Compliance Officer

4 weeks ago

Chelmsford Essex, United Kingdom Office Angels Full time

Are you passionate about ensuring ethical conduct and regulatory adherence in the financial sector?
If so, we have an exciting opportunity for you to join our client's team as a Compliance Officer.
As an IFA Compliance Officer, you will be responsible for ensuring that the company adheres to all relevant laws, regulations, and industry standards governing the provision of financial advice. You will oversee compliance procedures and protocols to mitigate risks associated with financial advice and ensure the highest level of ethical conduct within the organization.
Compliance Officer
Financial Services
CONTRACT: Permanent
START : ASAP
HOURS: Part-time (20 hours per week, flexibility on days)
Perm salary equivalent - £70,000
Excellent benefits including on-site parking, monthly and quarterly discretionary bonus, annual performance related bonus, paid overtime, social events such as summer BBQ's and Christmas parties, career progression opportunities.
Develop, implement, and maintain compliance policies and procedures in line with regulatory requirements and industry best practices.
Stay abreast of changes in financial regulations and ensure that the company's practices and procedures remain compliant with applicable laws and regulations.
Conduct regular audits and reviews of internal processes to identify areas of potential risk or non-compliance and develop strategies to address them.
Provide training and guidance to staff members on compliance-related matters to ensure a thorough understanding of regulatory requirements and ethical standards.
Manage the complaints handling process, ensuring timely and appropriate resolution of client complaints in accordance with regulatory requirements.
Prepare and submit regulatory reports and filings as required by relevant authorities, ensuring accuracy and timeliness.
Serve as the primary point of contact for regulatory inquiries and inspections, maintaining open communication and cooperation with regulatory authorities.
Identify and assess potential compliance risks to the business and implement strategies to mitigate those risks effectively.
Collaborate with other departments, such as legal, risk management, and operations, to address compliance issues and promote a culture of compliance throughout the organization.
Liaise with Third party on bi-annual visits / audits.
Experience working in a Compliance role within an IFA.
Level 4 Diploma in Financial Planning or equivalent.
Strong analytical and problem-solving skills, with the ability to interpret complex regulatory requirements and apply them to practical business situations.
Excellent communication and interpersonal skills, with the ability to effectively communicate compliance requirements and influence stakeholders at all levels of the organization.
Proficiency in relevant software applications and tools used for compliance monitoring and reporting.
Office Angels acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. Office Angels UK is an Equal Opportunities Employer.
By applying for this role your details will be submitted to Office Angels. Our Candidate Privacy Information Statement explaining how we will use your information is available on our website.

  • Compliance Officer

    4 weeks ago

    Chelmsford, Essex, United Kingdom Workingmums Full time

    Pure are pleased to be working with our client within the financial services industry, who are looking to recruit for a Compliance Officer on a part time basis. Main Dutes: Delegated responsibility for complaints Chairing Senior Management meetings Supporting Investment committee Completion of Financial Resilience surveys Being the first point of...

  • Compliance Officer

    4 weeks ago

    Chelmsford, United Kingdom Cameron James Full time

    We are assisting an established motor trade business with the recruitment of a Compliance Officer. This is an immediate need, and they are looking to recruit ASAP. Reporting into the MD, the purpose of the role is to assist in the company’s compliance duties and ensure the business meets all compliance requirements, including anti - money laundering...

  • Compliance Officer

    2 weeks ago

    Essex, United Kingdom Pure Resourcing Solutions Limited Full time

    My client is looking for a compliance officer with excellent attention to detail. You Excel skills will be your toolkit in analysing data, tracking regulatory changes, and producing insightful reports. Attention to detail isn't just a skill for you - it's a way of life. You thrive in environments where precision is paramount, ensuring every aspect...

  • Compliance officer

    2 weeks ago

    Colchester, Essex, United Kingdom Pure Resourcing Limited Full time

    My client is looking for a compliance officer with excellent attention to detail.  Your Excel skills will be essential in analysing data, tracking regulatory changes, and producing insightful reports. Attention to detail isn't just a skill for you – it's a way of life. You thrive in environments where precision is paramount, ensuring every...

  • Export Control and Trade Compliance Officer

    4 weeks ago

    Chelmsford, United Kingdom Leonid Group Ltd Full time

    This is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer.The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. trade compliance regulations. This position will involve reviewing...

  • Export Control and Trade Compliance Officer

    3 weeks ago

    Chelmsford, United Kingdom Leonid Group Ltd Full time

    This is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer. The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. trade compliance regulations. This position will involve reviewing...

  • Export Control and Trade Compliance Officer

    4 weeks ago

    Chelmsford, United Kingdom Leonid Group Ltd Full time

    This is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer.The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. trade compliance regulations. This position will involve reviewing...

  • Export Control and Trade Compliance Officer

    1 week ago

    Chelmsford, United Kingdom Leonid Group Ltd Full time

    Job DescriptionThis is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer.The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. trade compliance regulations. This position will involve...

  • Export Control and Trade Compliance Officer

    4 weeks ago

    Chelmsford, United Kingdom Leonid Group Ltd Full time

    This is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer.The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. trade compliance regulations. This position will involve reviewing...

  • Export Control and Trade Compliance Officer

    4 weeks ago

    Chelmsford, United Kingdom Leonid Group Ltd Full time

    This is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer.The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. trade compliance regulations. This position will involve reviewing...

  • Legal Risk and Compliance Officer

    4 weeks ago

    Essex, United Kingdom Silven Recruitment Limited Full time

    Compliance Officer £Are you a food experienced technical professional looking for your next role? Experience within food manufacturing is essential You'll have written/maintained QMS, and be well versed in technical compliance

  • Compliance officer

    1 week ago

    Colchester, Essex, United Kingdom Pure Resourcing Solutions Limited Full time

    My client is looking for a compliance officer with excellent attention to detail. You Excel skills will be your toolkit in analysing data, tracking regulatory changes, and producing insightful reports. Attention to detail isn't just a skill for you – it's a way of life. You thrive in environments where precision is paramount, ensuring every aspect of...

  • Administrator

    4 weeks ago

    Chelmsford, United Kingdom Aether Compliance Ltd Full time

    **Looking to work for a fast paced growing business that values its employees?** Due to recent expansion and growth within the company we are looking to recruit a full-time Administration Assistant to support the existing team. Aether Compliance Ltd is fast becoming a market leader within our sector. The Company provides specialist building compliance...

  • Accounts Assistant

    6 days ago

    Chelmsford, United Kingdom Aether Compliance Ltd Full time

    **Looking to work for a fast paced growing business that values its employees?** Due to recent expansion and growth within the company we are looking to recruit a full-time Finance Administrator to manage day to day bookkeeping and credit control for the business. **Who are we?** Aether Compliance Ltd is fast becoming a market leader within our sector....

  • Compliance Monitoring Officer

    2 weeks ago

    Essex, United Kingdom Ford Motor Company Full time

    We are seeking an experienced Compliance Professional to join our Non-Financial Risk team at Ford Credit, the financial services arm of the business. The successful candidate will support the Head of Compliance in delivering assurance over the Bank's regulatory risks including Conduct, Consumer Duty, SYSC, DISP and CONC. The role will involve developing...

  • Administrator - Compliance & Policies Officer (I/c

    4 weeks ago

    Chelmsford, United Kingdom Great Baddow High School Full time

    ADMINISTRATOR - COMPLIANCE & POLICIES OFFICER (I/C GOVERNANCE PROFESSIONAL) - Scale 7 Point 19 - 24, Actual starting salary £18,392 (pay award pending)_ - Hours are 27 ½ per week, Monday to Friday 8.30am to 2.30pm plus attendance at approximately 16 after school Governor meetings across the academic year. This role is term time only plus inset days. _ Due...

  • Maintenance Officer

    3 weeks ago

    Chelmsford, Essex, United Kingdom Build Recruitment Full time

    Job Title: Maintenance Surveyor (Field-Based) Client: Housing Association Salary: GBP37,000 p/a Contract Type: 6-Month Fixed-Term Contract (FTC) with Potential for Permanent Placement Location: Remote / Field-Based (London/Colchester/Dorset/Cornwall) Company Overview: A reputable Housing Association are looking for a Maintenance Officer, to play a...

  • Compliance Monitoring Manager

    3 weeks ago

    Essex, United Kingdom VHR Global Technical Recruitment Full time

    Job Title: Compliance Monitoring ManagerResponsibilities:Establishing and managing a Compliance Monitoring Programme covering all areas of contracted maintenance support.Ensuring effectiveness of the Compliance Monitoring System and addressing any follow-up actions required to rectify findings.Monitoring all sub-contracted activities and compliance with...

  • Compliance Monitoring Manager

    2 weeks ago

    Essex, United Kingdom VHR Global Technical Recruitment Full time

    Job Title: Compliance Monitoring Manager Responsibilities: Establishing and managing a Compliance Monitoring Programme covering all areas of contracted maintenance support. Ensuring effectiveness of the Compliance Monitoring System and addressing any follow-up actions required to rectify findings. Monitoring all sub-contracted activities and compliance...

  • Compliance Monitoring Manager

    3 weeks ago

    Essex, United Kingdom VHR Global Technical Recruitment Full time

    Job Title: Compliance Monitoring Manager Responsibilities: Establishing and managing a Compliance Monitoring Programme covering all areas of contracted maintenance support. Ensuring effectiveness of the Compliance Monitoring System and addressing any follow-up actions required to rectify findings. Monitoring all sub-contracted activities and compliance...