Our client, a highly successful and rapidly growing firm of independent financial advisers, is seeking an experienced Compliance Supervisor to join their dynamic team.
Key Responsibilities
Manage Compliance Operations: Oversee day-to-day compliance activities to ensure the firm adheres to all relevant regulations and internal policies.
Job Overview
As a Compliance Supervisor, you will play a crucial role in ensuring that all regulatory and compliance requirements are met, supporting the firm's commitment to maintaining the highest standards of service and integrity.
We are committed to providing our clients with the tools and expertise they need to achieve their financial goals, with a focus on innovation, integrity, good customer outcomes and client satisfaction.
They offer a diverse range of products and services designed to meet the evolving needs of their customers, from tailored financial advice to cutting-edge pension products, investment platform services, and discretionary fund management.
Company: A Wealth and Asset Manager, who pride themselves on being a forward-thinking organisation at the forefront of technological innovation.
Posted by Pavilion Recruitment Solutions • £45K/yr to £55K/yr
Great opportunity for a forward thinking Compliance professional to make their name in investment management.
About the role
You understand investments and portfolio management, and want to be in a growing firm that will give you the tools to make a difference and a strong base to accelerate your career.
The Group Compliance Function's aim is to proactively support Willis Towers Watson to generate sustainable value, helping the company to deliver good client outcomes, manage its conduct, protect against regulatory risk, and to maintain strong regulatory relationships.
We aim to be a trusted partner to the business.
Within Willis Towers Watson's internal control system, we form part of the Second Line of Defence, as a function independent from daily business activities.
Our client, a leading independent Oil & Gas operator, is currently seeking a Graduate Compliance Advisor to support their Decommissioning Team in a Compliance Support role.
This is a full-time position, working Monday - Friday, based in Norwich.
This role can be completed on a permanent staff basis, or on a 12-month contract.
This position is for a Compliance Adviser to support and work alongside the Head of Compliance in the compliance functions related to regulatory requirements and internal policies while also, supporting the wider Risk and Compliance team in improving the businesses approach in relation to compliance.
THE ROLE
To support the Head of Compliance in ensuring that company adheres to, appropriate systems and controls relevant to its business, its regulatory activities and activities ancillary to those regulatory activities in order to comply with all relevant laws, regulations, rules and best practices.
We are seeking a highly knowledgeable and experienced Regulatory Reporting Compliance Advisor on a contract basis to join the compliance advisory team.
The ideal candidate will focus on key regulatory frameworks, including MiFID II, EMIR, and SFTR, providing interpretative and advisory support to our regulatory reporting colleagues.
This role involves reviewing requirements, advising on regulatory interpretation and practice, control design, and resolving queries from the First Line of Defense (1LOD) regulatory reporting teams.