Compliance (Opportunity for a Cii Diploma Qualified

3 weeks ago


London, United Kingdom Financial Divisions Full time

**excellent benefits listed below**

My Client is a rapidly growing IFA firm based in London where long term client relationships based on trust are the result of regular ongoing referrals and recommendations. Due to their success and growth, they are looking to offer this excellent careerdeveloping opportunity to a Diploma Qualified Paraplanner looking to transfer their skills across into Compliance to provide guidance to Advisers, support staff and compliance administrator.
**Opportunity Highlights**
**Reporting to Head of Compliance
**This is an important role ensuring compliance with both relevant legislation and procedures, undertaking file reviews, acting as quality filter for all files submitted, working with the compliance team to ensure that the advice provided meets both businessand regulatory requirement.
**Level 4 CII Diploma in Regulated Financial Planning required
**Happy to study CeMAP
**Experience in compliance monitoring beneficial with experience either within an IFA/DFM or external compliance monitoring/advising ( 2 years min).
**High personal standards to deliver quality compliance
**Career progression and increased earning potential
**Benefits include gym membership contribution, training costs, inhouse study, 25 days holiday & 8 bank holidays, PMI, pension, hybrid working, season ticket loan,
**Sociable and professional working environment.



  • London, United Kingdom Reed Full time

    A wonderful and very successful Financial Services business is Looking to recruitan experienced, enthusiastic, and driven qualified Independent Financial Adviser to complement the existing team. The successful candidate will be hugely skilled in Pensions and Investments on the Advisor side & confident in their ability to create new opportunities and service...

  • Compliance Advisor

    4 weeks ago


    London, United Kingdom Compliance Full time

    **What the role involves**: **Do you have experience within dental compliance? Do you like to provide hands on supportive experience to your network?** At Dentex, we are doing things differently! We are the dental corporate with a twist, we are fortunate to be building an organisation that people are proud to be part of, we have a community of over 150...


  • London, United Kingdom Oval Recruit Full time

    Compliance Monitoring Officer - Financial Advisory Group London £40,000 - £50,000 A niche London Wealth Management Consultancy who are part of a larger Investment Management Group are looking to recruit a Compliance professional to join their growing team. Supporting the Head of Compliance this wide-ranging role will give scope for advancementat an...


  • London, United Kingdom Reed Full time

    A wonderful and very successful Financial Services business is Looking to recruitan experienced, enthusiastic, and driven qualified Independent ideally CHARTEREDFinancial Adviser to complement the existing team. The successful candidate will be confident in their ability to create new opportunities and service existing clients to assist with the firms’...

  • Junior Risk

    1 month ago


    London, United Kingdom AJ Fox Compliance Full time

    An international law firm is hiring an in-house Data Privacy Lawyer to work in their compliance team in London. This is an exciting opportunity to join a firm with a strong compliance culture and senior stakeholders who take a keen interest in compliance issues. To apply for this role, you will need to be a qualified lawyer with experience advising on UK...

  • Liability Adjuster

    1 month ago


    London, United Kingdom Exchange Street Full time

    **Job Type**: Perm Town/City: London County: Hertfordshire Salary/Rate: 40,000 - 50,000 Sector: Claims & Loss Adjusting Discipline: Casualty/Liability Job ref: 524064 Our client is looking for a Liability Adjuster (Cert / Dip CII) to handle a portfolio of EL/PL (Personal Injury & TPPD) claims on an 'investigate only' basis, working from home and...


  • London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Description Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity. We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based...


  • London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity. We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...


  • London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity. We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...


  • London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionAre you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in...


  • London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, working remotely. All you...


  • London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...

  • Compliance Officer

    7 days ago


    London, United Kingdom Compliance Professionals Full time

    Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata reports and...


  • London Area, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...


  • London Area, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity. We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...


  • London Area, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...

  • Compliance Officer

    4 weeks ago


    London, Greater London, United Kingdom BCT Resourcing Full time

    Compliance Officer (Fin Crime/ Sanctions)LondonCompany clientpartnered with a global commercial Insurer, in the search for a Financial Crime/ Sanctions officer. This role will report in the MLRO and Head of Compliance.Key Responsibilities: Advise business on escalated Sanctions risks. Perform Risk assessments. Keep updated on and changes with International...

  • Senior Risk

    1 day ago


    London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Description Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure...

  • Senior Risk

    1 month ago


    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...

  • Senior Risk

    1 month ago


    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...