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Recruitment Solutions (Folkestone) Ltd
Warrington
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company. A highly competitive
Job Source: Recruitment Solutions (Folkestone) LtdRecruitment Solutions (Folkestone) Ltd
Warrington, Cheshire
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company. A highly competitive
Job Source: Recruitment Solutions (Folkestone) LtdSanderson
Liverpool
Compliance Monitoring Officer Salary: £39,785 Location: Liverpool, Basingstoke, Bristol Who are Diligenta? Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business th
Job Source: SandersonAntony James Recruitment Ltd
Northwich, Cheshire
Compliance Risk Officer Our well established financial services client based in Northwich are currently looking for a Compliance Risk Officer to join their team on a permanent basis. This is an excellent opportunity for an individual to gain knowledge of this specialist area. In addition, the job holder will need an understanding of the overall bu
Job Source: Antony James Recruitment LtdAdele Carr Financial Recruitment
lancaster
We are seeking a dynamic and experienced Senior Human Resources & Compliance Officer to join our clients team. In this role, you will play a crucial part in driving talent management initiatives, maintaining compliance with regulations, and fostering a culture of recognition and engagement within the organisation. Key Responsibilities: Collaborate
Job Source: Adele Carr Financial RecruitmentSanderson
Liverpool
Senior Compliance Monitoring Officer Salary: £50,571 Location: Liverpool, Basingstoke, Bristol Who are Diligenta? Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A busi
Job Source: SandersonKO2 Embedded Recruitment Solutions LTD
Chester
Position: Compliance Engineer Location: Chester - Hybrid Working from Home 50/50 Salary: Up to 55,000 + Benefits A new position has been created for an experienced compliance engineer to join our clients growing engineering team in the Chester area. Our client design and manufacture a range of electro mechanical devices and are looking for a com
Job Source: KO2 Embedded Recruitment Solutions LTDReed
Liverpool
Compliance Coordinator Hourly Rate: £13.67 PAYE Location: Hybrid Job Type: Temporary (Immediate Start) We are currently seeking an experienced Compliance Coordinator for a national social housing provider. The role requires a proactive individual who can efficiently manage compliance activities, maintain accurate records, and handle a variety o
Job Source: Reedliverpool, england, United Kingdom
Carry out file reviews and maintain a log of checks undertaken:
Check all documentation for completeness and consistency;
Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)
Responsibility for the delivery of the Compliance Monitoring Plan (CMP):
Completion of scheduled monitoring reviews in a timely manner;
Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations;
Produce compliance review reports for Senior Management;
Email Alert for Compliance Officer jobs in liverpool, england, United Kingdom
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