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MERJE Ltd
Leeds
Job Description Opportunity to join an established and leading firm within the Investment and Wealth Management sector as they look to add a Compliance officer to their Compliance function located in central Leeds. The successful candidate will assist the Compliance Manager in meeting the team's objectives, ensuring the firm fulfils the Financial C
Job Source: MERJE LtdGet Recruited (UK) Ltd
Leeds
COMPLIANCE OFFICER LEEDS + HYBRID WORKING SALARY UP TO £35,000 THE OPPORTUNITY: Join an exciting insurance brokerage based near Leeds. This is a growing team in a growing brokerage looking for ambitious compliance professional looking to progress within a friendly culture. If you come from a Compliance Background within the Financial Services o
Job Source: Get Recruited (UK) LtdLR Legal Recruitment
Leeds, England, United Kingdom
Role - Compliance Officer Location - Leeds Salary - £30k Job Description Ensure the firm complies with all relevant statutory laws and regulations, internal policies and procedures. Manage the firm’s Lexcel Accreditation Audit Ensure continual monitoring and review of compliance procedures to help identify possible areas where improvements can
Job Source: LR Legal RecruitmentInneo Recruitment Ltd
Bradford, England, United Kingdom
Compliance Officer - £30,000 + up to 10% performance related bonus We are seeking a skilled and knowledgeable Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that our organisation adheres to all applicable laws, regulations, and internal policies, promoting a culture of ethical conduct and integri
Job Source: Inneo Recruitment LtdInneo Recruitment Ltd
Bradford
We are seeking a skilled and knowledgeable Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that our organisation adheres to all applicable laws, regulations, and internal policies, promoting a culture of ethical conduct and integrity throughout the firm. Your expertise in legal compliance and atte
Job Source: Inneo Recruitment LtdDriver Hire Group Services Ltd
Bradford
In 2023, we proudly celebrated our 40th anniversary as the leading force in specialist transport and logistics recruitment, standing tall as the largest in the nation. But what really sets us apart is our people – a vibrant, passionate team dedicated to excellence, collaboration and growth, whilst making sure we find time to have fun along the way.
Job Source: Driver Hire Group Services LtdClayton Davies
Leeds, England, United Kingdom
We are working exclusively with a successful financial planning business who are looking for a Compliance Officer to join the 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. The successful candidate will be e
Job Source: Clayton DaviesAcademic Appointments Ltd
Swillington Common
Exciting opportunity to join our Candidate and Compliance Team Academic Appointments are seeking to appoint a Recruitment and Compliance Officer as part of the established team based in our Head Office. You will be part of a forward thinking, progressive company who strive to ensure staff are well supported and given every opportunity to progress
Job Source: Academic Appointments LtdLeeds
Our client is a successful financial planning business who are looking for a Compliance Officer to join the 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.
The successful candidate will be expected to:
Support the Compliance Director in order to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etc
Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.
Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutions
Support the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.
Act as liaison and maintain effective relationships with external third party compliance support services.
Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.
The successful candidate will have:
Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business
Thorough understanding of FCA regulatory frameworks and compliance requirements.
Compliance Officer jobs in Leeds
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