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Date: 4 days ago
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Wickford, Essex
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£14,000 - £18,000 per annum
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3 applications
Compliance Assistant Wickford £14-£18K A position has arose within a local Independent Financial Advisors . You will be w...
Summary: The role will primarily involve conducting partner compliance visits which will include reviewing MI prior to the visit to gain an insight to the partner's practice and establishing areas to discuss in more detail during the visit. During the visit, there is a formal questionnaire for the Business Risk Manager to go through with the partner, in addition to discussing any other areas identified from the preparation and ...
Our client requires an interim Compliance Officer to provide an in-house service that helps support the Group’s general insurance business to comply with relevant laws, regulations and internal procedures. The successful candidate will be expected to: Provide guidance on the proper interpretation and application of laws, regulations and policies, including any proposed changes to FSA rules and guidance, a...
Our client is one of the UK’s largest firm of IFA’s and due to continued expansion we are currently recruiting for a Compliance / T&C Officer. Responsibilities: Supervising advisers through initial and ongoing stages of T&C scheme via coaching and formal 121s. Case checking work submitted via the Advisors. Interpret regulatory rules and guidance and make recommendations to the business <...
Immediate start, 3 month contract City location, £10ph WorldCheck experience essential Urgent requirement for an AML Screening Analyst Please apply now if you are immediately available and have AML administration experience (including WorldCheck) from within the financial services industry. This is a great company and a very friendly, supportive team. Immediate start. Must have recent experience of A...
A well established Financial Services organisation has an exciting role for a Compliance File reviewer to work from their Kent based offices. The Role The main purpose of this role will be to review electronic files and ensure that they are fully compliant with FSA rules and regulations. You will also become involved in the analysis of the root cause of any discrepancies and help to ensure that they are not repeated through th...
Organisation Description Role purpose To manage the team responsible for the resolution of all regulated and non-regulated complaints received across the Group. Objectives Through the effective management of the Complaints Team you will ensure that all complaints are resolved within agreed timescales, whilst consider the Treating Customer Fairly p...
Organisation Description A fantastic opportunity has arisen for with a major insurer within their Complaints Handling Team. The company are looking to recruit high level Special Complaints Investigators to join their successful team in handling seriou complaints from customers. From an FSA Complaint Handling background, the successful appllicant will have an excellent understanding of insurance products and have pr...
Immediate start, 3 month contract City location, £10ph WorldCheck experience essential Urgent requirement for an AML Screening Analyst Please apply now if you are immediately available and have AML administration experience (including WorldCheck) from within the financial services industry. This is a great company and a very friendly, supportive team. Immediate start. Must have recent experience of A...
Organisation Description A fantastic opportunity has arisen for with a major insurer within their Complaints Handling Team. The company are looking to recruit high level Special Complaints Investigators to join their successful team in handling seriou complaints from customers. From an FSA Complaint Handling background, the successful appllicant will have an excellent understanding of insurance products and have pr...
The Company Long established and highly reputable financial services group undergoing a period of positive change. The Role Reporting to the MRLO and managing a small Operations team you will provide strategic and policy direction to the Group in respect of all areas of financial crime activity. You will act as a decison maker in respect of financial crime policy to ensure complianc...
Exciting times for this very large specialist business process outsourcer that have recently secured some very impressive new contracts are now going through a period of expansion to add to their established compliance team. The Role You will undertake allocated reviews within the companies annual Plans on compliance with regulatory requirements and achievement of TCF customer outcomes. You will be reporting to the ...
A well established Financial Services Company has an exciting opportunity for a Compliance Manager to join their organisation. The Role The main purpose of this role is to manage the overall Compliance function for a 3 month contract period. You will be responsible for providing compliance support to the entire company and Liaising with the Technical & Policy Manager to identify regulatory, legislative and government initi...
A well established Financial Services Company has an exciting new role for a Risk and Compliance Officer to join their organisation. The Role The main purpose of this will be to assist the compliance manager with the day to day running of the compliance department, specifically dealing with the Risk based monitoring programme and helping to oversee the Training and Competence scheme. The Benefits The right can...
An opportunity has arisen for an experienced Customer Service Unit Quality Assurance (QA) Team Leader to assist the Customer Service Unit Manager with the effective supervision of our insurance Telesales department. This is a high level QA role which is very hands on and you will operate within a customer service and sales driven environment. You will be required to give full assurance to management that the Customer Service uni...
Customer Services Administrator Our client, a leading Leeds-based Financial Services provider, has a number of exciting opportunities for individuals with an excellent Customer Services background on a temporary / contract basis for 8 months initially. Our client is currently undergoing significant expansion and consequently we are looking for staff to join through June and July.</stro...
This is an opportunity for you to work with a global retail Financial Services provider at their Hampshire offices. This position for a Compliance Consultant is to support the business by acting in an advisory capacity and offers £40-45,000 on the basic plus a very comprehensive benefits package. The chosen candidate will be responsible for responding to any regulatory based queries with pragmatic advice and keeping the business...
A well established Financial Services Company has an interesting position for a Compliance Officer to join their firm assisting mainly with the sign off of Financial Promotions. The Role The main purpose of this will be to assist the compliance manager with the day to day running of the compliance department, specifically focusing on the overseeing and sign off of the firms financial promotions. The Benefits T...
An opportunity has arisen within group compliance for a Compliance Auditor. The main purpose of this role is to carry out audits using a risk based approach to contribute to the delivery of the compliance audit plan which verifies whether the company's key regulatory risks are well managed and controlled. Identify key regulatory risks and assess how well managed and controlled they are across the group through the issuing of in...
Compliance Officer for all promoted products liaising with external compliance company Provide updates on FSA regulatory requirements for promotion of authorised and UCIS Oversee required changes to promotional and marketing materials to meet current and proposed FSA regulatory initiatives candidates will have 4 to 5 years financial services experience , ideally in fund admin or compliance ...
The successful candidate will be expected to: Carry out operational risk assessments surrounding specific departments and change programmes Conduct analysis on the risk management strategies throughout the business, making recommendations founded on the outcomes Perform root cause analysis on management information reports and other relevant data so that potential risks are highlighted as early a...
To support the Compliance & Risk Management Team and Line Management of Financial Advisers to deliver the Compliance requirements as set out by the FSA and the firm. To provide effective monitoring and control in the firm to support the adherence of Financial Advisers and Line Management, while reporting shortcomings through the appropriate reporting lines. To provide effective risk management support to staff of the firm through...
Summary: The role will primarily involve conducting partner compliance visits, which will include reviewing MI prior to the visit to gain an insight into the Partner's practice and establishing areas to discuss in more detail during the visit. During the visit, there is a formal questionnaire for the Business Risk Manager to go through with the Partner in addition to discussing any other areas identified from the preparation an...
Financial Crime Prevention Manager & Nominated Officer Our client is a large well known investment company with superb offices in Essex. They service a number of other well regarded financial institutions. On their behalf we are searching for a Financial Crime Prevention & Nominated Officer. The role is responsible for receiving and escalating Suspicious Activity Reports 'SAR' ensuring appropriat...
Summary of position: To manage and monitor the process for Business Quality Unit (BQU) and Consultant checking levels. To manage the team of BQ Officers To audit and monitor the quality of output from the BQU Officers via 'Check the Checker’ processes, to ensure any weaknesses in quality is identified and appropriately addressed. To remotely review the suitability and quality of advice given to cu...
