In this role, you must be able to worky with different stakeholders to ensure that you are delivering the required outcomes in a timely manner and that all the services and employee compliance is proactively maintained to the required standards.
The key focus of the role is to work with management and the care operation to be responsible for compliance and quality within the organisation, supporting with driving compliance standards and managing risks associated with non-compliance.
We have a great opportunity for a hardworking and driven individual, with a keen interest in Quality Assurance and compliance to join a well-established care provider based in Slough and requiring travel to operational locations.
We have an exciting role for experienced auditors, where you will be able to succeed professionally in a global company while keeping a great work-life balance!
We are seeking a dedicated and detail-oriented Compliance Analyst to join our Energy Infrastructure Solutions (EIS) Compliance team.
This team is integral to providing Data Protection, Audit, Internal Controls, Risk Management analysis, Insight, and Executive management reporting across EIS.
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.
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.
As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Role Responsibilities
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
To assist in the provision of high-quality compliance governance and supervision.
Implementing and maintaining the operation of effective systems and controls to mitigate business risks and to ensure compliance with FCA Regulation and the regulatory framework for ARs.
Reporting to the Managing Director, you will play an important role in ensuring compliance with relevant legislation and procedures.