We have a new and exciting opportunity for a Compliance Analyst to join our London team.
Reporting into a Compliance Manager, your position will involve supporting the Compliance function in ensuring that the firm meets its regulatory objectives.
Please note that this is an onsite role and you will be required to be in the London office 5 days per week
The Senior Compliance Advisory Manager is responsible for ensuring that the the business Group complies with all relevant laws, regulations, and internal policies.
They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
An established and growing organisation with recent charity status is seeking a Compliance and Governance specialist to join the team on a hybrid basis (2 days a week in the office).
Your new company
The organisation have their head office based in the South West in Bristol and a second site in the South East.
As a Compliance Analyst you will be responsible for completing a range of allocation tasks including breach logging and reporting, complaints handling, customer documentation reviews, approval of financial promotions and marketing material, reviewing new and replacement insurer and Delegated Authority agreements, managing, and maintaining the Group's Insurers and Markets TOBA Register and ensuring a robust process is in place for the management of Producing Brokers.
Reed Specialist Recruitment are proud to be representing one of the UK's leading financial advice networks, who are looking for a new Compliance Supervisor to join their Head Office, based in Horsham.
The successful candidate will assist with creating a positive compliance culture across the network, helping firms deliver robust best practices and also mitigate risk.
Reporting to the Managing Director, you will play an important role in ensuring compliance with relevant legislation and procedures.
To assist in the provision of high-quality compliance governance and supervision.
Implementing and maintaining the operation of effective systems and controls to mitigate business risks and to ensure compliance with FCA Regulation and the regulatory framework for ARs.