Posted by Recruitment Solutions (Folkestone) Limited • £30K/yr to £35K/yr
Compliance Officer
Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.
General
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.
Posted by Recruitment Solutions (Folkestone) Limited • £30K/yr to £35K/yr
Compliance Officer
Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.
General
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.
As Compliance Monitoring Officer you will assist the Company in the management of regulatory risk by undertaking independent assessments and monitoring to determine the adequacy and effectiveness of the measures and procedures put in place to ensure compliance with its obligations under the regulatory system.
Our client, a leading Financial Services firm are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Role Responsibilities
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
This is an exciting opportunity for someone with a strong background in compliance and civil litigation to play a key role in mitigating regulatory risks and exposures.
A leading law firm in Manchester is looking for an experienced Risk & Compliance Executive to join their dynamic team.
Key Responsibilities
Assist the Compliance Officer for Legal Practice (COLP) in handling claims, complaints, Data Subject Access Requests (DSARs), and associated litigation.
COMPLIANCE OFFICER ROLE - Immediate Start - South Manchester
Our client a growing brokerage in South Manchester is seeking a Compliance officer for a full time role in the first year and then the option to go part-time the following year.
The role is for a Senior FCA Compliance Officer to be responsible for ensuring the group complies with FCA regulatory requirements, and the implementation of our FCA compliance and risk management framework.
The role of the Compliance Monitoring Officer will be to support the Compliance function in the delivery of the following requirements:.
General
Our client, a successful firm operating in the Financial Advice sector, are looking for a Compliance Monitoring Officer to join the team on a permanent basis.
Assisting the Compliance Director in ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
The role will be based within the Housing Team and will involve enforcement work within Private Sector Housing and your main contacts will be with private sector tenants and landlords/owners.