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.
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.
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.
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.
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.
Responsibilities
Read, understand, and analyse complex and technical information related to ongoing cases.
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.