We are seeking a skilled and knowledgeable Compliance Officer to join our team.
As a Compliance Officer, you will be responsible for ensuring that our organisation adheres to all applicable laws, regulations, and internal policies, promoting a culture of ethical conduct and integrity throughout the firm.
Your expertise in legal compliance and attention to detail will play a vital role in safeguarding our reputation and maintaining our commitment to the highest standards of professional practice.
Due to continued growth and success the firm is looking to recruiter a Business Monitoring Officer to check the suitability of advice provided by Advisers to ensure a high standard in line with the Regulator's expectations.
In this role you will assist with the education and training of new and existing Financial Planners to ensure they have a thorough understanding of the compliance standards that need to be achieved and maintained.
Our client is a well-respected and growing Wealth Management firm.
Opportunity to join an established and leading firm within the Investment and Wealth Management sector as they look to add a Compliance officer to their Compliance function located in central Leeds.
The successful candidate will assist the Compliance Manager in meeting the team's objectives, ensuring the firm fulfils the Financial Conduct Authority's requirements and meets the rules of the Financial Services and Markets Act.
The business operates a very flexible hybrid working policy and alongside the base salary, the role offers an excellent annual bonus and other financial and non-financial benefits.
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.
Since 1993 we've been finding better, more sustainable ways to solve complex technology problems for some of the world's leading organisations and delivered solutions that millions of people use every day.
We're an award-winning innovative tech consultancy - a team of creative problem solvers.
In the last 30 years we won several awards, including a prestigious Queen's Award for Enterprise in the Innovation category for our Enterprise Agile delivery approach.
We are working with an Apprenticeship provider based in West Yorkshire to recruit a permanent Compliance Manager, to join the Senior Management Team.
As part of this growth, and with their future aspirations, they are now seeking bring into the business a Compliance Manager from a FE background, with experience in EFSA, ILR uploads and general compliance management.
This company has had an amazing last 4 years - they've tripled in size, their Glassdoor reviews are through the roof, and they have rapidly become one of the most respected providers in the industry, as well as winning a host of prestigious clients.