Posted by Resource Matters Ltd • £50K/yr to £55K/yr
Working for a growing & dynamic wealth management firm you will be responsible for ensuring that the firm operate within the guidelines of the Financial Conduct Authority by implementing and overseeing company compliance policies and procedures.
The Financial Services Compliance Officer role will require you to coordinate the training & competence requirements of the staff and organize training where required to ensure that the team are monitored and supported in their roles.
NLB Solutions are working with a financial services business in the search for a Compliance Manager.
You will be responsible to provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements, must have 5 years' experience within Financial Services.
The successful candidate will report directly to the CFO and manage a small team.
The role of the Compliance Manager is to provide compliance and risk service, ensuring all requirements and regulations are met including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.
Compliance Manager, successful privately owned FCA regulated business, St Albans, to £65,000
Working for a dynamic and expanding financial services provider, offering excellent career development.
Posted by Hertfordshire County Council • £56K/yr to £62K/yr
Working in a large and successful legal team that provides comprehensive legal service in all areas, our lawyers are crucial to the County Council's continued success.
About the team
We have high standards for our services and we are pleased to be recognised as a Centre of Excellence by the Law Society's Lexcel quality standard assessor.
Recruit Wealth are delighted to be representing one of our very best Financial Planning clients in Hertfordshire for a Compliance Officer, to oversee compliance, T&C and AML, whilst working closely with the senior leadership team.
Posted by Nouvo Recruitment (London) Ltd • £70K/yr to £80K/yr
Nouvo Recruitment are looking for an experienced Head of Compliance to join our amazing client based in Hertfordshire.
Exceptional leadership skills: Lead, inspire, and guide your team while ensuring a positive, collaborative working environment.
This is an amazing opportunity for someone looking to join a rapidly growing company within the property sector to head up their successful property department.