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Jobs near Birmingham

Found jobs
    • Birmingham
    • c.£65,000 + 20% Bonus + Benefits
    • Posted about 5 hours ago

    Holding senior management Functions 16 & 17, the role holder will be responsible for compliance in up to 5 personal Investment Firms (IFAs) i.e. ensure they meet regulatory obligations. Key responsibilities include: Implementation of the company’s compliance Framework with each regulated entity Advising each firm on compliance and business standards to ensure these align to regulatory requirements Ensuring suitable compliance policies and proc...

    • Birmingham
    • £23,000
    • Posted 5 days ago

    A Platform Investment Administrator required to work with client data and back office systems accurately, with an emphasis on Excel use, to achieve the goals of the company. The remit includes data manipulation, analysis and fund switching on investment platforms to assist in asset migration projects, together with the production of client facing reports.                                                           Key responsibilities include:  ...

    • Birmingham
    • + Bonus + Benefits
    • Posted 21 days ago

    The purpose of this role is to manage and assess file reviews submitted by the Company’s Independent Financial Advisers in line with the Company’s Training and Competency (T&C) requirements.   The role will ensure that the Company’s extremely high quality of compliance and risk management is maintained through the quality of the Company’s client files. Key responsibilities include: To ensure all required Know Your Client (KYC) information and ...

    • Birmingham
    • + Car Allowance + Benefits
    • Posted 21 days ago

    Reporting to the Head of T&C, you will help to coach, train, develop and monitor the performance of the company’s Financial Advisers to ensure that clients receive an outstanding service and that all regulatory requirements and standards are met and maintained. Key responsibilities include: Manage the training and development of a team of IFAs Conduct induction training for IFAs joining the company Participate in role-play assessment of IFAs M...

    • Birmingham
    • £Competitive Salary
    • Posted 23 days ago

    To support the Compliance Director in delivering high-quality, Advice, Policy and Guidance on regulatory and compliance matters to the business, whilst demonstrating commercial awareness. Lead the Compliance Advice team in the ongoing development and enhancement of the company’s compliance and regulatory risk management arrangements in accordance with the company’s regulatory obligations and risk appetite. Key responsibilities include: Providi...

    • Birmingham
    • c£50,000 pa
    • Posted 28 days ago

    My client has an exciting opportunity for an experienced Pension Transfer Specialist to be part of their expanding team, providing a pension transfer advice service for a large existing bank of UK and International IFAs. This is an FCA regulated role and all their fees are non-contingent. This is not a data gathering or admin based role, nor is it a sales role. You would have the full support of their internal admin, paraplanning and complianc...

    • Birmingham
    • £50,000 + Benefits
    • Posted 28 days ago

      Our client is a well-respected Financial Services business who are looking to recruit a Conduct Risk & Compliance Manager on a 9 month fixed term contract. In this role you will undertake testing and monitoring in line with 2LoD annual plans, ensuring alignment with Internal Audit.  Provide guidance, advice and support to first line, to ensure compliance with policies, procedures and key activities consistent with the operating model and hel...

    • Birmingham
    • £45,000 - £55,000
    • Posted 29 days ago

    Financial Services business, focusing on specialist lending within the mortgage space are currently looking to hire an IntraGroup Risk Manager to be responsible for managing and embedding the outsourcing framework for new and existing arrangements within the business.  The primary focus will be the groups offshore arrangements, to ensure effective oversight and governance is in place.  The role will be based out of the Head office located in t...

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