
Our client is a highly successful, award-winning legal firm that specialises in providing top-tier legal services.
With a strong reputation in the industry, the company is committed to excellence and innovation in legal practice, offering a supportive and collaborative work environment for its employees.
Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis.
As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties.
Build a positive ethical firm culture that puts our clients' interests first, protects them from harm and safeguards the integrity of the firm through pro-active risk management, monitoring, training and process improvement.
Posted by Broadgate Search Ltd • £70K/yr to £100K/yr
Some Responsibilities
Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration.
General
The Senior Compliance Advisory Manager is responsible for ensuring that the company complies with all relevant laws, regulations, and internal policies.
They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
They pride themselves on maintaining the highest standards of compliance and are seeking a skilled Head of Compliance to lead their compliance efforts for a team of advisors.
Our client is a long-established, owner-run IFA with a strong national presence and a decade of consistent growth.
Position Overview
The Head of Compliance will play a crucial role in ensuring the firm adheres to all regulatory requirements and maintains exceptional compliance standards.
As a Compliance Analyst II, you will be responsible for tracking, reviewing, and communicating pending and passed regulations, agency guidelines, or directives that impact our client's lines of business.
Our client, a leading banking institution, is seeking a Compliance Analyst II to join their team.
This is a Fixed Term Contract position for a period of 18 months, based in, City of London.