As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company's QA programme that safeguards the quality in our dealings with customers.
Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team.
You will feedback findings in a positive and constructive manner to the advice team.
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.
As Regional Compliance Manager you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework.
There are no direct reports in this position.
This is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough.
Posted by Lawes Consulting Group • £25K/yr to £35K/yr
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.
Posted by Vision-FS Recruitment • £35K/yr to £40K/yr
YOUR NEW COMPANY
Salary/Package: Up to £40,000 (depending on experience), annual bonus, 25 days' annual leave, pension (6% employer/3% employee), PMI, study support, income protection
Our client is a leading North West-based financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice.
MERJE has partnered with a leading financial services group/retail bank and we're looking for a Compliance Manager with a strong understanding of SM&CR regulations.
As a Compliance Manager, you will play a key role within the Compliance Team, providing practical and clear guidance to the business on meeting new and existing conduct regulatory requirements.
This role offers the chance to make a significant impact in a fast-paced and evolving environment.
Posted by REDMORE RECRUITMENT LIMITED • £100K/yr to £110K/yr
As Director of Compliance, you will be a pivotal member of the leadership team, responsible for shaping and driving the strategic direction of Health & Safety and Environmental policy and procedure across the organisation.
Work Pattern: Circa 45hrs/week.
This role demands a blend of strategic vision, operational excellence, and transformational leadership to drive a culture of continuous improvement and sustainable practices.
We are seeking an Internal Compliance Auditor to ensure our client's practices, records, and controls meet the highest standards of regulatory compliance and accreditation requirements.
We are currently seeking a Compliance Auditor to join our client, a prestigious legal firm, based in Newcastle city centre.
This role is integral to maintaining their commitment to quality and excellence.