Compliance Supervisor
3 weeks ago
Reed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.
Key Responsibilities:- Apply a risk-based and common-sense approach to the compliance monitoring programme.
- Conduct focused audit visits of individuals and firms where there is evidence of risk to the company arising from their activities.
- Review client files to confirm suitability, good consumer outcomes, and adherence to regulatory and company requirements.
- Undertake due diligence on product providers and mortgage lenders following requests to be added to the Security List.
- Ensure that financial promotions are approved in accordance with FCA rules and aid firms in understanding and applying regulatory guidelines on advertising and social media.
- Handle consumer complaints in a fair and unbiased manner, in accordance with regulatory requirements and in-house procedures.
- Undertake project work as required by the Compliance Manager.
- Chartered Insurance Institute (CII) Certificate in Financial Planning or equivalent.
- Chartered Insurance Institute (CII) Diploma in Regulated Financial Planning or working towards.
- Project workstream experience would be beneficial.
- Willingness to undertake training and progress personal development.
To apply for this role, please submit your CV and cover letter detailing your relevant experience and why you are interested in this position.
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Compliance Supervisor
3 weeks ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance Supervisor Job DescriptionReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a...
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Compliance Supervisor
3 weeks ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance Supervisor Job DescriptionReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a...
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Compliance Supervisor
3 weeks ago
Horsham, West Sussex, United Kingdom Reed Full time{"title": "Compliance Supervisor", "description": "Job SummaryReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key...
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Compliance Supervisor
3 weeks ago
Horsham, West Sussex, United Kingdom Reed Full time{"title": "Compliance Supervisor", "description": "Job SummaryReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key...
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Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Astral Recruitment Full timeCompliance Supervisor RoleWe are seeking a highly skilled Compliance Supervisor to join our team at Astral Recruitment. The successful candidate will provide support to all teams within the Compliance Department, including the Field Based Compliance Team.Key Responsibilities:Provide administrative support to the Compliance DepartmentAssist with the...
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Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Astral Recruitment Full timeCompliance Supervisor RoleWe are seeking a highly skilled Compliance Supervisor to join our team at Astral Recruitment. The successful candidate will provide support to all teams within the Compliance Department, including the Field Based Compliance Team.Key Responsibilities:Provide administrative support to the Compliance DepartmentAssist with the...
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Compliance Officer
4 weeks ago
Horsham, West Sussex, United Kingdom Astral Recruitment Full timeCompliance Supervisor RoleAstral Recruitment is seeking a skilled Compliance Supervisor to join their team in Horsham. As a key member of the Compliance Department, you will provide support to all teams, including the Field Based Compliance Team.With a strong background in compliance within Financial Services, ideally from an IFA background, you will possess...
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Compliance Officer
4 weeks ago
Horsham, West Sussex, United Kingdom Astral Recruitment Full timeCompliance Supervisor RoleAstral Recruitment is seeking a skilled Compliance Supervisor to join their team in Horsham. As a key member of the Compliance Department, you will provide support to all teams, including the Field Based Compliance Team.With a strong background in compliance within Financial Services, ideally from an IFA background, you will possess...
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Aircraft Compliance Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance SupervisorReed Financial Services is seeking a seasoned Compliance Supervisor to join our Financial Services Compliance Department at our head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Develop and implement a...
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Aircraft Compliance Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance SupervisorReed Financial Services is seeking a seasoned Compliance Supervisor to join our Financial Services Compliance Department at our head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Develop and implement a...
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Aircraft Compliance Manager
1 week ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance SupervisorReed Financial Services is seeking a dedicated Compliance Supervisor to join their Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a risk-based and...
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Aircraft Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance SupervisorReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a risk-based and...
-
Aircraft Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Reed Full timeCompliance SupervisorReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a risk-based and...
-
Aircraft Compliance Officer
1 week ago
Horsham, West Sussex, United Kingdom Reed Full timeReed Financial Services is seeking a Compliance Supervisor to lead their Financial Services Compliance Department in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a risk-based approach to the compliance monitoring programme.Conduct...
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Compliance Officer
1 week ago
Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full timeCompliance Officer - HorshamWe are seeking an experienced Compliance Officer to join our client's team in Horsham. The successful candidate will be responsible for ensuring the company adheres to FCA guidance and internal policies.Key Responsibilities:Manage the company's T&C scheme, including adviser supervision, certification, development, and file...
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Compliance Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Artemis Recruitment Consultants Ltd. The successful candidate will be responsible for ensuring the company adheres to FCA guidance and internal policies.Key Responsibilities:Manage the company's T&C scheme, including adviser supervision, certification,...
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Compliance Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Artemis Recruitment Consultants Ltd. The successful candidate will be responsible for ensuring the company adheres to FCA guidance and internal policies.Key Responsibilities:Manage the company's T&C scheme, including adviser supervision, certification,...
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Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full timeCompliance Officer - HorshamWe are seeking an experienced Compliance Officer to join our client's team in Horsham. The successful candidate will work closely with the owners and existing compliance staff to ensure the company adheres to FCA guidance and internal policies.Key Responsibilities:Manage the company's T&C scheme, including adviser supervision,...
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Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full timeCompliance Officer - HorshamWe are seeking an experienced Compliance Officer to join our client's team in Horsham. The successful candidate will work closely with the owners and existing compliance staff to ensure the company adheres to FCA guidance and internal policies.Key Responsibilities:Manage the company's T&C scheme, including adviser supervision,...
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Compliance Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Artemis Recruitment Consultants Ltd. The successful candidate will be responsible for ensuring the company adheres to FCA guidance and internal policies.Key Responsibilities:Manage the company's T&C scheme, including adviser supervision, certification,...
