Compliance Specialist

4 weeks ago


Bournemouth, Bournemouth, United Kingdom Fram Executive Search Full time
Compliance Assistant Job Description

Our client, a respected financial planning firm, is seeking a Compliance Assistant to join their team. This is a remote opportunity with occasional office attendance, ideal for those living in the Southeast of England Southern Home Counties.

Key Responsibilities:
  • Assist in the review and assessment of advice provided by the firm's Financial Planners and Appointed Representatives.
  • Ensure accurate compliance records are maintained and report any identified compliance issues.
  • Support the Head of Compliance in ensuring the firm operates in accordance with relevant regulations and legislation.
  • Contribute to the review, update, and implementation of policies and process standards.
  • Assist with the gathering, recording, and reporting of relevant Management Information.
  • Monitor the firm's compliance with the Financial Services and Markets Act 2000 and relevant FCA rules.

Requirements:
  • Proactive and positive implementation of Consumer Duty.
  • Due regard to the interests of customers and treating them fairly.
  • Act in good faith towards retail customers.

About the Role:
This is an exciting opportunity to join a growing financial planning firm and contribute to their compliance efforts. If you are a detail-oriented individual with a passion for compliance, we encourage you to apply.

  • Bournemouth, Bournemouth, United Kingdom Countrywide Mortgage Services Full time

    Key Responsibilities:Data Precision - Process applications efficiently and maintain accurate records.Customer Engagement - Foster positive relationships with advisers, lenders, and providers.Underwriting Expertise - Underwrite and reference applications effectively.Pipeline Oversight - Maintain and update the onboarding pipeline.Liaison & Support - Ensure...


  • Bournemouth, Bournemouth, United Kingdom Rubicon Recruitment Group Full time

    Import/Export Controller£30,000 per annumAbout the RoleThis Import/Export Controller role is a pivotal position within our Supply Chain team, responsible for processing shipments to and from global customers. As a key member of our team, you will play a crucial part in ensuring seamless import and export procedures.Key ResponsibilitiesProcess shipments...


  • Bournemouth, Bournemouth, United Kingdom JPMorganChase Full time

    As a Tax Compliance Specialist within the Client Tax Operations team at JPMorganChase, your primary responsibility is to ensure global tax compliance by facilitating the collection of valid client tax documentation, applying withholding tax and refunds, and submitting regulatory reporting. This role requires consistent compliance and controls, enhanced...


  • Bournemouth, Bournemouth, United Kingdom JPMorganChase Full time

    Job Summary:The Markets Compliance team at JPMorganChase is seeking a highly skilled Compliance Monitoring Specialist to provide primary line of business advisory and regulatory support to the Markets Operations functions. As a key member of the team, you will contribute to the development of the Operations Compliance program through your deep knowledge and...


  • Bournemouth, Bournemouth, United Kingdom JPMorganChase Full time

    Company Overview:JPMorganChase is a leading global financial services firm committed to serving its customers, clients, and communities.We are seeking an experienced Risk and Compliance Specialist to join our team. This role will be responsible for managing the KYC book of work for New Business/Renewals in their designated Front Office sub-LOB.The estimated...


  • Bournemouth, Bournemouth, United Kingdom undisclosed Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Governance Specialist to join our team. In this role, you will be responsible for reviewing, drafting, and implementing policies, standards, and manuals to ensure compliance with the firm's governance requirements.Key ResponsibilitiesLead the review of legal obligations within the ELA...


  • Bournemouth, Bournemouth, United Kingdom https:www.energyjobline.comsitemap Full time

    Aircraft Compliance Manager Job DescriptionWe are seeking an experienced Aircraft Compliance Manager to join our team in Bournemouth. As a key member of our Compliance team, you will be responsible for ensuring the standards of Regulatory Compliance are managed and maintained, primarily in the area of aircraft Base Maintenance (Part 145), Workshops and...


  • Bournemouth, Bournemouth, United Kingdom Nourish Care Full time

    Job OverviewNourish Care is seeking an experienced Contract Compliance Manager to join our dynamic team. This role requires a compliance-focused professional who can strategically support renewals by ensuring adherence to contractual terms and working collaboratively with account management/customer success to drive retention and revenue growth.Key...


  • Bournemouth, Bournemouth, United Kingdom AeroProfessional Ltd Full time

    We are proud to be supporting our client, European Skybus, in their search for a Compliance Monitoring Manager.European Skybus is the Engineering Part 145 organisation of European Aviation Group, providing executive and passenger aircraft and engines, as well as EASA Part 145 engineering support, aircraft spares, and interiors.The Compliance Monitoring...


  • Bournemouth, Bournemouth, United Kingdom CV-Library Full time

    Job Title: Technical Compliance ManagerJob Summary:Rubicon's client is a global electronics manufacturer seeking a Technical Compliance Manager to oversee the implementation and ongoing management of compliance processes and legal requirements. The successful candidate will ensure all existing and new products meet necessary safety and regulatory...


  • Bournemouth, Bournemouth, United Kingdom Gama Aviation LLC Full time

    Job SummaryWe are seeking an experienced Compliance Manager to join our team at Gama Aviation LLC. The successful candidate will be responsible for ensuring compliance with regulatory standards and maintaining a close liaison with regulatory authorities.The ideal candidate will have extensive experience in compliance assurance, preferably in an aerospace...


  • Bournemouth, Bournemouth, United Kingdom CV-Library Full time

    Compliance Engineer/Auditor RoleVolantes Technical Recruitment is seeking a Compliance Engineer/Auditor for one of our leading aviation clients at Bournemouth Airport. This is a fantastic opportunity for career progression and working on various projects globally.Responsibilities:Oversee the day-to-day administration of the Compliance Department.Ensure...


  • Bournemouth, Bournemouth, United Kingdom AeroProfessional Limited Full time

    We are proud to be supporting our client, European Skybus, in their search for a dedicated Compliance Monitoring Manager.European Skybus is the Engineering Part 145 organization of European Aviation Group, providing executive and passenger aircraft and engines, as well as EASA Part 145 engineering support, aircraft spares, and interiors.About the...


  • Bournemouth, Bournemouth, United Kingdom AeroProfessional Ltd Full time

    Job Description and RequirementsWe are seeking a highly skilled Compliance Monitoring Manager to join our team at European Skybus. The successful candidate will be responsible for ensuring compliance with regulatory requirements and procedures across all company approvals and approved/new provider locations.The ideal candidate will have:Right to work and...


  • Bournemouth, Bournemouth, United Kingdom FlightjobsDVV Media Full time

    We are proud to be supporting our client, European Skybus, in their search for a Compliance Monitoring Manager.European Skybus is the Engineering Part 145 organisation of European Aviation Group. European Aviation provide executive and passenger aircraft and engines in conjunction with our EASA Part 145 engineering support company, aircraft spares support,...


  • Bournemouth, Bournemouth, United Kingdom JPMorganChase Full time

    Key Responsibilities:Tax Compliance and Regulatory Reporting: Facilitate the collection of valid client tax documentation, apply withholding tax and refunds, and submit regulatory reporting to ensure global tax compliance.Client Onboarding and Account Management: Open client accounts in the JP Morgan tax system, set trade settlement instructions, and monitor...


  • Bournemouth, Bournemouth, United Kingdom AeroProfessional Ltd Full time

    About European SkybusWe are excited to partner with European Skybus, a leading EASA Part 145 engineering organisation as part of the European Aviation Group. With over three decades of experience in providing executive and passenger aircraft, engines, spares support, interiors, and seats, European Aviation has grown into a multinational group of specialist...


  • Bournemouth, Bournemouth, United Kingdom JPMorganChase Full time

    Are you interested in developing new skills in a dynamic and fast-growing environment?About the RoleKYC Middle Office Associate plays a crucial role in ensuring exceptional, efficient, and world-class onboarding experiences for our clients. As the primary contact and expert, you will handle additional business requests, renew existing customer KYC records,...


  • Bournemouth, Bournemouth, United Kingdom Rev & Regs Full time

    Compliance Business Partner Rev & Regs is seeking a Compliance Business Partner to work for a leading Insurance Broker based in the City of London. The role - Initial contact for support and advice for business areas Provide Compliance input and support Maintenance of 2nd line systems of Compliance Compliance and controls Product Oversight & Governance...


  • Bournemouth, Bournemouth, United Kingdom J.P. Morgan Full time

    As a Control Management Senior Associate in the Risk Management and Compliance team at J.P. Morgan, you will play a crucial role in maintaining a robust risk and control environment. Your responsibilities will include ongoing analysis of the business's risk and control environment to identify significant gaps and weaknesses, ensuring that controls are...