Monitoring and Compliance Officer

1 week ago

United Kingdom Clayton Davies Full time

Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with customers. You will have excellent knowledge of the products and services offered by the company, knowledge of the UK financial market and sound knowledge of the FCA regulatory requirements.
You will be required to maintain your knowledge by keeping up with any regulatory changes and updating training as required.
Interpret, build upon, and comply with company quality assurance standards.
Carefully monitor non-conformance of company standards through records and tracking systems, including root cause analysis with recommendations of corrective actions to Head of Compliance.
Document quality assurance activities with internal reporting and audits.
Producing monthly report of QA activities and findings to the Head of Compliance.
Help identify training needs and feedback to line managers for action to ensure company-wide compliance.
Identify any potential risks and bring these to the attention of the Head of Compliance.
Be qualified to Level 4 Diploma Financial Planning (or equivalent) as a minimum
Knowledge of the various financial services products including Pensions and Investments

  • Compliance Officer

    4 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Officer

    3 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Officer

    4 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Officer

    4 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Officer

    3 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom BWD Search & Selection Full time

    Compliance Monitoring Specialist - Wealth Management (Remote) Are you passionate about ensuring strong corporate governance and supporting sustainable growth? We are seeking a skilled Compliance Monitoring Specialist to join a dedicated team within a leading wealth management and financial planning group. This role plays a critical part in maintaining an...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom BWD Search & Selection Full time

    Compliance Monitoring Specialist - Wealth Management (Remote)Are you passionate about ensuring strong corporate governance and supporting sustainable growth? We are seeking a skilled Compliance Monitoring Specialist to join a dedicated team within a leading wealth management and financial planning group. This role plays a critical part in maintaining an...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom BWD Search & Selection Full time

    Compliance Monitoring Specialist - Wealth Management (Remote) Are you passionate about ensuring strong corporate governance and supporting sustainable growth? We are seeking a skilled Compliance Monitoring Specialist to join a dedicated team within a leading wealth management and financial planning group. This role plays a critical part in maintaining an...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom BWD Search & Selection Full time

    Compliance Monitoring Specialist - Wealth Management (Remote)Are you passionate about ensuring strong corporate governance and supporting sustainable growth? We are seeking a skilled Compliance Monitoring Specialist to join a dedicated team within a leading wealth management and financial planning group. This role plays a critical part in maintaining an...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom BWD Search & Selection Full time

    Compliance Monitoring Specialist - Wealth Management (Remote) Are you passionate about ensuring strong corporate governance and supporting sustainable growth? We are seeking a skilled Compliance Monitoring Specialist to join a dedicated team within a leading wealth management and financial planning group. This role plays a critical part in maintaining an...

  • Legal Risk and Compliance Officer

    4 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Legal Risk and Compliance Officer

    3 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Officer

    4 weeks ago

    United Kingdom Holmes Search Full time

    A fantastic opportunity for a Compliance Analyst with a minimum of one years’ experience in Wholesale Banking, looking to expand their skills and knowledge and build their career in FS regulation. This role will give you a robust grounding in a generalist compliance role in a fast-paced Financial Services firm. In addition to learning on the job you will...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom Clayton Davies Full time

    Job Description:Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with customers....

  • Compliance Monitoring Officer

    1 week ago

    United Kingdom Clayton Davies Full time

    Job Description: Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with...

  • Compliance Monitoring Officer

    1 week ago

    United Kingdom Clayton Davies Full time

    Job Description: Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with...

  • Compliance Monitoring Officer

    2 weeks ago

    United Kingdom Clayton Davies Full time

    Job Description: Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with...

  • Compliance Monitoring Officer

    1 week ago

    United Kingdom Clayton Davies Full time

    Job Description:Our client is a growing wealth management firm who are looking for a Compliance Monitoring Officer to join the team. As the Compliance Monitoring Officer, you will be responsible for reviewing advice files in line with agreed business standards as part of the company’s QA programme that safeguards the quality in our dealings with customers....

  • Compliance Officer

    2 weeks ago

    United Kingdom Signet Recruitment and Retention Full time

    Are you a Compliance professional , with experience working within a compliance and/or risk department of a FCA regulated company? Honda Motor Europe are looking for an experienced Compliance professional to join the team in Bracknell, on a hybrid basis. The Compliance Team sit within the Second Line of Defence, responsible for monitoring, providing...

  • Compliance Officer

    2 weeks ago

    United Kingdom Signet Recruitment and Retention Full time

    Are you a Compliance professional , with experience working within a compliance and/or risk department of a FCA regulated company? Honda Motor Europe are looking for an experienced Compliance professional to join the team in Bracknell, on a hybrid basis. The Compliance Team sit within the Second Line of Defence, responsible for monitoring, providing...