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.
Working alongside the Head of Risk and Compliance and a small compliance team, you will be responsible for:
Our client, a full-service law firm, is looking to recruit a Compliance Auditor into their growing compliance team in central Newcastle.
The role would suit a Compliance Auditor with upwards of 2 years' compliance auditing experience gained within a regulated legal or professional services business.
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.
Working alongside the Head of Risk and Compliance, you will be responsible for:
Our client, a leading law firm in the heart of Newcastle, is looking to recruit a Compliance Officer to join their growing compliance team.
The role would suit a Compliance Officer or Compliance Assistant, with upwards of 2 years' compliance experience gained either in a legal or professional services environment.
Posted by Safer Hand Solutions Ltd • £38K/yr to £45K/yr
Our client who are a leader in the commercial vehicle sector are seeking an experienced Regional Health, Safety, Environmental and Compliance Advisor to join the team.
Full time / Permanent
West Midlands - with travel to other sites (Derby, Dudley, Walsall, Wolverhampton and Wednesbury)
You'll be responsible for overseeing the day-to-day compliance monitoring program within a small legal and compliance team, engaging in a diverse range of tasks.
MERJE are supporting a boutique Private Equity firm in their search for a Compliance Associate in London.
Key responsibilities include identifying and evaluating current and future regulatory changes, formulating policies and guidance to safeguard the firm's reputation, and ensuring thorough compliance with regulations and investment mandates.
Lead and develop the Investment Advisory Compliance team, setting development goals and annual objectives.
Perform detailed analysis, interpretation, and practical application of new regulatory requirements affecting the company's investment activities.
Provide practical guidance to the company's investment teams in Equities and Fixed Income on interpreting and applying regulatory requirements, industry codes, and internal policies.