Our client is a long-established, owner-run IFA with a strong national presence and a decade of consistent growth.
They pride themselves on maintaining the highest standards of compliance and are seeking a skilled Head of Compliance to lead their compliance efforts for a team of advisors.
Position Overview
The Head of Compliance will play a crucial role in ensuring the firm adheres to all regulatory requirements and maintains exceptional compliance standards.
Our client is looking for an experienced IFA File Checker to join their the team and help ensure high standards across our client advice files and documentation.
Are you a detail-oriented compliance professional with a passion for financial services?
Posted by Resource Matters Ltd • £50K/yr to £60K/yr
Compliance Officer: Basic To £60k Package & Bonuses, working for a Dynamic IFA & Wealth Manager, Hybrid role
Working for a growing & dynamic wealth management firm you will be responsible for ensuring that the firm operate within the guidelines of the Financial Conduct Authority by implementing and overseeing company compliance policies and procedures.
The firm promote a fun and collaborative environment, where the whole team really enjoy working together.
Compliance Officer ( Financial ) - maternity cover - This is a 50/50 split of Work from home and in office eg one week in office one week from home .
Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol ,Bath ,Chippenham, Swindon etc ) are experts in the Financial Compliance industry; focussing mainly on the Motor Trade and Travel .
They have one of the UK's largest regulatory networks with many retail sites ( Network Members ) across the UK benefiting from a range of Finance and Insurance services.
Compliance Manager - this is a 50/50 split of Work from home and in office .
Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol ,Bath ,Chippenham, Swindon etc ) are experts in the Financial Compliance industry; focussing mainly on the Motor Trade and Travel .
They have one of the UK's largest regulatory networks with many retail sites ( Network Members ) across the UK benefiting from a range of Finance and Insurance services.
Our client is seeking a Compliance Officer with a strong background in file reviewing and a deep understanding of FCA COBs, particularly suitability.
The successful candidate will be responsible for conducting file reviews against Suitability requirements and internal standards, ensuring the highest level of compliance.
This role offers the opportunity to work within an established Central Compliance team, reporting directly to the Compliance Manager.
We are currently working with a Financial Services client based in North Tyneside who are looking for a Regulatory Risk and Compliance Manager to join their team in order to ensure compliance frameworks are efficient and effective.
You will report to the Head of Risk and Compliance, helping the client comply with regulatory requirements, industry standards and internal processes, whilst fostering a strong compliance culture within the team.
This role has a salary up to £45,000, working Monday to Friday 9-5, with hybrid working available after completing a successful probation.