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Your search has returned 28 jobs
Compliance Monitoring Officer - LondonSalary up to £60,000 plus benefitsThe firm we are partnered with is a high profile financial planning and asset management practice who work predominately with wealthy private clients, investors and corporates.Overall Purpose of Role The role reports to the Group Compliance Monitoring Manager and ...
Compliance Administrator - Milton Keynes, BuckinghamshireSalary up to £32,000 plus benefits12 months FTCA professional practice in Milton Keynes are keen to solidify the Compliance Team in the Milton Keynes, reporting to the Compliance Director this high profile firm are looking for a Compliance Administrator will provide support to the nat...
My Client is currently looking for a Compliance Executive to join their team in South Manchester.THE ROLE• Review the suitability and quality of advice given to customers by advisers and to ensure that any identified areas of concern or development are appropriately addressed, primarily in relation to business written• Identify and report p...
My client is currently looking to recruit a Compliance Officer to join their team in North Wales.The successful candidate will be responsible for helping the business to understand and comply with regulatory requirements and reducing risk, maintaining and implementing procedures and undertaking compliance audit and monitoring work. THE ROLE...
Compliance OfficerBerkshireUp to £55,000Our client, a large Investment Management and Consultancy practice and looking for compliance professional to join their team in Berkshire. The main purpose of the role will be to develop and maintain the compliance operation of the firm and asses the regulatory issues surrounding Discretionary Fund M...
Compliance Assistant SurreyUp to £32,000Due to expansion, a respected wealth management firm are recruiting for a Compliance Assistant to join their team in Surrey to provide support to the T&C department. The RoleYou will provide assistant to the T&C Manager to help to produce an effective training and competence scheme. You wil...
Compliance Manager Salary negotiable dependant upon experience Company overview Leading high net worth IFA firm based in Wolverhampton looking to recruit a Compliance Manager to support the established team. Duties will include Monitoring industry / FSA regulatory changes, FSA thematic reports, FSA guidance papers, FSA enforcement ...
Compliance and Risk Assistant My client, an RDR ready fee based national practice are currently looking to recruit a hard working Compliance and Risk Assistant to the Birmingham City Centre office.Overview of main duties•?Conduct Compliance Monitoring Visits on Consultants and agree Remedial Action Plans.•?Reviewing files •?Pre ap...
Compliance DirectorWest Midlands Up to £70,000Our Client are a fee-based IFA company, offering a high quality bespoke service to business owners. They are currently recruiting for a Compliance Director to provide a compliance advisory function to senior and executive management in their Head Office in the West Midlands.The RoleYo...
Compliance Manager - Nottingham, NottinghamshireSalary up to £42,000 plus benefitsWe are partnered with a leading financial planning practice based in Nottingham who are looking to engage a Compliance Manager to take responsibility for the firms compliance and competence framework, the firm operate a fee-based advice process for wealthy priva...
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