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.
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:.
Managing a small team you will lead compliance efforts, ensuring that operations meet all necessary regulations and standards.
An excellent opportunity has come up to join the firm's successful compliance function as a Senior Compliance Manager, to oversee regulatory and legal compliance globally for the firm.
Our client is a market leading Technology business who are highly regarded across their sector, empowering them to create cutting-edge technology solutions for UK businesses.
The role will involve taking responsibility for the following
Reviewing third-party audit reports (client file reviews) and analysing the findings.
Job Description
Our client is a national wealth management firm who are looking for an experienced Training and Competence Manager.
This is a fantastic opportunity for someone wishing to join an exciting wealth management group focused on providing top-quality financial advice and wealth management services to retail and professional clients.