Compliance Monitoring Officer
4 weeks ago
Compliance Monitoring Officer role available with a consultancy business that has a range of clients across the financial services market predominantly within wealth management dealing with IFA clients.
You will be conducting file reviews and providing feedback about any compliance issues identified as well as undertaking risk assessments of high level systems and controls. Project work will include reviewing SMCR arrangements, T&C schemes, investment propositions, and relations with third parties.
Key responsibilities:
- Deliver client file reviews in line with SLAs.
- Respond to client queries and provide timeline updates.
- Record information in line with correct processes.
- Report specific issues internally and to clients.
- Maintain CPD record in line with FCA regulations.
- Generate reports and commentary for review.
Skills and experience required:
- Minimum level 4 Diploma qualified.
- Be open to studying further towards level 6.
- Experience in a compliance and technical area of support service either directly inhouse or third party consultancy.
- Knowledge of regulatory frameworks to be able to carry out client file reviews.
- Experience of providing feedback to IFAs in relation to client file quality or T&C issues.
- Good level of report writing skills including competence with IT software packages.
- Some travel required so must be able to visit clients when needed.
On offer:
- Salary 40-50k depending on experience.
- Hybrid flexible working available.
- 27 days holidays plus bank holidays.
- Generous company pension contribution.
- Study support.
- Private health care.
- Life assurance.
- Income protection.
If you are currently working as a Compliance Monitoring Office conducting file reviews for IFAs, and would like more information, apply online for immediate consideration.
#J-18808-Ljbffr-
Senior Compliance Monitoring
2 weeks ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...
-
Senior Compliance Monitoring
2 weeks ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...
-
Senior Compliance Monitoring
16 hours ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeJob Description Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and...
-
Operations Compliance Officer
1 week ago
manchester, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionOur client is a top 100 UK law firm seeking to hire an Operations Compliance Officer in their Manchester office. In this role, you will play a key role in ensuring all third-party products and services comply with legal, ethical and regulatory requirements and monitor effectiveness in maintaining those standards.To apply for this role, you...
-
Operations Compliance Officer
4 days ago
manchester, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionOur client is a top 100 UK law firm seeking to hire an Operations Compliance Officer in their Manchester office. In this role, you will play a key role in ensuring all third-party products and services comply with legal, ethical and regulatory requirements and monitor effectiveness in maintaining those standards.To apply for this role, you...
-
Compliance Monitoring Officer
4 weeks ago
Manchester, United Kingdom First Central Services Full timeHaywards Heath or Manchester Salary: £32,000 to £40,000 depending on experience Department: We’re First Central Insurance & Technology Group (First Central for short), an innovative, market-leading insurance company. Data drives us. It fuels our outstanding distribution, finance, technology and legal services. Our underwriting skills are built on data...
-
Head of Compliance
3 days ago
Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Your responsibilities in this role would include: Spearheading...
-
Head of Compliance
7 days ago
Manchester, United Kingdom AJ Fox Compliance Full timeOur client is seeking a Head of Risk & Compliance to join their business.Is this the next step in your career Find out if you are the right candidate by reading through the complete overview below.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the...
-
Head of Compliance
7 days ago
Manchester, United Kingdom AJ Fox Compliance Full timeJob DescriptionOur client is seeking a Head of Risk & Compliance to join their business.Apply fast, check the full description by scrolling below to find out the full requirements for this role.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the...
-
Head of Compliance
1 week ago
Manchester, United Kingdom AJ Fox Compliance Full timeOur client is seeking a Head of Risk & Compliance to join their business.Is this the next step in your career Find out if you are the right candidate by reading through the complete overview below.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the...
-
Head of Compliance
7 days ago
Manchester, United Kingdom AJ Fox Compliance Full timeJob DescriptionOur client is seeking a Head of Risk & Compliance to join their business.Apply fast, check the full description by scrolling below to find out the full requirements for this role.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the...
-
Head of Compliance
2 weeks ago
Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards.Your responsibilities in this role would include:Spearheading...
-
Compliance Monitoring Risk Manager
4 weeks ago
Manchester, United Kingdom Careers In Group Full time**Compliance Monitoring Risk Manager** **The Audit and Risk Recruitment Company* (ARRC) **has been mandated by our client, a global insurance giant, to assist in their search for a Compliance Monitoring Risk Manager, responsible for compliance monitoring reviews including operationalrisk. You will be responsible for assisting in the delivery of robust...
-
Head of Compliance
1 week ago
greater manchester, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionOur client is seeking a Head of Risk & Compliance to join their business.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards.Your responsibilities in this role would...
-
Head of Compliance
2 weeks ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Your responsibilities in this role would include: ...
-
Head of Compliance
7 days ago
Greater Manchester, United Kingdom AJ Fox Compliance Full timeJob Description Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Your responsibilities in this role would...
-
Head of Compliance
2 weeks ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards.Your responsibilities in this role would include:Spearheading...
-
Head of Compliance
2 weeks ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business.In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards.Your responsibilities in this role would include:Spearheading...
-
Head of Compliance
2 weeks ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeOur client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Your responsibilities in this role would include: ...
-
Head of Compliance
16 hours ago
Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full timeJob Description Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Your responsibilities in this role would...