Regulatory Affairs Manager
1 month ago
Our client, a leading provider of Financial Planning services, is seeking a highly experienced Compliance Officer to join their team in Hertfordshire. As a key member of the Senior Management Functions 16 and 17, you will be responsible for overseeing compliance, T&C and AML functions.
Key Responsibilities:
- Support the Senior Management Functions 16 and 17, ensuring the company operates within the guidelines of the Financial Conduct Authority.
- Ensure quality of advice maintained & monitored via pre-sale checks of a selection of advice files and post-sale checks.
- Review and sign-off financial promotions.
Requirements:
- Excellent Financial Services compliance background with experience in Financial Planning/Wealth Management compliance.
- Strong analytical and problem-solving skills, with the ability to maintain accurate and detailed records.
- Excellent communication and interpersonal skills, with the ability to work collaboratively as part of a team.
What We Offer:
- An attractive salary of £62,000 per annum.
- A comprehensive benefits package, including hybrid working arrangements and opportunities for career growth and development.
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Financial Portfolio Manager
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Financial Services Manager
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Compliance and Strategy Director
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Accounting Leadership Role
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Strategic Client Liaison
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Microbial Development Lead
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Fermentation Process Specialist
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Senior Accounting Professional
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Care Home Director
3 weeks ago
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Microbial Process Development Specialist
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Residential Care Leader
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Financial Guidance Expert
1 month ago
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