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 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.
We are pleased to partner with our client in recruiting a Compliance Assistant/Analyst for a permanent role offering a dynamic hybrid working environment
Compliance Assistant/Analyst - Hybrid - up to £35K
Are you passionate about compliance and looking to advance your career?
Posted by Vision-FS Recruitment • £35K/yr to £40K/yr
YOUR NEW COMPANY
Our client is a leading North West-based financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice.
Salary/Package: Up to £40,000 (depending on experience), annual bonus, 25 days' annual leave, pension (6% employer/3% employee), PMI, study support, income protection
Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company's QA programme that safeguards the quality in our dealings with customers.
You will feedback findings in a positive and constructive manner to the advice team.