Compliance and Risk Management Specialist
2 days ago
At Clayton Davies, we are seeking a highly skilled Compliance and Monitoring Officer to join our team. As a key member of our organization, you will play a vital role in ensuring the quality and integrity of our financial services.
Key Responsibilities:- Review advice files to ensure compliance with agreed business standards and regulatory requirements.
- Interpret and apply company quality assurance standards to ensure consistency and excellence in our dealings with customers.
- Monitor non-conformance of company standards through records and tracking systems, and provide recommendations for corrective actions.
- Document quality assurance activities and provide internal reporting and audits.
- Produce monthly reports on QA activities and findings to the Head of Compliance.
- Identify training needs and provide feedback to line managers to ensure company-wide compliance.
- Identify potential risks and bring them to the attention of the Head of Compliance.
- Be qualified to Level 4 Diploma Financial Planning (or equivalent) as a minimum.
- Have previous experience of working within an FCA regulated environment.
- Have knowledge of the various financial services products, including Pensions and Investments.
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Regulatory Compliance Specialist
6 days ago
Work From Home, United Kingdom Willow Resourcing Limited Full timeJob Title: Aircraft Regulatory Compliance SpecialistWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Willow Resourcing Limited. As an Aircraft Regulatory Compliance Specialist, you will be responsible for ensuring that our company complies with all relevant regulatory requirements.Key Responsibilities:Develop and implement...
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Regulatory Compliance Specialist
2 days ago
Work From Home, United Kingdom Clayton Davies Full timeJob Description**Job Title:** Regulatory Compliance Specialist**Company:** Clayton Davies**Location:** Remote (with occasional travel within a 2-hour radius of Reading)**Job Type:** Full-time**Salary:** Up to £50,000 + £6K Car Allowance + Bonus**About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Clayton...
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Regulatory Compliance Specialist
2 days ago
Work From Home, United Kingdom Clayton Davies Full timeJob Description**Job Title:** Regulatory Compliance Specialist**Company:** Clayton Davies**Location:** Remote (with occasional travel within a 2-hour radius of Reading)**Job Type:** Full-time**Salary:** Up to £50,000 + £6K Car Allowance + Bonus**About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Clayton...
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Regulatory Compliance Specialist
6 days ago
Work From Home, United Kingdom Clayton Davies Full timeJob Description**Job Title:** Regulatory Compliance Specialist**Company:** Clayton Davies**Location:** Remote (with occasional travel within a 2-hour radius of Reading)**Job Type:** Full-time**Salary:** Up to £50,000 + £6K Car Allowance + Bonus**About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Clayton...
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Regulatory Compliance Specialist
6 days ago
Work From Home, United Kingdom Clayton Davies Full timeJob Description**Job Title:** Regulatory Compliance Specialist**Company:** Clayton Davies**Location:** Remote (with occasional travel within a 2-hour radius of Reading)**Job Type:** Full-time**Salary:** Up to £50,000 + £6K Car Allowance + Bonus**About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Clayton...
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Regulatory Compliance Specialist
2 days ago
Work From Home, United Kingdom Clayton Davies Full timeJob Description**Job Title:** Regulatory Compliance Specialist**Company:** Clayton Davies**Location:** Reading (with travel within a 2-hour radius)**Job Type:** Full-time**Salary:** Up to £50,000 + £6K Car Allowance + Bonus**About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Clayton Davies. As a key member...
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Regulatory Compliance Specialist
2 days ago
Work From Home, United Kingdom Clayton Davies Full timeJob Description**Job Title:** Regulatory Compliance Specialist**Company:** Clayton Davies**Location:** Reading (with travel within a 2-hour radius)**Job Type:** Full-time**Salary:** Up to £50,000 + £6K Car Allowance + Bonus**About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Clayton Davies. As a key member...
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Senior Risk Management Specialist
2 days ago
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Senior Risk Management Specialist
2 days ago
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Compliance Specialist
6 days ago
Work From Home, United Kingdom BWD Search & Selection Full timeJob DescriptionJob Title: Compliance SpecialistJob Summary:We are seeking a highly detail-oriented Compliance Specialist to join our team at BWD Search & Selection. As a Compliance Specialist, you will play a vital role in ensuring that our advisors adhere to regulatory standards and internal policies.Key Responsibilities:Provide detailed feedback and...
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Work From Home, United Kingdom BWD Search & Selection Full timeJob DescriptionJob Title: Compliance SpecialistJob Summary:We are seeking a highly detail-oriented Compliance Specialist to join our team at BWD Search & Selection. As a Compliance Specialist, you will play a vital role in ensuring that our advisors adhere to regulatory standards and internal policies.Key Responsibilities:Provide detailed feedback and...
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Compliance Specialist
2 days ago
Work From Home, United Kingdom BWD Search & Selection Full timeJob DescriptionJob Title: Compliance SpecialistJob Summary:We are seeking a highly detail-oriented Compliance Specialist to join our team at BWD Search & Selection. As a Compliance Specialist, you will play a vital role in ensuring that our advisors adhere to regulatory standards and internal policies.Key Responsibilities:Provide detailed feedback and...
