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.
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.
Posted by Resource Matters Ltd • £50K/yr to £55K/yr
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 Financial Services Compliance Officer role will require you to coordinate the training & competence requirements of the staff and organize training where required to ensure that the team are monitored and supported in their roles.
Posted by Resource Matters Ltd • £50K/yr to £55K/yr
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 Financial Services Compliance Officer role will require you to coordinate the training & competence requirements of the staff and organize training where required to ensure that the team are monitored and supported in their roles.
Posted by NELSON SCOTT RECRUITMENT SERVICES • £60K/yr to £75K/yr
This Independent Wealth Manager requiries an experienced, organised, and knowledgeable FLOD Compliance Manager to join the Financial Planning Leadership Team to build and deliver oversight of our Financial Advisers within the Financial Planning division").
As part of the team, you will have the opportunity to work in a fast-paced, collaborative environment where you will be able to utilise your skills and expertise to help deliver amazing outcomes for our clients, by placing first line risk, compliance and adviser oversight at the heart of the clients journey with us, whether through Select or Premier.
The role will report to the Managing Director of FP, but it is expected that the individual will work very closely with the Regional Directors, FP Training Manager and Director of Wealth Operations.
Finitas are delighted to be partnering with a specialty insurance company in their search for a Compliance Associate to join their team on a 12 month FTC basis.
You will be reporting into the Head of Compliance and be working a varied generalist role.
Reporting into the Head of Compliance, you will be working across an array of compliance duties - monitoring, horizon scanning, sanction screening, regulatory returns, broker applications, working on underwriting policies and more.
Posted by Blakemore Recruitment • £60K/yr to £75K/yr
We are looking for an experienced, organised, and knowledgeable Compliance Manager to join the Financial Planning Leadership Team of this highly regarded financial planning organisation.
The key responsibility is to build and deliver oversight of the Financial Adviser teams.
The role will report to the Managing Director and will work very closely with the Regional Directors, Training Manager and Director of Wealth Operations to be a key contributor.