Our client is a successful financial planning business who are looking for a Compliance Officer to join the team.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing and monitoring effective compliance frameworks and policies across the company.
The successful candidate will be expected to
Support the Compliance Director in order to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc.
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly competitive package is on offer with a comprehensive benefits package.
Our client is a highly respected vendor and equipment finance company who operate across a broad range of assets and due to growth are looking to recruit a Compliance Officer to support the AML team.
Fantastic salary plus bonus and benefits
Responsibilities will include
Day to day customer due diligence (CDD) and know your customer (KYC);.
As Compliance Officer you will be conducting audits for all suppliers, ensuring compliance with regulatory requirements and maintaining the integrity of their supply chain.
An exciting opportunity has arisen for a Compliance Officer to join an award-winning Tech company.
Key Responsibilities
Conduct regular audits of suppliers to evaluate company processes, identify pay issues, ensure compliance with signed agreements and adherence to regulations.