We are currently resourcing for a number of Past Business Reviewers to join an investment project in the Midlands. The ideal candidate will have previous experience within regulated file review and a thorough knowledge of investments and structured products. Desired Skills & Experience 12 months’ minimum proven experience in reviewing investment advice files Excellent knowledge and understanding of struc...
Quality Assessor £18,000 - £22,000 PA Leading Financial Services Organisation A Growing and Ambitious Company Times Top 100 Company Free parking & excellent benefits A fantastic opportunity has arisen for experienced Quality Assessor to join an exciting team to keep the business standards at the pinnacle of the financial services industry. You will be using<...
New Year new Challenge An exciting opportunity has arisen to join a leading, forward thinking, established IFA firm based in central Broadstairs Reporting to the Managing Director the Compliance Manager will; Act as the first point of contact with regards to FSA Compliance issues. The primary compliance focus will be ensuring the business meets FSA regulato...
Job Description Job Purpose, To provide support to the Relationship Managers in bringing new customer portfolios on board with the Bank and satisfying technical and complex KYC/KYB requirements. Key deliverables include, • Provide high quality support to front line teams to allow them to concentrate on revenue generation • Contribute to KYC/KYB/...
This is a group of companies providing a full range of investment management services for portfolios varying derived from real estate investments. An opportunity has arisen due to maternity leave for an 11 or 12 month contract for an internal audit officer covering compliance. The Role Duties will include providing written reports on all audits and reviews, including findings, recommendations and management responses, rep...
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Date: 2 May
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Bristol, Avon
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£25,000 - £32,000 per annum
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6 applications
This is a great opportunity for an experienced compliance auditor to work for a large financial services group Main duties and responsibilities To undertake compliance audit work, including regular and ad-hoc reviews of client files, suitability letters and investments reports. To provide feedback and/or guidance to Financial Planners, Para-planners and Administrators regarding particular and / or general i...
Our Client A boutique Regulatory Consultancy with a long standing track record of success within the Financial Services industry are presently embarking on some very ambitious expansion plans to capitalise on their outstanding reputation in the market place. They are presently looking for a very experienced Regulatory professional who has an extensive background within the Fund Management and/or Private Equity space to oversee...
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Date: Today
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Bristol, Avon
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£23,000 - £27,000 per annum
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1 application
Organisation Description Client To operate in a busy sales environment providing compliance support for the company and 40 plus home based financial advisers. The offices are based out of town with easy parking and are set in pleasant surroundings. A primary aspect of the role is to act as a Compliance Assistant /Quality Assessor Requiring detailed and accurate analysis of ...
This worldwide financial services company is recruiting a Compliance Monitoring Officer to support their Wealth Management business. The Role As Compliance Monitoring Officer you will report directly into the Head of Compliance. Covering their Head Offices in London and High Wycombe. Key duties include:- ? To assist with the implementation of the risk-based compliance monitoring programme. ? To advise on wealth mana...
A well established global insurer have an exciting opportunity for a Compliance Monitoring Analyst to join their successful compliance team. The Role The 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 materials on behalf of the company. <...
Our Client An established Retail Financial Services business are presently looking to recruit an experienced Regulatory specialist to work in a senior capacity within their existing team outside of London. The Role The primary purpose is to support the Head of Compliance in the ongoing management and monitoring of risk and your main duties will include: Providing advice, gu...
This UK based CFD, Equity and FX trader is expanding their compliance function and is recruiting a Compliance Assistant on a full time, permanent basis. The Role The main purpose of this position is to support the Compliance Officer in their day to day duties which include: ? Compliance monitoring in accordance with the Company's monitoring programme to demonstrate that business is being conducted in compliance with regul...
Our Client A fantastic opportunity has come about for a Regulatory specialist within a long established & highly regarded Professional Services business. The Role As a key member of the Regulatory team, you will be responsible for: Advising clients on the impact of the changing regulatory landscapes Delivering Section 166 reviews and reporting to the FSA as part...
86 jobs matching this search were posted in the last week
A well established Financial Services firm has an exciting opportunity for a compliance manager to join their team on a fixed term contract basis covering maternity leave. The Role The main purpose of the role will be to assist the department in the fulfilment of its role in monitoring compliance with FSA and other regulatory requirements. You will also be responsible for Undertaking client file reviews in offices against in-ho...
Our Client A reputable Investment/Wealth Manager are presently looking to recruit a Senior Risk and Compliance Monitoring specialist. The Role Supporting the Head of Risk and Compliance in the ongoing management and monitoring of risk you will be responsible for - Working with business unit heads and managers to assess and identify the potential risks that may damage its re...
Our Client A reputable Investment/Wealth Manager are presently looking to recruit a Senior Risk and Compliance Monitoring specialist. The Role Supporting the Head of Risk and Compliance in the ongoing management and monitoring of risk you will be responsible for - Working with business unit heads and managers to assess and identify the potential risks that may damage its re...
Our Client Our client are one of the fastest growing global Technology firms within the Card Payments space and are currently looking to recruit a Risk & Compliance Director in London. The Role Reporting directly into the CEO and providing oversight for a team of Anti-Fraud and AML specialists, you will be responsible for - Identifying and maintaining oversight of all ke...
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Date: 2 May
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Bristol, Avon
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£20,000 - £25,000 per annum
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12 applications
We are currently recruiting for a Compliance Auditor to join our client in central Bristol. You will be responsible for checking high risk new business. You will have excellent knowledge of the financial services distribution sector and previous experience working within a financial services regulated environment. Your duties will include amongst other things undertaking compliance audit work, including regular and ad-hoc...
Our client a rapidly expanding sub-prime vehicle lending company have a vacancy in their Portsmouth office for a Business Analyst & Compliance monitoring Officer. Roles & responsibilities - Reporting to Head of operations gathering stakeholder requirements for pre-defined projects Working with IT to develop and document specifications and solutions Developing user implementation pl...
Hudson is recruiting a Risk & Compliance Manager to join a large Financial Services organisation in the East Midlands. In this varied role you will undertake Compliance & Operational Risk reviews across all aspects of Group Functions. This is a wide ranging role that will suit a strong “all round” Compliance professional who enjoys variety and interaction with senior stakeholders. In this Group wide role your responsibilities...
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Date: Yesterday
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Bury, Lancashire
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USD$18,000 - USD$22,000 per annum
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1 application
Security Assurance and Audit Officer needed for a FTSE 100 Company – Bury. We are one of the largest British companies in the world and are proud to be the number one provider of business process outsourcing in the UK. We provide highly renowned services and solutions to a variety of sectors and due to our consistent expansion, we require Security Assurance and Audit Officer to work within our Capita Customer Management area bas...
Sales Quality / File Checking position For this position I am looking for either experienced sales quality or file checking consultants who have experience in the Mortgage Sector, ideally gained from within a lending or banking organisation The role will require you to: Manage the quality control of files Carry out reviews on Offer Documents Complete comp...
Compliance Monitoring Analyst Ambridge Harris Associates are supporting their client based in Southampton, Hampshire, to recruit a Compliance Monitoring Analyst to join their expanding finance department. The role is paying up to £30k (dependant on experience). Purpose of the Role: To provide advice to the business on regulatory matters through undertaking risk based compliance audit reviews. Main Responsibilities: To undert...
Our Client a well respected small boutique Wealth Management firm needs an experienced Compliance Manager to head up their compliance function You will be responsible for taking strategic and overall operational responsibility for compliance, audit and training within the Firm in accordance with both regulatory requirements and best practice. To oversee internal and external compliance and regulatory reporting requirements, ens...
Organisation Description My client, a global financial services outsourcing organisation, is offering the opportunity for a Process Quality Checker to join an ongoing PPI complaints handling project at a major bank in Leeds city centre. The role is a fixed term contract running from May - December 2013. Job Description Your responsibilities will ...
