A UK top 100 law firm with a fantastic reputation within the legal field is currently looking to recruit an experienced Quality & Compliance Auditor to play a key role in the ongoing development and implementation of the firm's comprehensive internal audit function.
You will be reporting directly to the Director of Risk and Compliance, supporting the firm's ongoing compliance with its existing external certifications, including but not limited to ISO9001, ISO14001 and ISO27001, CQS, SQM and any other certifications required to meet the needs of the firm.
You will be required to have proven experience in audit and file reviews within a legal or professional services environment.
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.
Posted by Lawes Consulting Group • £40K/yr to £45K/yr
Responsibilities
Conduct thorough audits of internal processes to ensure compliance with industry regulations and company policies.
General
We are seeking a detail-oriented and organised Quality Assurance (QA) professional to join our client's team as a QA Audit/Compliance Analyst.
The ideal candidate will be responsible for ensuring that the organisation adheres to regulatory standards and company policies, while maintaining the highest level of accuracy.
Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company's QA programme that safeguards the quality in our dealings with customers.
You will feedback findings in a positive and constructive manner to the advice team.
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.
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.
Our client is seeking an Internal Auditor to assess and enhance the effectiveness of our company's internal controls and processes.
The successful candidate will be responsible for evaluating financial and operational procedures, identifying areas of improvement, and ensuring compliance with relevant regulations and standards.
Key Responsibilities
- Conduct thorough and systematic audits of financial statements, operations, and internal controls.
As a compliance associate, you will perform administrative duties for the team and report to the associate director.
Due to team demands and a busy period, the team is urgently hiring a Compliance Associate to join the compliance team for a 4-month contract starting immediately!
We are recruiting for a client who is a leading and prestigious investment company based in the city of London.
Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
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.
Key Responsibilities
The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.