Portfolio are proud to be working with our client, a well-established Insurance provider who offer legal expenses insurance to small and medium sized businesses.
They have provided over 30 years' support, underwriting legal expenses risk for UK SMEs through the Peninsula Group.
In 2021, they took the exciting decision to share their expertise with the wider Insurance market.
The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with the clients.
The role of the Compliance Monitoring Officer is to provide a file review service to the clients.
The file reviews will mainly be for medium to large financial services businesses.
Portfolio are proud to be working with our client, a well-established Insurance provider who offer legal expenses insurance to small and medium sized businesses.
They have provided over 30 years' support, underwriting legal expenses risk for UK SMEs through the Peninsula Group.
In 2021, they took the exciting decision to share their expertise with the wider Insurance market.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.
A highly competitive package is on offer with a comprehensive benefits package.
We're currently looking to recruit a Compliance Policy Manager to join the team.
The Compliance policy team purpose is to leverage our relationships and expertise to provide advice, guidance, support and challenge to the business, in order to facilitate safe business growth and help our customers achieve their objectives.
Reporting to the Senior Compliance Manager you will be providing input into the product governance, engagement with product teams, regulatory projects, operational change and oversight of financial promotions.
As a Compliance Associate, you will be an integral part of the Compliance Team in the UK, championing the highest standards of ethical practices and regulatory adherence.
Your expertise will be crucial in steering the company through the complexities of compliance, ensuring that both the firm and its clients are protected from risk and are operating within legal parameters.
The brokerage seeks a diligent professional who is Cert CII qualified, demonstrating a robust understanding of the insurance industry's regulatory framework.