Senior Compliance Analyst
2 weeks ago
Compliance Analyst - Wealth Management Bristol Area (1-2 days a week in office)
£35k - £45k DoE
Minimum of 1-2 years experience within Compliance or as a Paralegal
Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements. Working closely with the Group Head of Compliance, they will be instrumental in ensuring strict adherence to regulatory mandates while championing excellence in customer outcomes and customer service.
The primary focus will centre on ensuring compliance with the Consumer Duty specifically within the advisory functions of the organisation. This entails providing robust support to our advisors, ensuring they uphold the highest standards of advice quality and professionalism through comprehensive training and competence programs. The analyst’s efforts will be essential in safeguarding both regulatory compliance and our clients' best interests, reinforcing our reputation as a trusted financial services provider.
Key Responsibilities:
Conduct regular reviews and assessments of financial advice processes and client interactions to ensure compliance with regulatory requirements (Consumer Duty specifically) and internal policies.
Provide guidance and support to staff members regarding compliance issues, particularly related to financial advice and customer interactions.
Collaborate with the Group Head of Compliance to identify areas for improvement in processes and procedures related to financial advice and customer outcomes.
Assist in the development and delivery of training programs to ensure staff members are knowledgeable and competent in providing quality financial services to clients.
Monitor industry trends and regulatory developments related to financial advice and customer outcomes, and implement necessary changes to ensure compliance.
annual certification oversight, including liaison with adviser manager and head of compliance regarding training needs, CPD auditing, Statement of Professional Standing renewal oversight, etc.
on projects as required by the group head of compliance.
issues to the group head of compliance.
Requirements:
~1-3 years compliance experience.
~ This includes compliance experience in a paraplanner role (or similar)
~ Collaboration, listening and empathy skills essential.
Preferred Qualifications:
~ Level 4 Diploma qualification preferable.
Competencies:
Excellent communication skills.
Ability to operate both independently and collaboratively.
Strong understanding of financial products and services.
Analytical thinking and problem-solving skills.
-
Compliance Analyst
2 weeks ago
Bristol, United Kingdom Robert Half Full timeCompliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements....
-
Compliance Analyst
1 week ago
Bristol, United Kingdom Robert Half Full timeJob DescriptionCompliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...
-
Compliance Analyst
2 weeks ago
Bristol, United Kingdom Robert Half Full timeCompliance Analyst - Wealth Management Bristol Area (1-2 days a week in office) £35k - £45k DoE Minimum of 1-2 years experience within Compliance or as a Paralegal Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...
-
Compliance Analyst
2 weeks ago
Bristol, United Kingdom Robert Half Full timeCompliance Analyst - Wealth Management Bristol Area (1-2 days a week in office) £35k - £45k DoE Minimum of 1-2 years experience within Compliance or as a Paralegal Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...
-
Compliance Analyst
2 weeks ago
Greater Bristol Area, United Kingdom Robert Half Full timeCompliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements....
-
Compliance Analyst
2 weeks ago
Greater Bristol Area, United Kingdom Robert Half Full timeCompliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements....
-
Compliance Analyst
2 weeks ago
Greater Bristol Area, United Kingdom Robert Half Full timeCompliance Analyst - Wealth Management Bristol Area (1-2 days a week in office) £35k - £45k DoE Minimum of 1-2 years experience within Compliance or as a Paralegal Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...
-
Compliance Analyst
2 weeks ago
Greater Bristol Area, United Kingdom Robert Half Full timeCompliance Analyst - Wealth ManagementBristol Area (1-2 days a week in office) £35k - £45k DoEMinimum of 1-2 years experience within Compliance or as a ParalegalRole Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements....
-
Senior Pricing Analyst
1 week ago
Bristol, United Kingdom Sellick Partnership Full timeSenior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst....
-
Senior Pricing Analyst
1 week ago
Bristol, United Kingdom Sellick Partnership Full timeSenior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst.This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst....
-
Finance Analyst
2 weeks ago
Bristol, United Kingdom Michael Page Full timeBased in Bristol on a hybrid basis, the Commercial Finance Analyst will be working with senior stakeholders to drive business performance. Our client is based in Bristol and due to business growth, are currently looking to hire a newly created Commercial Finance Analyst on a permanent basis. The Commercial Finance Analyst will be responsible for; ...
-
Senior Pricing Analyst
1 week ago
Bristol, United Kingdom Sellick Partnership Full timeSenior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing...
-
Pricing Analyst Analyst
5 days ago
Bristol, United Kingdom Sellick Partnership Full timeSenior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst . ...
-
Senior Risk Assessor
7 days ago
Bristol, United Kingdom Compliance Group Full time**About us**: The Group has acquired 4 businesses in the last 8 months, and turnover is expected to grow to >£135m in 5 years. The business is growing fast; Senior Risk Assessor (Water Consultant) role will currently be responsible for one division which is a part of the wider Group. There is an aggressive M&A strategy in place which is expected to grow the...
-
Senior Analyst
1 month ago
Bristol, United Kingdom Gregory-Martin International Full timeOperational Analyst / Senior Consultant - Defence sector Our client is a successful technical consultancy providing professional services and are a technology partner to global, defence, energy, space and intelligence & communications companies As an Analytical Consultant, you will be providing the evidence to help the MOD/Government to make better...
-
Finance Analyst
2 weeks ago
Bristol, United Kingdom Michael Page (UK) Full timeOur client is based in Bristol and due to business growth, are currently looking to hire a newly created Commercial Finance Analyst on a permanent basis. The Commercial Finance Analyst will be responsible for; Setting pricing and promotional frameworks in partnership with the Commercial team, monitoring subsequent performance and providing insight...
-
Senior PMO Analyst
4 weeks ago
Bristol, United Kingdom ea Change Full timeRole: Senior PMO AnalystRate: £500-550/day (Inside IR35 via umbrella)Duration: 6 months (long-term extensions beyond initial contract)Location: Remote/BristolSenior PMO Analyst required to join a Financial Services Client for a long-term programme of work based in Bristol (with remote working available).The ideal and successful candidate will be required to...
-
Senior PMO Analyst
1 week ago
Bristol, United Kingdom ea Change Full timeJob DescriptionRole: Senior PMO AnalystRate: £500-550/day (Inside IR35 via umbrella)Duration: 6 months (long-term extensions beyond initial contract)Location: Remote/BristolSenior PMO Analyst required to join a Financial Services Client for a long-term programme of work based in Bristol (with remote working available).The ideal and successful candidate will...
-
Senior FP&A Analyst
4 days ago
Bristol, United Kingdom Coyne & Associates Full timeInternational consumer business located in Bristol has a newly created role for a Senior FP&A Analyst to play a key role in the wider finance functional transformation, identifying opportunities to leverage new systems to improve insight driven reporting. The Senior FP&A Analyst will provide best practice commercial finance support through robust reporting,...
-
Senior Finance Analyst
3 weeks ago
Bristol, United Kingdom Osborne Clarke Full timeDescription We have an exciting opportunity for a Senior Finance Analyst to join our dynamic Finance Team. As Osborne Clarke embark on an exciting period of change with the imminent move to a new practice management system (PMS), we are looking for an experienced Senior Finance Analyst to help design and develop insightful Management Information reports,...