Our client is an award winning Privatly owned Brokerage. Specialising within Investment Management, Equity Sales, FX and CFD's. The office is a very busy and lively trading floor. This is a great oppertunity for someone to join an award winning and growing company and be a key memeber to the team. Responsibilities: The main responsibility for this role is to support the CF10/11 in the implementatio...
An exciting opportunity has arisen for a Service Deliver Officer in our Footman James team based in our Cradley Heath offices. The primary responsibility of the role is to review and control the commercial department’s product and customer service delivery, its business processes and procedures. Undertake monitoring activities relevant to the adherence of regulatory compliance, to ensure that all customers receive a profes...
Organisation Description Our client, a multinational Investment Management and advisory organisation is currently in search of a Compliance Officer. This is an unique overall compliance officer opportunity for a fantastic, vibrant, as well as, prosperous organisation. With a philosophy of promoting within, you have the chance to be apart of an amazing team who continuously reward their employees. <st...
T & C Officer, Aberdeen To £28,000 plus benefits and bonus This leading consultancy has an excellent reputation within the Private Client and Employee Benefit sectors, offering a proposition across the full range of advice including investments, protection, retirement planning, group pensions and healthcare. The firm requires a T&C Officer to operate within the Compliance team dealing with all aspects o...
My clients, a global merchant bank are expanding their regulatory function and seek a Legal & Compliance Officer to join their team on a full-time, permanent basis. The Role As Compliance Officer, you will report directly into Compliance & Corporate Operations Manager, where you will be required to take ownership of company's regulatory obligations. Key duties include: ? Providing assistance to Deal Originators wi...
Financial Ltd, Trainee Internal Compliance Officer.£18,000-£23,000 DOE. Company - "Financial" was established over 10 years ago, a steadily growing IFA network with over 500 advisors. An exciting opportunity has become available within our Internal Compliance department for a Trainee Internal Compliance Officer. The successful candidate will undertake activities to fulfil key functions within the Inte...
Compliance Officer - Insurance - £50,000 A growing Insurance organisation is looking for a Compliance Generalist and Monitoring Professional to join their team based West Sussex. Successful candidates will be rewarded with opportunities for progression and a salary up to £50,000 plus benefits. The Compliance Officer will be responsible for monitoring compliance with the Financial Conduct Authority (FCA) and sha...
A rapidly expanding FTSE 250 Insurance firm are looking for a Compliance Monitoring Professional to join their team based in luxurious offices in the City of London. Successful candidates will be rewarded with unrivaled opportunities for progression and a salary up to £50,000 plus benefits. The Compliance Officer will be responsible for monitoring compliance with the Financial Conduct Authority (FCA). You will also be requ...
T & C Officer, Aberdeen To £28,000 plus benefits and bonus This leading consultancy has an excellent reputation within the Private Client and Employee Benefit sectors, offering a proposition across the full range of advice including investments, protection, retirement planning, group pensions and healthcare. The firm requires a T&C Officer to operate within the Compliance team dealing with all aspects o...
Vertex Financial Services, Compliance Monitoring Officer, £30000-£35000, Cheltenham. Vertex Financial Services is a leader in Business Process and Customer Management outsourcing, serving over 200 clients worldwide across many sectors. Our focus is on providing value-based solutions for our clients that deliver exceptional customer experience, and do so cost effectively. An exciting opportunity has b...
Vertex Financial Services, Assistant Compliance Monitoring Officer, £24000-£28000, Cheltenham. Vertex Financial Services is a leader in Business Process and Customer Management outsourcing, serving over 200 clients worldwide across many sectors. Our focus is on providing value-based solutions for our clients that deliver exceptional customer experience, and do so cost effectively. An exciting opportu...
A leading FX Brokerage in the city are seeking an experienced Compliance Officer for a newly created role reporting into the Group MLRO. You must have at least 18 months experience within a Bank of Financial House and have good knowledge of AML & KYC requirements. You will be responsible for: The entire compliance spectrum across KYC & AML procedures Assist the Compliance Manager on the companies compliance ...
Organisation Description We are currently recruiting for a leading Legal Services company who require a Senior Risk and Compliance officer to join them on a Fixed Term Contract. The role itself is to work alongside a team and must have a strong background handling complaints and a superb knowledge of the SRA Handbook. Job Description Key Skills required: - Strong SRA Handboo...
97 jobs matching this search were posted in the last week
Organisation Description We are currently recruiting for a leading Legal Services company who require a Senior Risk and Compliance officer to join them on a Fixed Term Contract. The role itself is to work alongside a team and must have a strong background handling complaints and a superb knowledge of the SRA Handbook. Job Description Key Skills required: - Strong SRA Handboo...
Compliance Officer - Leeds - DAC Beachcroft We are currently recruiting a Compliance Officer to join our Practice Governance and Risk team in Leeds. Working alongside the claims partner, the head of complaints and PG&R colleagues and you will play an essential role in the administration of claims and complaints. Key responsibilities will include: Management of the Group's online system for claims and...
A well established Financial Services Broker operating globally have an exciting position for a Compliance Trade Monitoring Officer to join their London based team. The Role The main purpose of role would be to monitor client and proprietary trading activity to detect potential regulatory and exchange breaches. Main duties will include: Responsible for supervision and operation of electronic trade monitoring surve...
Organisation Description My client is a successful assurance company based in the heart of Brighton. Job Description This will be a varied and challenging role which will include the following duties - - To carry out monitoring checks and calendar tasks. - Carry out detailed Checks on the compliance monitoring plan in order to ensure the Societys compliance with the FSA...
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Date: 2 days ago
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Bristol, Avon
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£35,000 - £38,000 per annum, inc benefits
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2 applications
An excellent opportunity has arisen for a Compliance Monitoring Officer to join the Life and Pensions division of our large FTSE100 organisation. The role: To monitor and report on the compliance of this financial services division with FCA, or local Regulator, other regulatory requirements and internal company policies (where appropriate) in line with the Compliance Monitoring Plan. Key Purpose: <b...
Have you previously worked in a compliance role? Have you dealt with complaints? If so, we might have the right role for you.... We are seeking a Compliance Officer for our successful client based in Brackley. The key purpose of this role is to effectively respond to all queries and complaints received into the department. You will be required to deal with complaints in a necessary timeframe. ...
Role: Officer & Risk Officer. Location: Manchester. Industry: Legal Salary: Up To 30k This is a fantastic opportunity to work for my client who is a successful Law firm in Manchester city centre. The ideal candidate will have strong compliance knowledge and come from a similar role. Key part of this position is working within a team where you will be responsible for the compliance of all cont...
Based in prestigious offices in the heart of the City, our client is a pan European Investment Bank. They now seek to recruit an additional Compliance Officer who will either be Compliance Examination qualified and have a strong Financial Services Institutions background to date, or be ACA/ACCA trained with a background in internal audit within the Financial Services arena (might be a Top 4 Financial Services Group). The role is based in Lo...
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Date: 2 days ago
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Bristol, Avon
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£27,000 - £32,000 per annum
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2 applications
As a Business Assurance Officer you will carry out various tasks including compliance checking of a range of business. You will be required to provide feedback on changes required to cases to the Sales Management team, Business Risk team and Partners. Your responsibilities are to: - Carry out compliance checking including file reviews - Advise the Business Risk team and Sales Management team of i...
Organisation Description My client is a successful assurance company based in the heart of Brighton. Job Description This will be a varied and challenging role which will include the following duties - - To carry out monitoring checks and calendar tasks. - Carry out detailed Checks on the compliance monitoring plan in order to ensure the Societys compliance with t...
The Client My client a leading World and UK Defence company has a fantastic opportunity for a Compliance Officer (Inspector) based in Coulport, Helensburgh. As the Compliance Officer (Inspector) you will be responsible for ensuring compliance with approved procedures, MOD instructions and publications. The Role The successful individual will be responsible for: Ensuring compliance with approv...
My client based in Ipswich is looking for a Risk and Compliance Officer on a 12 month contract. This position is part time working 15 hours a week, the working hours can be flexible. The role will be supporting the Risk and Compliance Director ensuring the firms compliance meets requirements. Day to day duties will include: completing file reviews, ensuring highlighted areas are actioned, collating results and identifying areas for i...
