The Compliance function delivers independent oversight and assurance, as well as advice in relation to FCA regulation and the effective design and operation of the control environment of the firm.
Our client, a highly successful Investment Management firm, are looking for a Compliance Officer to join the business.
This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all the firm's departments.
We are working with our client to recruit an individual with attention to detail and diligence to join their Risk and Compliance team.
If you have experience in conducting risk analysis, AML checks, resolving escalated conflicts and become a point of contact on all client onboarding queries we want to hear from you!
To be considered for the role, you'll require the following essentials:
Posted by Bibby Financial Services • £50K/yr to £64K/yr
Bibby Financial Services have an exciting opportunity available for a reliable Compliance Manager FX & Leasing to join our team on a hybrid contract, flexible UK Location with some presence needed in Leeds/Brentwood on occasion.
You will join us on a full time, permanent basis and in return, you will receive a competitive salary of £50,000 - £64,000 per annum and great benefits.
We've supported small and medium-sized enterprises (SMEs) since 1982 and today we support more than 9000 businesses worldwide.
Posted by IDEX Consulting Ltd • £70K/yr to £80K/yr
An exciting opportunity has arisen for an experienced Chartered Financial Planner to join a growing advice team for a highly reputable wealth advisory firm.
You will be joining a team, looking to build an innovative and disruptive guidance and advice proposition aimed at improving financial wellbeing through the workplace.
Their mission is to improve financial security for people regardless of their age and wealth.
A market-leading specialist insurance company are looking to recruit a Risk and Compliance Manager to support the Head of Risk and Compliance in ensuring that business processes, transactions, and corporate governance adhere to all relevant regulatory, legal, and internal guidelines.
Role and Responsibilities
Development and enhancement of compliance processes in accordance with market practice to meet regulatory expectations, setting up and monitoring adequate and appropriate systems and controls to ensure that the firm meets its regulatory requirements.
Building effective relationships within the business to ensure that an effective compliance culture is in place, promoting positive engagement and behaviours within Commercial Express, leading by example as a role model.
Posted by Birchlake Recruitment Ltd • £50K/yr to £60K/yr
General
We are delighted to be exclusively partnering with an independent financial advice business that are looking to appoint a Training & Competency (T&C) Supervisor.
This is a remote role with a £3.6k car allowance and there will be occasional travel to their Head office.
Role Purpose
The role will facilitate and help deliver the firms T&C requirements as defined by the FCA and the business.