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.
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.
Our client, a highly successful firm operating in the wealth management space, are looking for a Regulatory Consultant to assist in providing Compliance support to a list of directly authorised businesses.
Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
Key Responsibilities
The role of the Regulatory Consultant will be to support the Compliance function in the delivery of the following requirements:.
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.
Posted by London Stock Exchange • £20K/yr to £100K/yr
We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us.
LSEG is more than a diversified global financial markets infrastructure and data business.
With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs.
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