Are you looking to move your career to an international level, and gain global exposure in beautiful Bermuda? On behalf of our Client, we are keen to recruit an experienced Senior Officer to help direct and support their Policy team. The ideal candidate will assist with meeting the Team objectives, and will be responsible for providing a range of technical policy support activities - including: Researching complex regula...
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...
Organisation Description Our client, a multinational Investment Bank is currently in search of a Compliance and Conduct Risk Quality Assurance Manager. Job Description The successful candidate will be responsible for and have experience in: - Developing the risk based Compliance and Conduct Risk quality assurance plans. - Have a strong working knowledge of F...
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...
Compliance Officer / Regulatory Officer (AML / FX / Trading) The award-winning LMAX Exchange is the revolutionary venue for FX trading. LMAX Exchange offers brokers, proprietary trading firms, funds and professional traders direct access to live streaming institutional prices from top tier banks and financial institutions. LMAX Exchange was launched in October 2010, becoming the first company in Europe to launch FX trading on an MTF...
A well established Insurer have an exciting opportunity for a Compliance Analyst to join their organisation. The Role Working within this highly established global insurance compliance team the specific responsibility of this role will include preparation of Monitoring Plan tasks, executing detailed desk work to assess, draw conclusions and make appropriate recommendations for remediation, and reporting and follow-up tasks. Th...
This well respected online trading company seeks to grow their compliance department and is recruiting for a Compliance Analyst on a full time, permanent basis. The Role As Compliance Analyst, you will report directly into the Deputy Head of Compliance. Key duties include: ? Plan and undertake the execution of compliance desk reviews/monitoring in accordance with an established review plan. ? Work with the business ...
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Date: 13 May
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Bristol, Avon
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£25,000 - £32,000 per annum
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6 applications
Organisation Description My Client - Are a globally recognised organisation with impeccable reputation. They have a unique opportunity for a compliance professional to join their auditing team. Job Description - To undertake compliance audit work, including regular and ad-hoc reviews of client files, suitability letters and investments reports. - To p...
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Date: 13 May
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Bristol, Avon
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£35,000 - £37,000 per annum
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10 applications
Ambridge Harris are recruiting for a Compliance Monitoring Officer for a business in Bristol. You will need to monitor and report on the compliance of the business and check it is in line with the Compliance Monitoring Plan. You will need to provide contingency and emergency monitoring support to the Southern Division of the company. When not involved in site based monitoring, the role will be required to provide support to the Divisio...
An opportunity has arisen to work within the investment operations division of a large well respected Discretionary Wealth manager. Currently profitable and expanding this organisation is in a strong position to add an additional regulatory specialist to the department. The Role """Working quite autominously alongside the head of department this will be a varied role being the focal point for regulatory issues f...
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 ...
A leading Financial Services organisation based in Cheltenham are seeking a Compliance Assistant to join their well respected team. The Compliance Assistant will be responsible for the firms compliance by providing support and review in line with FSA and other regulatory requirements. You will also provide a policy and advisory service to the business on all aspects of the clients business. Responsibilities <br ...
Organisation Description This is a permanent role that is focused on auditing screening and compliance requirements for a Financial Services client - attention to detail is paramount to this role. Experience within this role or similar is paramount Job Description To independently engage with, and audit, the clients contract against set indicators. To ensure that ...
52 jobs matching this search were posted in the last week
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<...
Ambridge Harris are recruiting for a Compliance Advisor within Life and Pensions for a leading Gloucestershire company. Your role will be to provide specialist advice to the company on relevant regulatory issues and assisting the Compliance Manager with delivery of the Compliance Plan and commitments to Business Partners. Role responsibilities: To provide clear, pragmatic guidance and support to the business on regulatory issues. T...
- Performance of on-site testing as part of the business's Sarbannes Oxley (SOX) & Site Review Programmes - Maintenance of the EMEA Compliance Sharepoint - Co-ordinate of various monitoring controls across the EMEA businesses - Assisting in the development of remote testing plan - Support to businesses to implement corrective actions - Undertake various ad-hoc duties as may be required by the business - Un...
Compliance Supervisor - Financial Services Salary to £25,000 + Excellent Benefits Based: Salisbury Our Client, a leading Financial Services Company (SIPP provider) are searching for an experienced Compliance Monitoring supervisor to join their team due to an internal promotion.You will report into the Compliance Monitoring Manager and assist the group compliance team in the complianc...
Background AXA Direct & Partnerships is a division of AXA UK and the AXA Global Group. We provide personal insurance products such as motor, home and travel to our customers directly, via our corporate partners, and also through . Our culture is simple, energetic and imaginative. We are looking for people who can get the job done and enjoy the rewards. We need you to be proactive, enthusiastic and thrive on ta...
A rare and exciting opportunity has arisen for a Head of Compliance to join a highly established Investment Manager in London. The Role Working closely with the Risk and Compliance Director, the role of Head of Compliance will be oversee the entire Compliance team based In London including the Policy and Monitoring teams. In addition to this you will assist with the production of the annual Risk and Compliance Plan by producin...
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...
An opportunity has arisen to work with a specialist provider of investment services. With sustained growth throughout the business and a recent internal promotion they now require a monitoring specialist to work in the compliance team. The Role You will be working closely with other business areas of the company providing input on service level agreement etc. The role will be conducting formal thematic reviews as outlined...
Our client is seeking an experienced Compliance Manager to join their team on a 6month contract. As a Regulatory Compliance Manager, you will support the business to maintain the regulatory conduct compliance through pro-active and consistent advice and guidance with specific responsibility for the oversight and approval of all financial promotions and customer communications including all digital, electronic and social media channe...
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Date: 13 May
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Bristol, Avon
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£25,000 - £32,000 per annum
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3 applications
Our client a successful financial services company are looking to recruit a Compliance Auditor. The successful candidate will support the Compliance Manager with the development of the Compliance and Risk department’s profile within the business The duties will include: Lead/co-ordinate all compliance department projects and reviews Undertake compliance audit work, including regular and ad-hoc reviews of cl...
Our client are a specialist business who provide SIPP/SSAS and Pensions services to business and clients throughout the UK. We currently require a Compliance Monitoring Supervisor to join the business and work alongside a well established team of 3. This team comprise of - Compliance Manager, 2 Compliance Supervisors. Daily duties will include: Conduct formal thematic reviews as outlined within the Compliance Plan, Produce Repo...
Our client has a requirement for an experienced Compliance Candidate with in depth knowledge of monitoring from within an FCA regulated firm. you will be responsible for: Conducting formal thematic reviews within a Compliance Plan Producing Reports from the formal thematic reviews Assisting with the new business monitoring of SIPP operations Undertake transactional monitoring i.e. transfers from occupation...
