Are you a detail-oriented compliance professional with a passion for financial services?
Our client is looking for an experienced IFA File Checker to join their the team and help ensure high standards across our client advice files and documentation.
A Compliance Officer / File Reviewer is required to check client files and the documents using for their back-office system against a file review checklist.
NJR are currently representing a Firm of Independent Financial Planners who are based in Leicester area, and who now require an ambitious and talented Compliance Officer to join their dynamic and forever growing business.
Our Client work out of a modern state of the art building and pride themselves on maintaining a family friendly culture.
The successful candidate will be responsible for conducting file reviews against Suitability requirements and internal standards, ensuring the highest level of compliance.
Our client is seeking a Compliance Officer with a strong background in file reviewing and a deep understanding of FCA COBs, particularly suitability.
This role offers the opportunity to work within an established Central Compliance team, reporting directly to the Compliance Manager.
We are seeking an experienced and detail-oriented QA Compliance Controller to oversee quality assurance and compliance throughout the entire product lifecycle for a large successful company based near Caerphilly.
This is a hybrid role with a minimum of 3-days on site.
The Role
This role will manage the sampling process, quality control, and specification documentation for both new product development (NPD) and ongoing product changes.
This will predominantly in relation to client file reviews.
An opportunity for a leading Compliance consultancy in the Cheshire area is looking to add to their team with an additional Technical Consultant with the remit to deliver high quality regulatory support and guidance to the partner firms linked to the business.
This will predominantly in relation to client file reviews.
An opportunity for a leading Compliance consultancy in the Cheshire area is looking to add to their team with an additional Technical Consultant with the remit to deliver high quality regulatory support and guidance to the partner firms linked to the business.
We are currently seeking a dynamic and detail-oriented Document Reviewer for our client, a well-respected organisation in the investigation and prosecution of serious and complex fraud, bribery, and corruption.
As part of their dedicated team, you will play a crucial role in ensuring justice is served and maintaining confidence in the UK's business and financial institutions.
This is initially a contract role until the end of March 2025, with likely extension and pays £14.50ph, 36 hours per week.