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.
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.
Posted by Page Personnel Finance • £40K/yr to £45K/yr
You will be responsible for monitoring and managing compliance risks, providing advice and guidance on regulatory matters, and promoting a culture of compliance within the organisation.
As a Compliance Executive, you will play a crucial role in ensuring their operations adhere to regulatory requirements and internal policies.
Join a leading asset management company located in the heart of London.
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.
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