Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
Key Responsibilities
The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.
The role will involve taking responsibility for the following
Reviewing third-party audit reports (client file reviews) and analysing the findings.
Job Description
Our client is a national wealth management firm who are looking for an experienced Training and Competence Manager.
This is a fantastic opportunity for someone wishing to join an exciting wealth management group focused on providing top-quality financial advice and wealth management services to retail and professional clients.
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
General
As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Posted by Medlock Partners Limited • £78,299.52/yr to £88,086.97/yr
A prominent law firm is looking for an experienced AML Compliance Manager to join their Risk & Compliance team in Manchester.
This newly established role has been created to support fee earners by managing complex queries, delivering targeted training, and overseeing the firm's Anti-Money Laundering (AML) policies and compliance processes.
The position also ensures adherence to AML and sanctions regulations across the organization.
A fantastic and rare opportunity has arisen for an experienced Compliance Manager to join a well-respected multi-service law firm in Manchester City Centre.
This is a new role for the firm and has been created to support the fee earning departments through dealing with escalated queries and training, manage the firm's AML policies and procedures, as well as ensuring compliance across the firm in relation to AML and Sanctions legislation.
You must have experience of working in AML in a law firm and have a genuine desire to develop a career in AML, including an appetite to learn and develop knowledge in other areas of risk and compliance.
Posted by In Technology Group Limited • £40K/yr to £50K/yr
About Us
We are working with a leading player in the Financial and Legal Sector who are on the hunt for an experienced and meticulous IT Compliance Manager to join their ranks in managing and maintaining key accreditations to continue driving the success of a multimillion-pound organisation.
Role Overview
Your expertise will ensure our compliance with industry regulations and standards, supporting our ongoing efforts in Data protection and Corporate Social Responsibility (CSR) projects.
As an IT Compliance Manager, you will play a critical role in maintaining and enhancing our accreditations for various ISO standards, including 27001, 5001, 4001, and 9001.
The role involves managing AML policies, handling complex queries, providing training, and ensuring firm-wide compliance with AML and sanctions regulations.
We are delighted to be working with a top law firm in Manchester on an AML Compliance Manager position.
A leading law firm in Manchester is looking for an experienced Risk & Compliance Executive to join their dynamic team.
This is an exciting opportunity for someone with a strong background in compliance and civil litigation to play a key role in mitigating regulatory risks and exposures.
Key Responsibilities
Assist the Compliance Officer for Legal Practice (COLP) in handling claims, complaints, Data Subject Access Requests (DSARs), and associated litigation.