A boutique investment firm based in Central London is seeking a part-time regulatory advisor to support their trading and investment activities across various asset classes.
Wonderful opportunity to join a leading wealth client as a compliance manager, working across the region with a range of IFA Networks, to assist them on their regulatory requirements.
As a Compliance Manager/Partner your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
The role is key in the identification and resolution of customer, regulatory, reputational, and operational risks, which are a key component in establishing an effective control function.
Posted by Page Personnel Finance • £200/day to £220/day
My client is seeking a diligent and detail-oriented Compliance Assistant to join a dynamic compliance team.
The successful candidate will play a crucial role in ensuring their operations adhere to regulatory requirements and internal policies, contributing to their ongoing commitment to ethical practices and regulatory excellence.
This is a hybrid 12 month contract, offering the flexibility to work both remotely and from their central London office.
Posted by The Portfolio Group • £26K/yr to £28K/yr
As part of our dedicated Health & Safety Advice team, you'll be the go-to expert for legally compliant advice, helping clients navigate their health and safety responsibilities.
Join a vibrant team as a Health & Safety Advisor, where you'll provide expert advice and support to a diverse range of clients across various sectors.
Are you ready to make a real impact in health and safety?
Posted by Lawes Consulting Group • £25K/yr to £35K/yr
As a Compliance Analyst you will be responsible for completing a range of allocation tasks including breach logging and reporting, complaints handling, customer documentation reviews, approval of financial promotions and marketing material, reviewing new and replacement insurer and Delegated Authority agreements, managing, and maintaining the Group's Insurers and Markets TOBA Register and ensuring a robust process is in place for the management of Producing Brokers.
Posted by Page Personnel Finance • £24K/yr to £25K/yr
You will assist in monitoring, auditing, and reviewing compliance processes to mitigate risk, ensuring that our business operations align with legal and regulatory standards.
As an Associate Compliance Analyst, you will play a crucial role in ensuring the company adheres to all applicable regulations and internal policies within the financial services and debt management sector.
My client is a leading financial services debt management firm dedicated to providing innovative and compliant solutions to help individuals and businesses manage their debt.
At BK Plus we are seeking an Compliance Director to join our growing business.
The Compliance Director will lead our compliance program, ensuring that all our business operations and procedures comply with legal regulations and internal policies.
The role requires developing our existing suite of policies, conducting audits, and acting as a liaison between the company and our regulatory bodies.