Regulatory Compliance Officer
7 days ago
About Elevation Wealth Management Ltd
Elevation Wealth Management Ltd is a leading financial services company that provides integrated and specialist financial advice to corporate and private individuals.
We are seeking a highly skilled and experienced Training and Competence Manager to join our team and ensure adherence to regulatory requirements.
Key Responsibilities- Training and Competence Management
- Develop and implement a comprehensive Training and Competence scheme that meets regulatory requirements.
- Ensure all staff have the necessary skills, knowledge, and expertise to perform their roles effectively.
- Monitor and evaluate the effectiveness of the T&C scheme and make recommendations for improvement.
- Regulatory Compliance
- Ensure the company's regulatory requirements are met and maintained.
- Provide guidance and advice on regulatory matters to staff.
- Interpret regulatory requirements and implement practical, compliant solutions.
- Quality Assurance
- Develop and implement quality assurance processes to ensure high standards of service delivery.
- Monitor and evaluate the effectiveness of quality assurance processes and make recommendations for improvement.
- Communication and Collaboration
- Build and maintain effective relationships with staff, management, and external stakeholders.
- Communicate effectively with staff and management to ensure the T&C scheme is implemented and maintained.
- Qualifications
- DipFA qualification or equivalent.
- Experience
- Previous experience in a similar role within a wealth management practice.
- Skills
- Strong knowledge of regulatory requirements and compliance.
- Excellent communication and interpersonal skills.
- Ability to work independently and as part of a team.
We offer a competitive salary and benefits package, including company pension, free parking, and life insurance. The successful candidate will be required to work 35 hours per week, Monday to Friday, with no weekends.
-
Regulatory Compliance Specialist
4 weeks ago
Birmingham, Birmingham, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX COMPLIANCE is currently looking for a Regulatory Compliance Specialist to join our dynamic team. In this role, you will play a crucial part in the client onboarding process, performing essential tasks such as AML/KYC and conflict checks.This opportunity is ideal for individuals with prior experience in a similar capacity, particularly within a legal...
-
Regulatory Compliance Officer
4 weeks ago
Birmingham, Birmingham, United Kingdom Margetts Fund Management Ltd Full timePosition OverviewAbout the OrganizationMargetts Fund Management Ltd is a prominent player in the financial services sector, specializing in investment management and serving as an Authorised Corporate Director (ACD) for a diverse array of regulated retail funds exceeding £9 billion in assets. Our portfolio encompasses multi-manager strategies, direct equity...
-
Regulatory Compliance Officer
4 weeks ago
Birmingham, Birmingham, United Kingdom Red Snapper Recruitment | Public Safety Full timePosition OverviewRed Snapper Recruitment is a specialist in public safety and enterprise security recruitment. We support public safety organizations in identifying the right professionals for their needs. Our focus is on sourcing individuals with the necessary skills and experience in public safety and enterprise security.We are currently seeking a...
-
Regulatory Compliance Officer
4 weeks ago
Birmingham, Birmingham, United Kingdom Red Snapper Recruitment | Public Safety Full timePosition OverviewRed Snapper Recruitment is a specialist in public safety and enterprise security recruitment. We support public safety organizations in identifying the right professionals for their needs. Our focus is on sourcing individuals with the necessary skills and experience in public safety and enterprise security.We are currently seeking a...
-
Compliance Analyst
7 days ago
Birmingham, Birmingham, United Kingdom AJ FOX COMPLIANCE Full time**About AJ Fox Compliance**We are a leading provider of compliance solutions, working with forward-thinking businesses to ensure they meet the highest regulatory standards.**Job Summary**We are seeking a highly skilled Compliance Officer to join our team in Birmingham. As a key member of our compliance team, you will be responsible for ensuring our clients'...
-
Regulatory Compliance Specialist
3 days ago
Birmingham, Birmingham, United Kingdom Space 8 Recruitment Careers Full timeJob Title: Regulatory CoordinatorJob Type: ContractJob Description:The Role:Develop and manage label briefs for artwork creation, ensuring compliance with regulatory requirements.Collaborate with the design team to review and amend artwork content for UK and international SKUs, ensuring accuracy and consistency.Provide regulatory approval for artwork...
-
Regulatory Compliance Specialist
3 days ago
Birmingham, Birmingham, United Kingdom Space 8 Recruitment Careers Full timeJob Title: Regulatory CoordinatorJob Type: ContractJob Description:The Role:Develop and manage label briefs for artwork creation, ensuring compliance with regulatory requirements.Collaborate with the design team to review and amend artwork content for UK and international SKUs, ensuring accuracy and consistency.Provide regulatory approval for artwork...
-
Compliance Officer
6 days ago
Birmingham, Birmingham, United Kingdom Zen Fundraising Full timeJob Summary:Zen Fundraising is a family-run business committed to ethical principles. We are seeking a Compliance Officer to ensure our fundraising operations maintain the highest standards of compliance and ethics.Key Responsibilities:Ensure compliance with regulatory requirements and industry standards.Evaluate the quality of work carried out by...
-
Regulatory Compliance Officer
7 days ago
Birmingham, Birmingham, United Kingdom Solicitors Regulation Authority Full timeAbout the RoleWe are seeking a highly skilled and experienced Authorisation Caseworker to join our team at the Solicitors Regulation Authority. As an Authorisation Caseworker, you will play a critical role in ensuring that the regulatory objectives of the SRA are met, and that the associated processes meet the relevant service levels and key performance...
-
Regulatory Compliance Officer
5 days ago
Birmingham, Birmingham, United Kingdom Solicitors Regulation Authority Full timeAbout the RoleWe are seeking a highly skilled and experienced Authorisation Caseworker to join our team at the Solicitors Regulation Authority. As an Authorisation Caseworker, you will play a critical role in ensuring that the regulatory objectives of the SRA are met, and that the associated processes meet the relevant service levels and key performance...
-
Regulatory Compliance Manager
6 days ago
Birmingham, Birmingham, United Kingdom Shaw Healthcare Full timeJob SummaryWe are seeking a highly skilled Regulatory Compliance Manager to join our Clinical Governance Team at Shaw Healthcare. This is a hybrid position that requires strong analytical and auditing skills, as well as excellent communication and presentation abilities.Key ResponsibilitiesPlan, direct, and complete rigorous audits/inspections across Shaw...
-
Regulatory Compliance Specialist
4 weeks ago
Birmingham, Birmingham, United Kingdom Lantra Full timeRegulatory Compliance Co-ordinatorAbout the OrganizationLantra is a prominent certification body dedicated to the land-based sectors across the UK and the Republic of Ireland. We are committed to developing high-quality training programs and nationally recognized qualifications, which are delivered through a comprehensive network of training Provider...
-
Regulatory Compliance Specialist
4 weeks ago
Birmingham, Birmingham, United Kingdom Lantra Full timeRegulatory Compliance Co-ordinatorAbout the OrganizationLantra stands as a prominent awarding authority within the land-based sectors across the UK and the Republic of Ireland. Our mission is to create exceptional training programs and nationally acknowledged qualifications, which are facilitated through a comprehensive network of training Provider...
-
Aviation Regulatory Compliance Assistant
5 days ago
Birmingham, Birmingham, United Kingdom Birmingham Airport Full timeMain Purpose of the Job:Birmingham Airport is committed to delivering safety excellence through the development of its people, procedures, and technology.The primary focus of this role is to support Airfield teams in a compliance capacity, ensuring adherence to relevant aerodrome operational regulations.Key Responsibilities:Support the Airfield Compliance...
-
Aviation Regulatory Compliance Assistant
7 days ago
Birmingham, Birmingham, United Kingdom Birmingham Airport Full timeMain Purpose of the Job:Birmingham Airport is committed to delivering safety excellence through the development of its people, procedures, and technology.The primary focus of this role is to support Airfield teams in a compliance capacity, ensuring adherence to relevant aerodrome operational regulations.Key Responsibilities:Support the Airfield Compliance...
-
Risk and Compliance Specialist
7 days ago
Birmingham, Birmingham, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe are seeking a highly skilled and experienced Contract Lawyer to join our team at AJ Fox Compliance.The ideal candidate will have a strong background in risk management and compliance, with experience in reviewing and advising on contracts and agreements.Key Responsibilities:Liaise with stakeholders to identify and mitigate potential risks...
-
Risk and Compliance Specialist
7 days ago
Birmingham, Birmingham, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe are seeking a highly skilled and experienced Contract Lawyer to join our team at AJ Fox Compliance.The ideal candidate will have a strong background in risk management and compliance, with experience in reviewing and advising on contracts and agreements.Key Responsibilities:Liaise with stakeholders to identify and mitigate potential risks...
-
Regulatory Compliance Specialist
4 weeks ago
Birmingham, Birmingham, United Kingdom Lantra Full timeRegulatory Compliance Co-ordinatorAbout the OrganizationLantra is a prominent certification authority for land-based sectors across the UK and the Republic of Ireland. We are dedicated to creating high-quality educational programs and recognized certifications that are facilitated through a comprehensive network of training partners.Role OverviewThe...
-
Regulatory Compliance Specialist
4 weeks ago
Birmingham, Birmingham, United Kingdom Lantra Full timeRegulatory Compliance Co-ordinatorAbout the OrganizationLantra is a prominent certification body focused on land-based sectors within the UK and the Republic of Ireland. We are dedicated to developing high-quality training programs and nationally recognized qualifications, which are delivered through a comprehensive network of training Provider Partners.Role...
-
Regulatory Compliance Specialist
4 weeks ago
Birmingham, Birmingham, United Kingdom Lantra Full timeRegulatory Compliance Co-ordinatorAbout the OrganizationLantra is a prominent awarding authority dedicated to the land-based sectors across the UK and the Republic of Ireland. Our mission is to create high-quality training programs and nationally recognized certifications that are facilitated through a comprehensive network of training Provider Partners.Role...