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Broster Buchanan
liverpool, 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 bo
Job Source: Broster BuchananCarl Dylan Resourcing Limited
Manchester
Compliance Advisor - Middleton ( Manchester ) £24,000 - £26,000 + Generous Quartely Bonus Do you want to work with one of the UK's fastest grown brands...? Do you have a keen eye for detail and strong admin skills ? This role would suit a recent graduate or strong administrator We are looking for enthusiastic, passionate, honest, service-driven ind
Job Source: Carl Dylan Resourcing LimitedRecruitment 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) LtdAntony James Recruitment Ltd
Northwich
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 bus
Job Source: Antony James Recruitment LtdBroster Buchanan Ltd
Liverpool
A role with great exposure and development opportunities. A chance to work for a growing and ambitious organisation. Excellent base salary and company benefits. 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 suitabilit
Job Source: Broster Buchanan LtdAntony James Recruitment Ltd
Northwich
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 LtdJD Sports Fashion
Bury, England, United Kingdom
Job Title – Senior Compliance Officer - Mat Cover 12 months Location – BL9 8RR Working rota – Monday - Friday Working hours – 40 Hours What You'll Be Doing: As a Senior Compliance Officer , you'll be doing the following: Lead compliance audits to ensure adherence to relevant regulations e.g PCI DSS Conduct investigations/subject access request
Job Source: JD Sports FashionPertemps Newcastle & Gateshead
Warrington
Compliance and Data Officer- Apprenticeships Sector Warrington Salary up to £35,000 DOE Full time position Monday-Friday Pertemps are delighted to be working with a reputable training provider going through a period of growth. As a result of this, we now have an immediate opportunity for an experienced Compliance and Data Manager to join the tea
Job Source: Pertemps Newcastle & GatesheadWarrington
£ 30000 - 45000/annum benefits
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 package is on offer with a comprehensive benefits package. Negotiable. Happy to discuss upon application; based on level of seniority and experience
Compliance Officer:
* Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, 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 Officer jobs in Warrington
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