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Driver 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 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 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 DaviesClayton Davies Ltd
Leeds
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: Suppor
Job Source: Clayton Davies 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) LtdInneo 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 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 RecruitmentAcademic 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
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 Conduct Authority's requirements and meets the rules of the Financial Services and Markets Act.
The business operates a very flexible hybrid working policy and alongside the base salary, the role offers an excellent annual bonus and other financial and non-financial benefits.
Role responsibilities:
Monitor business risks in accordance with regulatory requirements and internal procedures, both desk and field based.
Complete tasks in accordance with the Compliance Plan as set out in line with FCA and strategic business objectives.
Review and monitor customer complaints where required, complete MI, contribute to Root Cause Analysis, and to submit regulatory reports.
Monitor and review specific managed portfolio issues and assessment of suitability.
Respond to daily queries via the Compliance inbox and KYC reviews.
To review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance, as required.
Monitor Training & Competence (T&C) arrangements throughout Head Office and Branches.
Carry out any other duties as requested by the Head of Regulation or Monitoring Manager, and to support and deputise for colleagues in the department.
To ensure that all reports of regulatory breaches are evaluated and recorded and agree follow up actions required with the Head of Regulation.
To report any risks which may be detrimental to clients or to the firm's reputation.
Personal Attributes & Experience:
Ideally educated to a degree level or equivalent standard. FSI or equivalent (level 3 or 4) is desirable but not essential as overall experience will be considered.
Experience within Compliance ideally gained within Wealth Management, Stockbroking, or Investments.
Training & Competence knowledge
Minimum of 1 year's compliance, or 3 years administration experience within financial services or a similar regulated industry.
Knowledge of FCA regulations
Knowledge of Microsoft Office Applications (Intermediate level).
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
Compliance Officer jobs in Leeds
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