Compliance Officer

3 weeks ago


Horsham, United Kingdom Front Row Recruitment Ltd Full time

Due to an internal relocation my client, a leading financial services organisation, currently seek an experienced Compliance Officer with a background in pensions and investments (ideally SIPP and ISA). Duties will include:

- Regulatory monitoring focussing on FCA regulations and client outcomes
- Working closely with the Compliance Manager to track and monitor the compliance programme
- Undertake analysis to identify areas of shortfall and risk and provide input in order to mitigate future issues
- Deliver a range of reports summarising finding and identifying weaknesses in processes and procedures
- Ensure that breaches / complaints are dealt with effectively and that all relevant information is fully documented and recorded
- Track and report regarding remedial actions
- Maintain CPD records
- Generate MI reports for senior management review

Applicants must possess pensions experience, particularly SIPP, along with proven experience in the compliance / monitoring field. Strong communication and decision making skills are a pre-requisite along with a good understanding of FCA rules and regulationspertaining to the pension and investment arena.

This is a great opportunity to join a leading UK financial services organisation in a key role within their compliance function. A generous remuneration and benefits package are on offer along with hybrid working and fantastic offices.


  • Compliance Officer

    5 days ago


    Horsham, United Kingdom Global 4 Communications Limited Full time

    **Compliance Officer** **Basic Salary:£40,000to £50,000 **Negotiable - depending on experience **Location**: Horsham, West Sussex. **Hours**:5 days a week **Holiday**:25 days, increasing to 30 with service **The role**: Global 4 Communications is seeking an experienced **Compliance Officer with in depth knowledge of ISO 9001 & 27001 to **maintain our...

  • Compliance Supervisor

    2 weeks ago


    Horsham, United Kingdom Reed Full time

    Reed Specialist Recruitment are proud to be representing one of the UK's leading financial advice networks, who are looking for a new Compliance Supervisor to join their Head Office, based in Horsham. The successful candidate will assist with creating a positive compliance culture across the network, helping firms deliver robust best practices and also...


  • Horsham, United Kingdom Reset Recruitment Ltd Full time

    **Compliance Supervisor** **Salary: £30k - £35k DOE + Great benefit package** **Location: Horsham (After qualifying period the role can become a hybrid role working remotely for 2 days per week and 3 days a week from the office)** **Hours: Mon-Fri 9am - 17.00pm** **Free parking** Do you want to work for a progressive organisation that offers further...


  • Horsham, United Kingdom ACS Business Performance Ltd Full time

    The successful Quality and Compliance Manager you will be working closely with the operations Manager and the wider business to support with ISO9001 as well as other quality matters.The role will involve:Supporting the day-to-day adherence to set standards.Assisting with internal audits, workshops and other quality related meetings.Maintaining the central...


  • Horsham, United Kingdom ACS Business Performance Ltd Full time

    The successful Quality and Compliance Manager you will be working closely with the operations Manager and the wider business to support with ISO9001 as well as other quality matters. The role will involve: Supporting the day-to-day adherence to set standards. Assisting with internal audits, workshops and other quality related meetings. Maintaining the...


  • Horsham, United Kingdom ACS Business Performance Ltd Full time

    The successful Quality and Compliance Manager you will be working closely with the operations Manager and the wider business to support with ISO9001 as well as other quality matters.The role will involve:Supporting the day-to-day adherence to set standards.Assisting with internal audits, workshops and other quality related meetings.Maintaining the central...


  • Horsham, United Kingdom Reset Recruitment Full time

    **Compliance Administrator** **Salary: £19k - £20k + Great company benefits** **Location: Horsham** **Hours: Full Time Mon - Fri 9am-17.30pm (after probation is completed this can be a hybrid role working 2 days from home)** Do you want to work for a well-established organisation that offers a professional and friendly working environment, great...


  • Horsham, United Kingdom Astral Recruitment Full time

    Our client is a successful established Financial Services business and they are currently looking for an in house Compliance Officer to join the team They will consider someone from a Financial Services background with a passion for compliance or an experienced Compliance Officer **Main Duties and Responsibilities**: To ensure adherence at all times to the...


  • Horsham, United Kingdom Astral Recruitment Full time

    Our client is a specialist financial services company based in Horsham and they are currently looking for an experienced Compliance Officer/Manager to join the team We have a full time permanent role in Horsham within this company working in their compliance department. supporting a team of Advisers This is a great opportunity to join a market leading...


  • Horsham, United Kingdom Astral Recruitment Full time

    Our client is a successful and established multi branch Financial Services company and they are currently looking for a Compliance Administrator to join the team The successful candidate will ideally be based in Shoreham but we could look at a base at the other offices Previous experience required in financial services, ideally a wealth management/financial...


  • Horsham, United Kingdom WSCC Full time

    **About The Job** Salary**: £22,369 to £22,777 per annum. **Location**: Your office base will be Horsham with home working options dependant on work requirements. You’ll need to be able to travel independently around the county. **Contract**: Fixed term for 23 months. **Working pattern**: Full-time, 37 hours per week. Flexible working options...


  • Horsham, United Kingdom AJ Walter Aviation Full time

    **_Would you love to join a forward-thinking, entrepreneurial, and dynamic aviation company?_** **_Come and join us as our Lead Inventory Compliance Executive!_** The AJW Group is a multi-faceted organisation and a world-leading specialist in the supply, exchange, repair, and lease of commercial aircraft spare parts. With a focus on quality that permeates...


  • Horsham, West Sussex, United Kingdom Thermo Fisher Scientific Full time

    Job DescriptionTitle: Customs Trade Compliance CoordinatorLocation: HorshamHours: Monday - Friday, 8:30am - 5:00pmThermo Fisher Scientific Inc. (NYSE: TMO) is the world leader in serving science, with annual revenue of approximately $40 billion. Our Mission is to enable our customers to make the world healthier, cleaner and safer. Whether our customers are...


  • Horsham, United Kingdom Thermo Fisher Scientific Full time

    Job DescriptionTitle: Customs Trade Compliance CoordinatorLocation: HorshamHours: Monday - Friday, 8:30am - 5:00pmThermo Fisher Scientific Inc. (NYSE: TMO) is the world leader in serving science, with annual revenue of approximately $40 billion. Our Mission is to enable our customers to make the world healthier, cleaner and safer. Whether our customers are...

  • Office Assistant

    7 hours ago


    Horsham, United Kingdom Cooper Weston Group Ltd Full time

    Cooper Weston is a leading mechanical and electrical contracting company, delivering services to clients across London and the South. We have established ourselves as a trusted partner over 13 years, with projects ranging from commercial to industrial sectors. **Responsibilities**: Assist directors and management in organisation and diary...


  • Horsham, United Kingdom Page Personnel Full time

    Accounts Payable Officer - £26,000 - Hybrid Working - Great Benefits **About Our Client**: Our client, a global firm based in Horsham are recruiting for an Accounts Payable Officer on a temporary basis for circa 6 months with the chance to go permanent. **Key Responsibilities - Accountancy.** Responsibilities of the role include various tasks covering...


  • Horsham, United Kingdom Tardis Group Full time

    **About Us** We are a global recruitment company, headquartered in Sydney, Australia with 7 international offices. The operations lead role we are looking to fill is based in our Horsham, West Sussex office. From this office, we recruit globally for some of the world’s leading finance and investment management companies **About You**: We are seeking a...


  • Horsham, West Sussex, United Kingdom First Recruitment Services Full time €15 - €16

    Position: Compliance Coordinator Hours:Monday to Friday 8.30am – 5pm Pay:£15.38 – £16.41 Location:Horsham Our client based in Horsham are looking to recruit a Customs Trade Compliance Coordinator. This is a temp to perm role for the right candidate. As a Customs Warehouse and Trade Compliance Specialist, you will work under the direction of the...


  • Horsham, United Kingdom AJ Walter Aviation Full time

    **_Would you love to join a forward-thinking, entrepreneurial, and dynamic aviation company?_** **_Come and join us as our Inventory Compliance Executive on a 6 month FTC._** The AJW Group is a multi-faceted organisation and a world-leading specialist in the supply, exchange, repair, and lease of commercial aircraft spare parts. With a focus on quality that...


  • Horsham, United Kingdom Veesupportservices Ltd Full time

    Pay - £44.00 - £45.00 Working Arrangements - to be discussed in interview Hours - 22.2 per week Job Description: West Sussex Trading Standards Service is looking for an experienced Trading Standards Officer to undertake a detailed scoping exercise to look at the trading practices of a business operating in the mobile park home trade sector. The scoping...