W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9nzxjqzs9qcgcvam9ilwjhbm5lci5qcgcixv0

Jobs in Compliance

Found 48 jobs
    • Birmingham
    • £32,000 + Benefits
    • Posted 3 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 cl...

    • Liverpool
    • Competitive
    • Posted 3 days ago

    Long standing, prestigious financial services firm are looking to hire a Data Governance Manager to join their Liverpool based headquarters. Key responsibilities include: Implement the Data Governance Framework within the business to improve the management of data quality, protection, security and record management within the Group Chair the Data Management Committee and Data Stewards Forum Advise and mentor key stakeholders in their roles as ...

    • Leeds
    • £35,000 + Benefits
    • Posted 6 days ago

    The key purpose of the role is to assist one or more Advisers in the delivery of advice and ongoing services to prospective, new and existing clients. The role holder will be responsible for researching, analysing and compiling Financial Planning reports, in conjunction with the Advisers, ensuring compliance with Business Quality Standards at all times. Key responsibilities include: Conduct research on clients’ financial planning arrangements ...

    • Oxfordshire
    • £75,000 - £85,000
    • Posted 6 days ago

    A newly created role due to further growth and success of the business. The objective of this role is to lead the Compliance team and to provide advice and guidance to key stakeholders and lead a team of Risk & Compliance partners to ensure that risks and issues across all businesses are appropriately identified and managed. Responsibilities: • Engage with stakeholders on BAU and change activities within the business to ensure compliance if ma...

    • Newcastle
    • £32,000 + Benefits
    • Posted 8 days ago

    Based in the Newcastle office, the Compliance Associate will assist the Compliance Team in delivering a range of compliance solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active. The role will involve: Support the Compliance Associates and Compliance Managers to ensure that the firm and its clients are in complianc...

    • Birmingham
    • c£50,000 + Benefits
    • Posted 8 days ago

    The key purpose of the role is to design, implement and deliver engaging training programmes to ensure all our advisers are fully competent and versed on new regulations. You will work closely with Senior Managers, Advisers and Paraplanners to understand individual training requirements across the business. Key responsibilities include: Design and implement individual and group training activities Support new colleagues and ensure all advisers...

Get new jobs for this search by email

By submitting your details you agree to our T&C's