My client, a well known financial services provider, are seeking a Compliance & Customer Relations Officer on a full time, permanent basis. The Role The primary aspect of the role will be to act as a Customer Relations Officer, ensuring that complaints are dealt with fairly and courteously and in line with company procedures and regulatory expectations. The Person The suited candidate will have previously ...
My client a fast pace stockbrokers based in the city is looking to recruit a compliance assistant for their London office. Working closely with the Head of Group compliance this wide ranging role encompass all compliance function with the exception of client monies; Perform monitoring work in accordance with the company’s monitoring programme to demonstrate that business is being conducted in compliance with regulatory requirements<...
A well established Commodities Broker based in London have an exciting opportunity for a Compliance Monitoring officer to join their organisation. The Role Working within an established Compliance team the main duty of the role will be to overtake all monitoring activity using the SMARTs operating system to detect potential regulatory and exchange breaches. You will be responsible for the operation of the SMARTs electronic tra...
Job Title: ENTITY AUTHORISATION & SUPERVISION OFFICER Location: Kempston (Bedford) based Salary: circa £27,000 pa - initially one year fixed term contract Job Type: One year fixed term contract Closing date: 10th June 2013 The organisation is the regulatory body for Chartered Legal Executive. They are seeking to appoint a new member of staff to join its small but friendly team.<br /...
A well established Financial Panning and Investment manager have an exciting opportunity for a compliance monitoring officer to join their London based team. The Role Working closely with the Group Compliance Monitoring Manager, you will undertake and report the results of independent risk-based monitoring to all businesses within the Group. The main duties of the role will include the following: To assist i...
A well established global Financial Services company specialising in Insurance have an exciting opportunity for a compliance monitoring officer to join their organisation. The Role he main purpose of this role is to provide compliance assurance through undertaking risk based compliance audit reviews, provision of advice to the business on regulatory matters, and through the review and approval of key compliance related material...
Hudson is recruiting a Compliance and Risk Officer to join an established IFA in the West Midlands. This is an interesting role and will ideally suit a proactive team player who is searching for a long term career with a class leading organisation. In this varied role you will help to minimise the risk to the Company and its clients. Moreover you will help to ensure that the Company and its Consultants comply with the FSA Conduct of Busines...
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Date: Yesterday
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Bristol, Avon
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£250.00 - £300.00 per day
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1 application
A market leading corporate firm are undergoing a variety of positive changes and due to the increased volume of work, the company requires a Tax Compliance Officer on a temporary basis to assist the tax team. The purpose of the role is to prepare the Senior Accounting Officer certification and assist with prepare the file for submission to HMRC. The individual will interview senior managers and make sure that documentation is prepare...
A rapidly expanding global asset management firm are looking for an Associate Compliance Officer 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 £40,000 plus benefits. The ideal candidate will speak one of French, German, Spanish or Italian fluently and will have Compliance experience covering monitor...
A rapidly expanding global asset management firm are looking for a Compliance Officer 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 £65,000 plus benefits. The ideal candidate will speak one of French, German, Spanish or Italian fluently and will have Compliance experience covering financial promotio...
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...
112 jobs matching this search were posted in the last week
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...
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...
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...
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Date: 3 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...
