Current jobs related to Compliance Monitoring Reviewer - Liverpool - Rathbones Group Plc Careers

  • Compliance Monitoring Officer

    5 months ago

    Liverpool, United Kingdom Diligenta Full time

    **Who are Diligenta?** Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as ‘home’ by existing employees, we drive a culture that is founded...

  • Senior Compliance Monitoring Officer

    4 months ago

    Liverpool, United Kingdom Diligenta Full time

    **Who are Diligenta?** Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as ‘home’ by existing employees, we drive a culture that is founded...

  • Senior Compliance Monitoring Officer

    4 months ago

    Liverpool, United Kingdom Diligenta Full time

    **Salary**: From £37460.00-£46825.00 **Who are Diligenta?**: Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing...

  • Compliance Review Officer

    5 months ago

    Liverpool, United Kingdom Homecarers (Liverpool) Ltd Full time

    HomeCarer’s Liverpool are looking for a **Compliance Review Officer** due to an **increased demand** within the business. As one of the leading providers of Adult Social Care in the Liverpool City Region we offer a rewarding work environment, with a great work-life balance and **NO on call responsibilities.** **Salary**: £24,100 per year (**Enhanced Bank...

  • Compliance Monitoring Officer

    4 months ago

    Liverpool, United Kingdom Diligenta Full time

    **Who are Diligenta?** Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as ‘home’ by existing employees, we drive a culture that is founded...

  • Compliance Monitoring Officer

    4 months ago

    Liverpool, United Kingdom Diligenta Full time

    **Salary**: From £29471-£36838 **Who are Diligenta?**: Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we...

  • Senior Compliance Monitoring Officer

    4 months ago

    Liverpool, United Kingdom Diligenta Full time

    **Salary**: From £40456-£50571 **Who are Diligenta?**: Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we...

  • Compliance Monitoring Director

    3 weeks ago

    Liverpool, Liverpool, United Kingdom Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are The Very Group, a company that helps families achieve their goals by providing flexible payment options and amazing brands. As a Compliance Monitoring Manager, you will play a critical role in ensuring our customers receive good outcomes.About the RoleThis is a business-critical position within our Compliance...

  • Compliance Monitoring Director

    3 weeks ago

    Liverpool, Liverpool, United Kingdom Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are The Very Group, a company that helps families achieve their goals by providing flexible payment options and amazing brands. As a Compliance Monitoring Manager, you will play a critical role in ensuring our customers receive good outcomes.About the RoleThis is a business-critical position within our Compliance...

  • Compliance Officer

    3 months ago

    Liverpool, 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

    2 months ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with Anti-Money Laundering (AML) regulations and sanctions.Key Responsibilities:Advisory Role: Provide guidance to secretaries, fee earners, and...

  • Compliance Officer

    2 months ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with Anti-Money Laundering (AML) regulations and sanctions.Key Responsibilities:Advisory Role: Provide guidance to secretaries, fee earners, and...

  • Compliance Review Officer

    2 months ago

    Liverpool, United Kingdom Homecarers Liverpool Full time

    About the RoleHomeCarer’s Liverpool are looking for a Compliance Review Officer due to an increased demand within the business. As one of the leading providers of Adult Social Care in the Liverpool City Region we offer a rewarding work environment, with a great work-life balance and NO on call responsibilities.Salary: £25,300Shift pattern: 40 hours...

  • Compliance Monitoring Director

    3 weeks ago

    Liverpool, Liverpool, United Kingdom Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are The Very Group, a company that helps families get more out of life by combining amazing brands and products with flexible payment options on Very.co.uk. We're passionate about building careers with real growth, a sense of purpose, belonging, and wellbeing.About the RoleThe Compliance and Risk Team is responsible...

  • Compliance Monitoring Director

    3 weeks ago

    Liverpool, Liverpool, United Kingdom Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are The Very Group, a company that helps families get more out of life by combining amazing brands and products with flexible payment options on Very.co.uk. We're passionate about building careers with real growth, a sense of purpose, belonging, and wellbeing.About the RoleThe Compliance and Risk Team is responsible...

  • Compliance Monitoring Director

    2 weeks ago

    Liverpool, Liverpool, United Kingdom Howden Group Holdings Full time

    About the RoleWe are seeking an experienced Compliance Monitoring Manager to join our team at Howden Group Holdings. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key ResponsibilitiesDevelop and implement effective compliance...

  • Compliance Monitoring Director

    1 month ago

    East Liverpool, Ohio, United Kingdom The Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are seeking an experienced Compliance Monitoring Manager to join our team at The Very Group. As a key member of our Compliance and Risk Team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry best practices.Key Responsibilities:Develop and...

  • Compliance Monitoring Director

    1 month ago

    East Liverpool, Ohio, United Kingdom The Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are seeking an experienced Compliance Monitoring Manager to join our team at The Very Group. As a key member of our Compliance and Risk Team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry best practices.Key Responsibilities:Develop and...

  • Compliance Monitoring Director

    3 weeks ago

    East Liverpool, Ohio, United Kingdom The Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are seeking an experienced Compliance Monitoring Manager to join our team at The Very Group. As a key member of our Compliance and Risk Team, you will play a critical role in ensuring that our customers achieve good outcomes.About the RoleThis is an exciting opportunity to lead our Monitoring and Testing Team,...

  • Compliance Monitoring Director

    3 weeks ago

    East Liverpool, Ohio, United Kingdom The Very Group Full time

    Job Title: Compliance Monitoring ManagerWe are seeking an experienced Compliance Monitoring Manager to join our team at The Very Group. As a key member of our Compliance and Risk Team, you will play a critical role in ensuring that our customers achieve good outcomes.About the RoleThis is an exciting opportunity to lead our Monitoring and Testing Team,...

Compliance Monitoring Reviewer

3 months ago

Liverpool, United Kingdom Rathbones Group Plc Careers Full time

Company description:

A rewarding place to work. At Rathbones, We invest in everyone's tomorrow that includes our people. We are always looking for future talent, and we can help you build a rewarding career with clear paths to progression and the opportunity to share in the success of our business.

Job description:

Department:Middle Office

Location: Liverpool

Contract Type: 3 month contract

Reporting to:Head of Compliance Monitoring and Assurance

Working Arrangement: Hybrid

Purpose of the role

The Compliance Monitoring File Reviewer is responsible for assisting the Rathbones Compliance Monitoring Team with completing a specific client and proposition review project, as well as for providing regular progress reports and management information.

Key responsibilities of the role

  1. Undertake file reviews ofclient instruction documents to determine if client instructions were received and processed accurately.
  2. Identify and record details of any client instructions which do not meet internal standards.
  3. Undertake a review of client portfolios to ensure instructions were followed as per internal procedures.
  4. Collaborate with Compliance Monitoring Team to ensure any error that is identified is reported and rectified correctly in accordance with internal procedures.