Current jobs related to Regulatory Compliance and Monitoring Specialist - Leeds, Leeds - Equiniti
-
Compliance Monitoring Specialist
3 weeks ago
Leeds, Leeds, United Kingdom Clayton Davies Full timeCompliance Monitoring SpecialistClayton Davies, a leading Investment Management firm, is seeking a highly skilled Compliance Monitoring Specialist to ensure the company's adherence to regulatory requirements and internal policies.Key Responsibilities:Conduct Regular Compliance Audits: Review and assess company policies, procedures, and operations to ensure...
-
Compliance Monitoring Specialist
3 weeks ago
Leeds, Leeds, United Kingdom Clayton Davies Full timeCompliance Monitoring SpecialistClayton Davies, a leading Investment Management firm, is seeking a highly skilled Compliance Monitoring Specialist to ensure the company's adherence to regulatory requirements and internal policies.Key Responsibilities:Conduct Regular Compliance Audits: Review and assess company policies, procedures, and operations to ensure...
-
Compliance Monitoring Specialist
1 month ago
Leeds, Leeds, United Kingdom Clayton Davies Full timeJob Title: Compliance Monitoring SpecialistWe are seeking a highly skilled Compliance Monitoring Specialist to join our team at Clayton Davies. As a Compliance Monitoring Specialist, you will play a critical role in ensuring that our company adheres to regulatory requirements and internal policies.Key Responsibilities:Conduct regular reviews and assessments...
-
Compliance Monitoring Specialist
1 month ago
Leeds, Leeds, United Kingdom Clayton Davies Full timeJob Title: Compliance Monitoring SpecialistWe are seeking a highly skilled Compliance Monitoring Specialist to join our team at Clayton Davies. As a Compliance Monitoring Specialist, you will play a critical role in ensuring that our company adheres to regulatory requirements and internal policies.Key Responsibilities:Conduct regular reviews and assessments...
-
Regulatory Compliance Specialist
2 weeks ago
Leeds, Leeds, United Kingdom Bupa Full timeJob Title: Regulatory Compliance SpecialistAbout the Role:As a Regulatory Compliance Specialist at Bupa, you will play a crucial role in ensuring the company's care services meet the highest regulatory standards. Your responsibilities will include providing regulatory advice to the business, facilitating continuous improvement in quality standards,...
-
Compliance Monitoring Manager
1 month ago
Leeds, Leeds, United Kingdom Willow Resourcing Limited Full timeCompliance Monitoring ManagerWe are seeking a highly skilled Compliance Monitoring Manager to join our team at Willow Resourcing Limited. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...
-
Compliance Monitoring Manager
1 month ago
Leeds, Leeds, United Kingdom Willow Resourcing Limited Full timeCompliance Monitoring ManagerWe are seeking a highly skilled Compliance Monitoring Manager to join our team at Willow Resourcing Limited. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...
-
Compliance Specialist
4 weeks ago
Leeds, Leeds, United Kingdom Clayton Davies Full time £50,000Compliance Monitoring SpecialistOur client, a leading Investment Management firm, is seeking a highly skilled Compliance Monitoring Specialist to join their team at Clayton Davies.The Compliance Monitoring Specialist will play a critical role in ensuring the company's adherence to regulatory requirements and internal policies. This involves conducting...
-
Compliance Specialist
4 weeks ago
Leeds, Leeds, United Kingdom Clayton Davies Full time £50,000Compliance Monitoring SpecialistOur client, a leading Investment Management firm, is seeking a highly skilled Compliance Monitoring Specialist to join their team at Clayton Davies.The Compliance Monitoring Specialist will play a critical role in ensuring the company's adherence to regulatory requirements and internal policies. This involves conducting...
-
Compliance Monitoring Manager
3 weeks ago
Leeds, Leeds, United Kingdom ZipRecruiter Full timeJob Title: Compliance Monitoring Manager Hybrid WorkingAt ZipRecruiter, we are seeking a highly skilled Compliance Monitoring Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Define and...
-
Compliance Monitoring Manager
3 weeks ago
Leeds, Leeds, United Kingdom ZipRecruiter Full timeJob Title: Compliance Monitoring Manager Hybrid WorkingAt ZipRecruiter, we are seeking a highly skilled Compliance Monitoring Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Define and...
-
Compliance Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Reward Recruitment Full timeCompliance Monitoring OfficerMy client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.About the RoleThe main purpose of this role is to provide pre and post-file reviews to ensure the business's...
-
Compliance Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Reward Recruitment Full timeCompliance Monitoring OfficerMy client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.About the RoleThe main purpose of this role is to provide pre and post-file reviews to ensure the business's...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring that our clients adhere to all...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring that our clients adhere to all...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
1 month ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance team, you will play a crucial role in ensuring that our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
1 month ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance team, you will play a crucial role in ensuring that our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
2 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientThis firm specializes in providing a wide range of financial products and services to their clients, ensuring their financial well-being and security. The company is committed to maintaining the highest standards of regulatory compliance and ethical conduct in all operations.Job DescriptionAs a Compliance Monitoring Officer, you will play a...
Regulatory Compliance and Monitoring Specialist
2 months ago
Job Title: Regulatory Compliance and Monitoring Officer
Job Summary:
Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. As a regulated business, we have a strong commitment to ensuring that our processes and procedures are effective in maintaining regulatory compliance. We are seeking a highly skilled Regulatory Compliance and Monitoring Officer to join our team.
Key Responsibilities:
- Conduct regular call monitoring and correspondence monitoring for all agents across the contact centre, including administration, redemptions, and collections.
- Analyse risk and identify appropriate remedial action to support fair customer outcomes.
- Conduct effective root cause analysis to support necessary improvements that feed into various business areas policies and process changes.
- Ensure that the Quality Assurance scorecard aligns to the Homes England requirements and delivers effective outcomes for customers.
- Provide MI to the Compliance Manager on relevant assurance outcomes.
- Provide feedback to Team Leaders on the outcomes of the monitoring with clear guidance on the areas of improvement and coaching.
- Identify areas of improvement or training with potential solutions.
Requirements:
- A minimum of 2 years' experience, working within compliance or risk department.
- Subject matter expert in at least one of the following areas: regulated mortgage sales, risk management, FCA Regs (MCOBS, BCOBS, ICOBs), ICO (GDPR, Breach reporting and handling), Ofcom.
- Experience in communicating effectively and directly to senior and/or exec level people on Compliance matters.
- Must be confident, flexible, independent, and self-motivated.
- Adept at building strong relationships, with the ability to integrate into an existing team.
What We Offer:
- Save for your Future: Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%.
- All Employee Long Term Incentive Plan (LTIP): Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.
- Health and Wellbeing: Employee Assistance Programme: counselling, legal & wellbeing support for all colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhanced cover.
- Employee discounts: Discounts and cashback at your favourite high street stores through our EQ Wins Platform.
- Flexible Benefits: The ability to purchase a wide variety of benefits through our flex plan; wine club, Apple gadgets, travel insurance, will writing, holiday trading and more.
- Time Off: Typically 28 days holiday + bank holidays.
