Compliance Partner
2 weeks ago
As a Compliance Partner in the business, your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
**The role will involve**:
- With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.
- You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to company standards.
- Working with the firm and other business departments, you will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.
**Key Requirements**:
- High-level of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers.
- You will have experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
- If you would like this job advertisement in an alternative format, please contact MERJE directly._
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Compliance Partner
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Southampton, United Kingdom CareerBliss Full timeYour new companyA financial services organisation located in Hampshire is actively seeking a Firm Compliance Partner. This is an exciting opportunity to become a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure...
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Compliance Partner
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Southampton, United Kingdom Hays Full timeA financial services organisation located in Hampshire is actively seeking a Firm Compliance Partner. This is an exciting opportunity to become a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure that their firms...
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