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.
This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all the firm's departments.
Our client, a highly successful Investment Management firm, are looking for a Compliance Officer to join the business.
Posted by LHH Recruitment Solutions • £50K/yr to £55K/yr
Compliance Monitoring - Pensions
As part of their organisation, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards.
Our client, a leading player in the Pensions industry, is currently seeking a talented and driven individual to join their team as a Compliance Monitoring professional.
The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.
General
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Role Responsibilities
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
Posted by JMK Resourcing Solutions • £24K/yr to £28K/yr
This newly created administrative role forms a vital part of the compliance team who deal with all the product data and the quality control of product.
The role is a 50/50 mix of data analysis and administration.
It's a great opportunity for a graduate level candidate to build on their data experience.
The successful candidate will execute a program of monitoring activities across systems, controls, and business conduct to ensure regulatory compliance.
This role involves developing and implementing a comprehensive monitoring framework to provide assurance to the Board and Senior Management Team.
MERJE, in collaboration with a prominent insurance brokerage, is seeking a Head of Compliance Monitoring.
Posted by Davies Talent Solutions • £40K/yr to £45K/yr
General
As a Compliance Manager, you will be instrumental in ensuring the organisation's compliance with regulatory requirements and industry standards.
Your key responsibilities will include developing and implementing compliance programs, conducting risk assessments, and fostering a strong compliance culture within the team.
Overview
Davies is currently working with a Research and Consultancy firm that is seeking a dedicated Compliance Manager to join their team.