Compliance Monitoring and Testing Specialist
1 month ago
Job Description My client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Supporting the Head of Compliance to ensure the firm meets its regulatory requirements as set out in the DPB Handbook.
Support the firm in its application for its FCA Authorisation, ensuring policies and procedures meet the new requirements.
Research, identify and analyse potential regulatory change (DPB and FCA) that may impact the organisation and work with internal stakeholders to to coordinate updates to the firms manual including response to Consumer Duty requirements.
Manage the process for approving authorised advisor's (new and existing) and transitioning to the FCA's Senior Managers and Certification regime.
Coordinate completion of the firms regulatory reporting (quarterly and annual)
Complete an annual compliance review in all regulated areas of the business and produce a report to be submitted to the board
Provide compliance training for colleagues and coordinate with HR to implement conduct rules training.
~ Applicants will possess significant experience of working within an FCA regulated environment ideally with a Pension or Financial Advisory firm in the UK. Strong knowledge of the FCA handbook is key along with a proven background in regulatory reporting, authorisation, regulatory developments, internal monitoring and general regulatory compliance. You must possess outstanding communication skills both verbal and written, be highly organised and with the ability to identify and implement regulatory processes and procedures and be capable of influencing behaviours across the business. This is an outstanding opportunity to join a newly established team in a Senior capacity offering autonomy and a great working environment. A generous remuneration package is on offer plus a generous benefits package and the opportunity to be an integral part of building a new team in an award winning business.
-
Compliance Monitoring and Testing Specialist
1 month ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Supporting the Head of Compliance to ensure the firm meets its regulatory requirements as set...
-
Compliance Monitoring and Testing Specialist
1 month ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Supporting the Head of Compliance to ensure the firm meets its regulatory requirements as set...
-
Compliance Monitoring and Testing Specialist
4 weeks ago
Leeds, United Kingdom Clarity Recruiting Full time €65,000Regulatory Compliance Specialist - up to £65,000 – Hybrid West Yorkshire We are partnered with a forward thinking, market leading consultancy in the pension space. Our client are seeking a detail oriented regulatory compliance specialist to join they team on a hybrid basis in West Yorkshire. with the Head of Compliance to ensure that the firm meets its...
-
Compliance Monitoring and Testing Specialist
4 weeks ago
Leeds, United Kingdom Clarity Recruiting Full time €65,000Regulatory Compliance Specialist - up to £65,000 – Hybrid West Yorkshire We are partnered with a forward thinking, market leading consultancy in the pension space. Our client are seeking a detail oriented regulatory compliance specialist to join they team on a hybrid basis in West Yorkshire. with the Head of Compliance to ensure that the firm meets its...
-
Compliance Monitoring and Testing Specialist
3 weeks ago
Leeds, United Kingdom Clarity Recruiting Full time €65,000Job Description Regulatory Compliance Specialist - up to £65,000 – Hybrid West Yorkshire We are partnered with a forward thinking, market leading consultancy in the pension space. Our client are seeking a detail oriented regulatory compliance specialist to join they team on a hybrid basis in West Yorkshire. with the Head of Compliance to ensure that...
-
Compliance Monitoring and Testing Specialist
2 weeks ago
Leeds, Leeds, United Kingdom Clarity Recruiting Full time £65,000Regulatory Compliance Specialist - up to £65,000 – Hybrid West Yorkshire We are partnered with a forward thinking, market leading consultancy in the pension space. Our client are seeking a detail oriented regulatory compliance specialist to join they team on a hybrid basis in West Yorkshire. with the Head of Compliance to ensure that the firm meets its...
-
Compliance Monitoring Officer
3 weeks ago
Leeds, United Kingdom LifeSearch Full timeThe Compliance Monitoring Officer is a brand new role for LifeSearch ensuring that we, and our Appointed Representatives, continue to meet all regulatory requirements. Responsible for undertaking compliance monitoring reviews and assisting with the delivery of recommendations. Working alongside the Data Protection Manager, Compliance Manager and Compliance...
-
Compliance Monitoring Officer
4 weeks ago
Leeds, United Kingdom Searchability Full timeCOMPLIANCE MONITORING OFFICER Are you an audit or business assurance professional ready for your next exciting challenge? Do you want to work for one of the UK's largest independent debt recovery law firms? We are on the hunt for someone to join our team! - £30k-£38k DOE + attractive benefits package - Benefits - 35hr working week, free city centre...
-
Compliance Testing Technician
2 weeks ago
Leeds, United Kingdom Arcus Solutions Full timeWe're currently looking for a Compliance Testing Technician, who will form part of the Arcus Compliance Team, that will effectively deliver compliance testing, maintenance and repair works of all Arcus Engineers and Technicians in and around the Leeds area.Salary: £32,641 per annum4% bonus, subject to achievement of targetsGroup personal pension scheme of...
-
Group Lead
2 weeks ago
Leeds, United Kingdom Yorkshire Building Society Full timeJob Description Group Lead - Compliance Monitoring At YBS, we are dedicated to delivering exceptional products and services to our customers and members whilst ensuring robust compliance with regulatory standards. We are seeking a dynamic and experienced individual for the Group Lead - Compliance Monitoring role to join our second line of...
-
Group Lead
2 weeks ago
Leeds, United Kingdom Yorkshire Building Society Full timeGroup Lead - Compliance MonitoringAt YBS, we are dedicated to delivering exceptional products and services to our customers and members whilst ensuring robust compliance with regulatory standards. We are seeking a dynamic and experienced individual for the Group Lead - Compliance Monitoring role to join our second line of defence Compliance team and drive...
-
Regulatory Compliance Specialist
1 month ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Supporting the Head of Compliance to ensure the firm meets its regulatory...
-
Risk and Assurance Compliance Specialist
3 weeks ago
Leeds, United Kingdom ASDA Full timeJob Advert **Compliance Risk and Assurance Specialist** An exciting opportunity to join the Legal & Compliance function (Winner of the 2022 Legal Team of the Year - The Lawyer Awards) and help to deliver an award-winning compliance service. The position is a specialist role within the Compliance Risk and Assurance Team, helping to provide two of the...
-
Regulatory Compliance Specialist
2 weeks ago
Leeds, Leeds, United Kingdom Front Row Recruitment Full timeJob DescriptionMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Supporting the Head of Compliance to ensure the firm meets...
-
Regulatory Compliance Specialist
4 weeks ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Interested in this role You can find all the relevant information in the...
-
Regulatory Compliance Specialist
3 weeks ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Interested in this role You can find all the relevant information in the...
-
Regulatory Compliance Specialist
1 month ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Supporting the Head of Compliance to ensure the firm meets its regulatory...
-
Regulatory Compliance Specialist
4 weeks ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include: Supporting the Head of Compliance to ensure the firm meets its...
-
Regulatory Compliance Specialist
4 weeks ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include: Supporting the Head of Compliance to ensure the firm meets its...
-
Regulatory Compliance Specialist
1 month ago
Leeds, United Kingdom Front Row Recruitment Full timeMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Supporting the Head of Compliance to ensure the firm meets its regulatory...