Compliance Officer
4 weeks ago
Our client, a leading financial planning firm are looking for a Level 4 qualified Compliance Offcier/Administrator with general compliance experience and ideally some file review and financial promotions experience. As Compliance Officer/Administrator, you will be assisting the Head of Compliance in all aspects of the compliance regime, includingAuditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable time scaleProviding the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm’s policies and proceduresChasing of all Remedial Work for completed file audits, updating and maintaining all adviser records as requiredChecking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved materialEnsuring the Firm’s Compliance Monitoring Plan is adhered to on a monthly basisMonthly Reports on Compliance activity to the Company Directors for the Board MeetingMonitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attentionEnsuring all necessary measures and paperwork have been completed to satisfy FCA requirementsOther Ad-hoc DutiesAssisting Advisers and Appointed Representatives with general support requests with queries, projects and other business activities and enquiries that require guidance from the Compliance Team.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
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Compliance Officer
5 days ago
Higher Walton, United Kingdom MERJE Full timeOur client, a leading financial planning firm are looking for a Level 4 qualified Compliance Officer/Administrator with general compliance experience and ideally some file review and financial promotions experience. As Compliance Officer, you will be assisting the Head of Compliance in all aspects of the complianc...
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Compliance Officer
2 weeks ago
Higher Walton, Warrington, United Kingdom MERJE Full timeOur client, a leading financial planning firm are looking for a Level 4 qualified Compliance Officer/Administrator with general compliance experience and ideally some file review and financial promotions experience. As Compliance Officer, you will be assisting the Head of Compliance in all aspects of the complia...
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Compliance Officer
2 months ago
Higher Walton, Warrington, United Kingdom CV-Library Full timeOur client, a leading financial planning firm are looking for a Level 4 qualified Compliance Offcier/Administrator with general compliance experience and ideally some file review and financial promotions experience. As Compliance Officer/Administrator, you will be assisting the Head of Compliance in all aspects of the compliance regime,...
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Compliance Officer
2 months ago
Higher Walton, Warrington, United Kingdom MERJE Full timeOur client, a leading financial planning firm are looking for a Level 4 qualified Compliance Offcier/Administrator with general compliance experience and ideally some file review and financial promotions experience. As Compliance Officer/Administrator, you will be assisting the Head of Compliance in all aspects of the compliance regime,...
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Compliance Officer
2 weeks ago
Higher Walton, Warrington, United Kingdom CV-Library Full timeOur client, a leading financial planning firm are looking for a Level 4 qualified Compliance Officer/Administrator with general compliance experience and ideally some file review and financial promotions experience. ...
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Regulatory Affairs Officer
4 weeks ago
Higher Walton, United Kingdom MERJE Full time**Grow Your Career with MERJE**We are looking for an ambitious Compliance Officer/Administrator to join our team at MERJE. As a dynamic and growing financial planning firm, we offer exciting opportunities for career advancement and professional growth.About the Position:Support the Head of Compliance in developing and implementing effective compliance...
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Compliance Specialist
4 weeks ago
Higher Walton, Warrington, United Kingdom MERJE Full timeJob DescriptionAs a Compliance Officer, you will play a critical role in assisting the Head of Compliance in all aspects of the compliance regime. Your responsibilities will include auditing new business submission files, providing reports, and ensuring remedial work is completed within a reasonable timeframe.A key part of your role will be to provide...
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Compliance Officer
7 months ago
Walton-on-Thames, United Kingdom The Almshouse Association Full timeWe’re looking for a Compliance Officer to take responsibility for monitoring, recording and compliance reporting across the Charity; and to be a main point of contact for the policies and procedures that ensure the safety of our residents, staff and the people we work with. Download the full role profile to find out more. **Hours**: Full time, 35 hours a...
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Financial Governance Professional
4 weeks ago
Higher Walton, United Kingdom MERJE Full time**Join Our Team at MERJE**We are seeking an experienced Compliance Officer/Administrator to join our team at MERJE, a leading financial planning firm. As a key member of our compliance team, you will play a vital role in ensuring our operations meet the highest standards of governance and regulatory compliance.About the Role:Assist the Head of Compliance in...
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Compliance Project Officer
4 weeks ago
Walton-on-Thames, Surrey, United Kingdom The Oyster Partnership Full timeThe Oyster Partnership is recruiting a Resident Liaison Officer to join our team.This role is critical to maintaining resident trust and achieving compliance standards.About the RoleThe Resident Liaison Officer will serve as the primary point of contact for residents affected by essential building safety works.You will work closely with contractors to ensure...
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Compliance Officer
2 weeks ago
Walton-on-Thames, United Kingdom Geoff Banks Online Full timeObjective of Role The primary responsibility of this role is to assist the compliance manager in meeting the licence conditions within the British gambling market. You will be required to oversee and manage the tasks and issues in a timely manner and provide the necessary updates to your managers. You’ll work with and support the business on any...
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Head of New Business
1 month ago
Higher Walton, United Kingdom McCarthy Recruitment Full timeLocation: Preston (Hybrid Working) Salary: £60k - 70k DOE + Car + Bonus Role: Head of Business Development Are you a dynamic sales leader looking for your next big challenge? Our client is a trusted name with nearly 50 years of success and they’re looking for a Head of Business Development to drive their ambitious growth plans. This is a unique...
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Telemarketer
1 month ago
Higher Walton, United Kingdom McCarthy Recruitment Full timeTelemarketer/Telesales Executive Location: Preston Salary: Up to £35k + Bonus Role: Telemarketer/Telesales Executive Are you passionate about sales and looking to make a real impact? Our client are trusted leaders with almost 50 years of success. We are looking for a dynamic Telemarketer/Telesales Executive to help reach new heights. This is an exciting...
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Head of New Business
2 weeks ago
Higher Walton, United Kingdom McCarthy Recruitment Full timeLocation: Preston (Hybrid Working) Salary: £60k - 70k DOE + Car + Bonus Role: Head of Business Development Are you a dynamic sales leader looking for your next big challenge? Our client is a trusted name with nearly 50 years of success and they’re looking for a Head of Business Development to drive their ambitious growth plans. This is a unique...
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Telemarketer
1 month ago
Higher Walton, United Kingdom CV-Library Full timeTelemarketer/Telesales Executive Location: Preston Salary: Up to £35k + Bonus Role: Telemarketer/Telesales Executive Are you passionate about sales and looking to make a real impact? Our client are trusted leaders with almost 50 years of success. We are looking for a dynamic Telemarketer/Telesales Executive to help reach new heights. This is an...
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Telemarketer
2 weeks ago
Higher Walton, United Kingdom McCarthy Recruitment Full timeTelemarketer/Telesales Executive Location: Preston Salary: Up to £35k + Bonus Role: Telemarketer/Telesales Executive Are you passionate about sales and looking to make a real impact? Our client are trusted leaders with almost 50 years of success. We are looking for a dynamic Telemarketer/Telesales Executive to help reach new heights. This is an exciting...
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Head of New Business
6 days ago
Higher Walton, United Kingdom McCarthy Recruitment Full timeLocation: Preston (Hybrid Working) Salary: £60k - 70k DOE + Car + BonusRole: Head of Business DevelopmentAre you a dynamic sales leader looking for your next big challenge? Our client is a trusted name with nearly 50 years of success and they’re looking for a Head of Business Development to drive their ambitious growth plans.This is a unique opportunity...
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Head of New Business
1 month ago
Higher Walton, United Kingdom CV-Library Full timeLocation: Preston (Hybrid Working) Salary: £60k - 70k DOE + Car + Bonus Role: Head of Business Development Are you a dynamic sales leader looking for your next big challenge? Our client is a trusted name with nearly 50 years of success and they’re looking for a Head of Business Development to drive their ambitious growth plans. This is a unique...
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Regulatory Affairs Manager
4 weeks ago
Higher Walton, Warrington, United Kingdom MERJE Full timeRole OverviewThe Compliance Officer will assist the Head of Compliance in overseeing the compliance regime, including auditing new business submissions, providing reports, and ensuring remedial work is completed promptly.Key duties will include:- Providing pre-submission support to advisers on file content and pre-sale checking- Ensuring advisers meet...
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Resident Liaison Officer
6 days ago
Walton-on-Thames, United Kingdom The Oyster Partnership Full timeResident Liaison Officer - Compliance£20.00phr LTD, 3 months temp to perm contractBased in Walton on Thames, SurreyHybrid working availableAs a Resident Liaison Officer (RLO) focusing on fire safety, compliance, and cladding projects, you will act as the primary point of contact for residents affected by essential building safety works. You will play a...