Compliance Specialist

2 days ago

Liverpool, Liverpool, United Kingdom Vision-FS Recruitment Full time
Compliance Consultant Job Description

Vision-FS Recruitment is seeking a highly skilled Compliance Consultant to join its rapidly-expanding Compliance team. As a key member of the team, you will be responsible for providing effective and professional governance, advisory & oversight services to ensure compliance with UK regulations, particularly in line with the FCA Conduct of Business Sourcebook, HMRC, and ICO legislation.

Key Responsibilities:
  • Conduct file reviews and maintain a log of checks undertaken to ensure compliance with regulatory requirements.
  • Verify the completeness and consistency of all documentation to ensure accuracy and adherence to regulatory standards.
  • Review and assess Adviser recommendations to clients for suitability, in respect of the firm's discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
  • Communicate any findings with both the Adviser and appropriate senior management, monitoring and assessing the remedial action to ensure satisfactory completion.
  • Deliver the Compliance Monitoring Plan to ensure ongoing compliance with regulatory requirements.
  • Identify and investigate issues and/or trends that may adversely affect the business's ability to comply with applicable legislation and/or regulations.
  • Produce compliance review reports for Senior Management to ensure transparency and accountability.
  • Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate.
  • Review and sign off literature and educational presentations against the firm's services & the FCA Financial Promotion rules.
  • Undertake, monitor, and record anti-money laundering checks to ensure compliance with regulatory requirements.
Requirements:
  • Diploma in Regulated Financial Planning and/or a Diploma in Investment Compliance (desirable but not essential).
  • Detailed knowledge of the UK regulatory environment.
  • Experience in a focused Compliance role.
What We Offer:
  • A competitive salary up to £35,000.
  • Annual bonus.
  • 25 days' Annual Leave.
  • Pension (6% employer/3% employee).
  • PMI.
  • Study Support.
  • Income Protection.

  • Compliance Risk Specialist

    7 days ago

    Liverpool, Liverpool, United Kingdom AJ Fox Compliance Full time

    Compliance Risk Specialist OpportunityWe are seeking a highly motivated Compliance Risk Specialist to join our team at AJ Fox Compliance. As a key member of our risk management team, you will play a crucial role in ensuring the firm's compliance with anti-money laundering (AML) regulations and client due diligence (CDD) processes.Your responsibilities will...

  • Compliance Risk Specialist

    7 days ago

    Liverpool, Liverpool, United Kingdom AJ Fox Compliance Full time

    Compliance Risk Specialist OpportunityWe are seeking a highly motivated Compliance Risk Specialist to join our team at AJ Fox Compliance. As a key member of our risk management team, you will play a crucial role in ensuring the firm's compliance with anti-money laundering (AML) regulations and client due diligence (CDD) processes.Your responsibilities will...

  • Compliance Review Specialist

    2 weeks ago

    Liverpool, Liverpool, United Kingdom Compliance Wise Full time

    Job SummaryThe Compliance Monitoring File Reviewer is a key member of the Compliance Monitoring Team at Compliance Wise, responsible for assisting with the completion of a specific client and proposition review project. This role requires a high level of analytical skill, attention to detail, and excellent communication skills.Key ResponsibilitiesCollaborate...

  • Compliance Review Specialist

    2 weeks ago

    Liverpool, Liverpool, United Kingdom Compliance Wise Full time

    Job SummaryThe Compliance Monitoring File Reviewer is a key member of the Compliance Monitoring Team at Compliance Wise, responsible for assisting with the completion of a specific client and proposition review project. This role requires a high level of analytical skill, attention to detail, and excellent communication skills.Key ResponsibilitiesCollaborate...

  • Compliance Risk Specialist

    1 week ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Job Opportunity at AJ FOX COMPLIANCEWe are seeking a highly motivated and detail-oriented Junior Compliance Analyst to join our team in Liverpool. As a key member of our compliance team, you will play a vital role in ensuring the firm's Client and Matter Inception processes are compliant with AML Regulations.Key Responsibilities:Conduct thorough CDD checks...

  • Compliance Risk Specialist

    1 week ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Job Opportunity at AJ FOX COMPLIANCEWe are seeking a highly motivated and detail-oriented Junior Compliance Analyst to join our team in Liverpool. As a key member of our compliance team, you will play a vital role in ensuring the firm's Client and Matter Inception processes are compliant with AML Regulations.Key Responsibilities:Conduct thorough CDD checks...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool. As a key member of our compliance team, you will play a vital role in ensuring the firm's Client and Matter Inception processes comply with AML Regulations.Key Responsibilities:Conduct CDD checks...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool. As a key member of our compliance team, you will play a vital role in ensuring the firm's Client and Matter Inception processes comply with AML Regulations.Key Responsibilities:Conduct CDD checks...

  • Compliance Risk Specialist

    7 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Job OpportunityWe are seeking a highly motivated and detail-oriented individual to join our team as a Junior Compliance Analyst at AJ FOX COMPLIANCE in Liverpool.This role is a fantastic opportunity for someone who is passionate about risk management and compliance to work with a global law firm.Key Responsibilities:Conducting client due diligence checks to...

  • Compliance Risk Specialist

    6 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Job OpportunityWe are seeking a highly motivated and detail-oriented individual to join our team as a Junior Compliance Analyst at AJ FOX COMPLIANCE in Liverpool.This role is a fantastic opportunity for someone who is passionate about risk management and compliance to work with a global law firm.Key Responsibilities:Conducting client due diligence checks to...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool. As a key member of our Compliance department, you will play a vital role in ensuring the firm's Client and Matter Inception processes comply with AML Regulations.Key Responsibilities:Conduct CDD...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool. As a key member of our compliance team, you will play a vital role in ensuring the firm's Client and Matter Inception processes comply with AML Regulations.Key Responsibilities:Conduct CDD checks...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool. As a key member of our Compliance department, you will play a vital role in ensuring the firm's Client and Matter Inception processes comply with AML Regulations.Key Responsibilities:Conduct CDD...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool. As a key member of our compliance team, you will play a vital role in ensuring the firm's Client and Matter Inception processes comply with AML Regulations.Key Responsibilities:Conduct CDD checks...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool.About the Role:The successful candidate will be responsible for ensuring compliance with AML regulations, conducting client due diligence, and advising colleagues on AML and conflicts.Key...

  • Compliance Risk Specialist

    5 days ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Junior Compliance Analyst OpportunityWe are seeking a motivated and detail-oriented Junior Compliance Analyst to join our team at AJ FOX COMPLIANCE in Liverpool.About the Role:The successful candidate will be responsible for ensuring compliance with AML regulations, conducting client due diligence, and advising colleagues on AML and conflicts.Key...

  • Compliance Officer

    1 week ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with Anti-Money Laundering (AML) regulations and sanctions.Key Responsibilities:Advisory Role: Provide guidance to secretaries, fee earners, and...

  • Compliance Officer

    1 week ago

    Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with Anti-Money Laundering (AML) regulations and sanctions.Key Responsibilities:Advisory Role: Provide guidance to secretaries, fee earners, and...

  • Compliance Specialist

    2 weeks ago

    Liverpool, Liverpool, United Kingdom Torque Consulting Full time

    Job Title: Compliance SpecialistJob Summary:We are seeking a highly skilled Compliance Specialist to join our team at Torque Consulting. As a Compliance Specialist, you will play a critical role in ensuring that our clients' engineering projects meet the highest standards of quality, safety, and regulatory compliance.Key Responsibilities:Plan, schedule, and...

  • Compliance Specialist

    2 weeks ago

    Liverpool, Liverpool, United Kingdom Torque Consulting Full time

    Job Title: Compliance SpecialistJob Summary:We are seeking a highly skilled Compliance Specialist to join our team at Torque Consulting. As a Compliance Specialist, you will play a critical role in ensuring that our clients' engineering projects meet the highest standards of quality, safety, and regulatory compliance.Key Responsibilities:Plan, schedule, and...