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Thalia Waste Management
Knaresborough, England, United Kingdom
At Allerton Waste Recovery Park, we are looking for an experienced compliance manager to lead the way in setting and meeting compliance standards. As a compliance professional you will have a NEBOSH certificate (or equivalent) and have a strong background in Environmental legislation, Quality standards and Health and Safety as well as a good unders
Job Source: Thalia Waste ManagementOnebright
York
Onebright is the personalised mental healthcare company building a brighter way to provide life-changing support for people around the world. We work with everyone from insurance providers and companies to GP's and individuals to get people the support they need to feel better. Onebright is now the fastest growing provider of private outpatient me
Job Source: OnebrightIn Technology Group Limited
Castleford
Quality Assurance Manager (Solar PV) Urgent requirement for a Solar PV Quality Assurance Manager for a leading Renewable Energy company based in the Leeds area. This will be an initial 2-3 month contract followed by a permanent position at the company. As a Quality Assurance Manager in the Solar PV sector, you will leverage your expertise in Solar
Job Source: In Technology Group LimitedElevation Recruitment Limited
Goole
Elevation Recruitment Group's Senior Finance division are delighted to be working on an exciting Tax Manager position with a leading manufacturing business based near Goole! Reporting to the Group Tax Director, you will be responsible for delivering strategic projects and all aspects of UK corporate tax compliance, reporting, risk, controls and tax
Job Source: Elevation Recruitment LimitedCMS Distribution
Castleford, England, United Kingdom
Reporting to the People Operations Compliance Manager, the ESG Compliance Officer will provide support with administration, research and presentations to Senior Directors and the wider business, new process roll outs and coordination support, alongside ESG and Compliance Project Management from start through to completion. There will be a particula
Job Source: CMS DistributionBurman Recruitment
north yorkshire, england, United Kingdom
CAFM/System Manager As the CAFM Manager, you'll lead the testing, management, and optimization of the Computer-Aided Facilities Management (CAFM) system to enhance FM operations across the campus. Key Responsibilities: Test, implement, and configure the Planon CAFM system in collaboration with stakeholders, defining requirements and functionaliti
Job Source: Burman RecruitmentThe Sterling Choice Ltd
Malton, North Yorkshire
Job Title: HR Manager Location: North Yorkshire Salary: £40,000 About the Role Are you a seasoned HR professional with a passion for fostering exceptional workplace cultures? We're on the hunt for an on-site People Manager to spearhead the HR initiatives at a busy and growing food manufacturing business. From strategic planning to hands-on admi
Job Source: The Sterling Choice LtdThe Sterling Choice
malton, england, United Kingdom
Job Title: HR Manager Location: North Yorkshire Salary: £45,000 About the Role Are you a seasoned HR professional with a passion for fostering exceptional workplace cultures? We're on the hunt for an on-site People Manager to spearhead the HR initiatives at a busy and growing food manufacturing business. From strategic planning to hands-on adm
Job Source: The Sterling ChoiceYork
The Company: A leading Chartered Financial Planning firmbased in York looking to add an experienced Compliance/T&C professional to deal with all internal compliance requirements as well as overseeing adviser development and support.
Office Location: York
Hybrid/Home Working: Yes - Split between home/office
Package: £48-55k base DOE + bonus and full company benefits
Benefits: 25 days holiday plus stats with Xmas closure on top, pension, 4xDIS on top of a full flexible benefits package
Bonus: Market-leading annual bonus pushing circa £10k per-year
The Role : This is a role providing compliance support for Training and Competence and quality assurance across the firms’ wealth planning arm. Duties & responsibilities include:
Ensure appropriate advice and sales procedures are in place for all business areas and these are followed
Ensures all employees who undertake distribution activities meet the FCA expectations in terms of knowledge, ability and repute
Regularly review the relevant individual’s client files as required by the firms’ relevant procedures
Checks as above but monitor checks for adherence to T&C scheme
Completion of bi-annual risk assessment of all advisers
Make sure all certification staff are certified before undertaking the role.
T&C Scheme - Manage and implement and ensure adequate records are being maintained
Make sure all retail investment advisers hold PFS
Coach and develop junior advisers to attain competency including observations.
Conduct regular 1:1s with all Advisers ensuring behaviours and KPI’s are on track.
Complete all necessary changes/updates/applications to the FCA Directory/Register
Prepare M.I - Present to the Board on a monthly basis
Regular audit of processes to ensure being adhered to
Report back monthly, at the Adviser Meeting, on any issues or support requirements that have come to light through file checking
Support the Sales Team in adhering to all best practices and processes.
The Person: Must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing internal compliance role that covers the wider internal compliance function, so being motivated by a broader remit in a smaller firm is essential:
Required: Experience within internal compliance/T&C
Required: Previous experience of/responsibilities for file review prep and adviser training & development previously
Preferred: Adviser onboarding and induction experience
What next? Please send CV applications to Chris at CB3 Associates Ltd to be reviewed inside 24 hours. For further opportunities that might suit you, please visit the website: www.cb3associates.co.uk
Compliance & T&C Manager jobs in York
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