Compliance Specialist
4 weeks ago
We are seeking a highly skilled Compliance Assistant to join our team at Fram Executive Search Limited. As a Compliance Assistant, you will play a crucial role in ensuring that our client's financial planning firm operates in accordance with all relevant regulations and legislation.
Key Responsibilities:- Assist in the review, assessment, and monitoring of advice provided by the firm's Financial Planners and Appointed Representatives.
- Help maintain detailed and accurate compliance records and report any identified compliance issues.
- Support the Head of Compliance in ensuring the firm operates in accordance with all relevant regulations and legislation.
- Assist with the gathering, recording, and reporting of relevant Management Information.
- Monitor the firm's compliance with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice, and relevant FCA rules.
- Financial planning compliance experience, with a focus on file reviews or a background as a financial advisor.
- Knowledge and experience in Retail Financial Services Compliance and T&C.
- Excellent attention to detail and ability to meet hard deadlines.
- Proficiency in Microsoft Office applications and confident in using IT systems.
- Possession of the Diploma in Financial Planning (RO1-5) or equivalent, and compliance qualifications are desirable but not essential.
We offer a positive working environment and opportunities for training and development. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.
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Compliance and Onboarding Specialist
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Bournemouth, Bournemouth, United Kingdom Hays Specialist Recruitment Limited Full timeJob Title: Compliance and Onboarding AdminHays Specialist Recruitment Limited is seeking a highly skilled Compliance and Onboarding Admin to join their team. As a key member of the organization, you will be responsible for ensuring compliance with relevant laws, regulations, and internal policies.Key Responsibilities:Compliance Monitoring: Regularly review...
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Compliance and Onboarding Specialist
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Bournemouth, Bournemouth, United Kingdom Hays Specialist Recruitment Limited Full timeJob Title: Compliance and Onboarding AdminHays Specialist Recruitment Limited is seeking a highly skilled Compliance and Onboarding Admin to join their team. As a key member of the organization, you will be responsible for ensuring compliance with relevant laws, regulations, and internal policies.Key Responsibilities:Compliance Monitoring: Regularly review...
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Compliance Monitoring Specialist
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Bournemouth, Bournemouth, United Kingdom JPMorganChase Full timeJob Title: Compliance Monitoring SpecialistAt JPMorganChase, we are seeking a highly skilled Compliance Monitoring Specialist to join our Markets Compliance team. As a key member of our team, you will play a critical role in ensuring that our business operations are in compliance with relevant regulations and laws.Key Responsibilities:Provide regulatory...
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Bournemouth, Bournemouth, United Kingdom JPMorganChase Full timeJob 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...
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Compliance Specialist
4 weeks ago
Bournemouth, Bournemouth, United Kingdom Fram Executive Search Limited Full timeCompliance Assistant Job DescriptionWe are seeking a highly skilled Compliance Assistant to join our team at Fram Executive Search Limited. As a Compliance Assistant, you will play a crucial role in ensuring that our client's financial planning firm operates in accordance with all relevant regulations and legislation.Key Responsibilities:Assist in the...
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Compliance Specialist
4 weeks ago
Bournemouth, Bournemouth, United Kingdom Fram Executive Search Limited Full timeCompliance Assistant Job DescriptionWe are seeking a highly skilled Compliance Assistant to join our team at Fram Executive Search Limited. As a Compliance Assistant, you will play a crucial role in ensuring that our client's financial planning firm operates in accordance with all relevant regulations and legislation.Key Responsibilities:Assist in the...
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Compliance Specialist
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Bournemouth, Bournemouth, United Kingdom Fram Executive Search Full timeCompliance Assistant Job DescriptionOur 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...
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Compliance Specialist
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Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timep>Are you a detail-oriented professional with a passion for ensuring compliance and safety in the workplace? We are seeking a Compliance Engineer to join our client's team in Poole, Dorset. h3>Key Responsibilities:Develop and implement effective legal compliance programs, focusing on global safety standards and directives related to machinery...
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Compliance Specialist
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Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timep>Are you a detail-oriented professional with a passion for ensuring compliance and safety in the workplace? We are seeking a Compliance Engineer to join our client's team in Poole, Dorset. h3>Key Responsibilities:Develop and implement effective legal compliance programs, focusing on global safety standards and directives related to machinery...
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Compliance Specialist
1 month ago
Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timep>Are you a detail-oriented professional with a passion for ensuring compliance and safety in the workplace? We are seeking a Compliance Engineer to join our client's team in Poole, Dorset. h3>Key Responsibilities:Develop and implement effective legal compliance programs, focusing on global safety standards and directives related to machinery...
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Compliance Specialist
1 month ago
Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timep>Are you a detail-oriented professional with a passion for ensuring compliance and safety in the workplace? We are seeking a Compliance Engineer to join our client's team in Poole, Dorset. h3>Key Responsibilities:Develop and implement effective legal compliance programs, focusing on global safety standards and directives related to machinery...
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Compliance Specialist
4 weeks ago
Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timeWe are excited to be working with a forward-thinking technology company based in Poole, Dorset, who are seeking a Compliance Engineer to join their small team.The primary objective of this role is to establish and manage a robust legal compliance program, focusing on global safety standards and directives related to machinery equipment.The key...
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Compliance Specialist
1 month ago
Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timeWe are excited to be working with a forward-thinking technology company based in Poole, Dorset, who are seeking a Compliance Engineer to join their small team.The primary objective of this role is to establish and maintain a robust legal compliance program, focusing on global safety standards and directives related to machinery equipment.The key...
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Compliance Specialist
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Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timeWe are excited to be working with a forward-thinking technology company based in Poole, Dorset, who are seeking a Compliance Engineer to join their small team.The primary objective of this role is to establish and manage a robust legal compliance program, focusing on global safety standards and directives related to machinery equipment.The key...
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Bournemouth, Bournemouth, United Kingdom The Recruitment Group Full timeWe are excited to be working with a forward-thinking technology company based in Poole, Dorset, who are seeking a Compliance Engineer to join their small team.The primary objective of this role is to establish and maintain a robust legal compliance program, focusing on global safety standards and directives related to machinery equipment.The key...