ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.
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 ManagementHawk 3 Talent Solutions
Malton
Compliance Officer Financial Services Malton, North Yorkshire £29,000 – £31,500 per annum plus bonus Commutable from York, Malton, Driffield, Pickering, North Yorkshire Permanent office-based role working full time Monday to Friday. Hawk 3 Talent Solutions are working with a well-established company based in Malton, North Yorkshire who are loo
Job Source: Hawk 3 Talent SolutionsHawk 3 Talent Solutions
Malton
Compliance Officer Financial Services Malton, North Yorkshire £29,000 – £31,500 per annum plus bonus Commutable from York, Malton, Driffield, Pickering, North Yorkshire Permanent office-based role working full time Monday to Friday. Hawk 3 Talent Solutions are working with a well-established company based in Malton, North Yorkshire who are looking
Job Source: Hawk 3 Talent SolutionsAcademic 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 LtdOnebright
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 LimitedIn 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 LimitedIn Technology Group
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 Sol
Job Source: In Technology GroupYork
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
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.