Compliance Officer
3 weeks ago
️ Compliance Officer Hybrid Based Competitive Salary depending on experience Our client is a leading wealth management firm dedicated to helping individuals, families, and businesses achieve their long-term financial goals. They pride themselves on their integrity, client-focused approach, and commitment to the highest professional and regulatory standards. As they continue to grow, they are seeking a talented Compliance Officer to join their team and support the ongoing development of their robust compliance framework. Role & Responsibilities: Monitor and assess compliance with FCA rules, internal policies, and industry standards. Maintain and develop the firm's compliance policies, procedures, and risk management framework. Investigate complaints and issue Final Response Letters to clients. Conduct regular compliance reviews and audits, reporting findings and recommending improvements. Provide guidance and training to staff on regulatory requirements and best practices. Provide support to the T&C Manager as/when required. Support the Compliance Manager with thematic reviews and regulatory change initiatives. Do you have the following to apply? Proven experience in a Compliance role within a wealth management/IFA firm Hold the Level 4 Diploma in Financial Planning (or equivalent). Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
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Compliance Officer
1 day ago
Leeds, United Kingdom PTLW Ltd Full time**Job description** WorkOOla Recruitment are pleased to be recruiting for a Compliance Officer ! Monday - Friday If you are keen to start a career in Compliance or are an experienced Compliance Officer our branch in Leeds LS11 is hiring. This role will be supporting the team with the below tasks. **The role -** - Filling shifts and updating database -...
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Compliance Officer
2 days ago
Leeds, Leeds, United Kingdom Broadgate Full timeCompliance Officer Overview An exciting opportunity has arisen to join a well-established Financial Services company in a Compliance Officer positionSome Key Responsibilities:Provide risk based 2LoD compliance monitoring in accordance with the Compliance PlanUse knowledge and experience of the regulatory landscape and consumer duty expectations and...
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Compliance Officer
1 day ago
Leeds, United Kingdom Product Partnerships Ltd Full timeAbout the Company. - Established in 2013, Product Partnerships Ltd (PPL) is an outsourced consumer credit compliance company supporting a variety of well-known high street retail firms within the motor, furniture, leisure & fitness, and technology sectors. - Our clients are B2C transacting through retail bricks and mortar, online, and omni-channels, offering...
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Compliance Officer
1 week ago
Leeds, United Kingdom Hisense UK Full timeGet AI-powered advice on this job and more exclusive features. Direct message the job poster from Hisense UK The Compliance Officer will support the Vice President and wider management team in maintaining and strengthening Hisense UK’s corporate governance and regulatory compliance framework. This role will act as a coordination hub between Hisense UK,...
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Compliance Officer
1 week ago
Leeds, United Kingdom Innovation Fire Engineering Ltd Full time**We’re Hiring: Compliance Officer** Innovation Fire Engineering is a growing, specialist fire engineering consultancy, and we’re looking for a **Compliance Officer** to help us maintain the highest standards across our business. **In this role, you’ll**: ✔Lead on our Business Management System (BMS) and ISO 9001 audits ✔ Keep our Quality, Health...
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Compliance Officer
1 day ago
Leeds, United Kingdom Product Partnerships Ltd Full timeAbout the Company. - Established in 2013, Product Partnerships Ltd (PPL) is an outsourced consumer credit compliance company supporting a variety of well-known high street retail firms within the motor, green energy, furniture, leisure & fitness, and technology sectors. - Our clients are B2C transacting through retail bricks and mortar, online, and...
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Compliance Officer
7 days ago
Leeds, United Kingdom Product Partnerships Ltd Full timeAbout the Company. - Established in 2013, Product Partnerships Ltd (PPL) is an outsourced consumer credit compliance company supporting a variety of well-known high street retail firms within the motor, furniture, leisure & fitness, and technology sectors. - Our clients are B2C transacting through retail bricks and mortar, online, and omni-channels, offering...
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Compliance Officer
5 days ago
Leeds, United Kingdom Now Education (Leeds) Full timeNow Education are looking to appoint a Compliance Officer for our Leeds Branch. This is a hybrid-working role where two days will be worked from home and three in our central Leeds office. - Be diligent in checking details. - Have excellent written and verbal communication skills. - Have good IT skills, including using a database and all aspects of...
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Compliance Officer
2 weeks ago
Leeds, United Kingdom Sky Betting & Gaming Full timeRegulation continues to strengthen at speed within the Gambling Industry with the Gambling Act review underway alongside multiple active regulatory consultations. This is a great opportunity and time for a Compliance Officer to join our Compliance team to help protect both the business and our customers, ensuring that the licensing objectives and our...
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Compliance Officer
7 days ago
Leeds, Leeds, United Kingdom Flutter International Full time £30,000 - £60,000 per yearCompliance Officer - French SpeakerCompliance Analyst (Entry level)Job title: Compliance officer (French speaking) Location: Malta or LeedsOverview of the role:In our Compliance Officer role, you will be responsible for the co-ordination, development and embedding of the compliance framework within our French license. The role can be based in Malta or...
