The Compliance Officer will be responsible for ensuring that the company operates in full compliance with all relevant regulations set forth by the Financial Conduct Authority (FCA) and other applicable regulatory bodies.
The Compliance Officer will develop, implement, and oversee compliance policies and procedures to mitigate regulatory risks and ensure that the company's operations adhere to all regulatory requirements.
About Us: Our client a well-established, boutique firm of Independent Financial Advisors (IFAs) based in Cheshire, committed to providing tailored financial advice to their diverse clientele.
This firm prides itself on delivering a personalised service with the utmost integrity and professionalism.
To liaise with internal and external stakeholders as required in order to continually target and maintain 100% compliance across all of the Association's compliance areas.
General
To be responsible for you and your team in continually achieving and maintaining 100% compliance in respect of all landlord compliance areas which will include, gas, EICRs, asbestos, adaptation servicing, fire, legionella, powered doors, PAT testing, etc.
As Head of Compliance you will be responsible for ensuring the business is compliant with both internal and external policies and regulations.
The Head of Compliance oversees the development and implementation of procedures that facilitate compliance, the postholder will also work with other stakeholders to ensure compliance throughout all departments and ensure that the organisation has the necessary resources to research and track external laws, regulations, and industry standards.
We are partnered with a rapidly expanding and acquisitive Wealth Management firm in their search for an Interim Head of Compliance on a 6 month contract.
The role is suited to someone with 2 years' experience within the financial advice sector, as an IFA Administrator or within compliance.
Ideally this will be an organised individual who will work with Financial Advisors within member firms to identify the required compliance framework and ensure it is followed through planning and clear conversation.
Our client is a successful and established IFA firm in Liverpool and they are currently looking for a Compliance Officer/File review to join their team
We will consider either an adviser looking for a new challenge or a Paraplanner looking to move into compliance
The role is for an industry experienced person from a Financial Planning background with the Level 4 Diploma or close to it
As Head of Compliance you will be responsible for ensuring the business is compliant with both internal and external policies and regulations.
The Head of Compliance oversees the development and implementation of procedures that facilitate compliance, the postholder will also work with other stakeholders to ensure compliance throughout all departments and ensure that the organisation has the necessary resources to research and track external laws, regulations, and industry standards..
We are partnered with a rapidly expanding and acquisitive Wealth Management firm in their search for a Head of Compliance.
The Compliance Officer will provide direct support, training and advisory work to business heads and operations to develop their understanding of FCA-regulated processes and policies.A background in consumer credit is essential, ideally auto-finance.
Play a key role in implementing and embedding the Risk & Compliance Framework for the UK operations of this global brand, having recently been authorised by the FCA as a Credit Broker for consumer credit and credit finance products.
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.