Compliance Monitoring Officer

2 months ago


Warrington, Warrington, United Kingdom D&R Recruitment Limited Full time

A leading firm in the wealth management sector is seeking a Compliance Monitoring Officer to be part of their team.

This role offers the flexibility to be based in the office or work remotely, with a competitive salary and comprehensive benefits package.

The Compliance Monitoring Officer will be responsible for reviewing advice files to ensure they meet the company's standards, providing feedback to the advice team, and acting as a subject matter expert. They will also be involved in maintaining knowledge of the company's products and services, as well as UK financial market and FCA regulatory requirements.

Key responsibilities will include:

  • Conducting pre- and post-sale advice file reviews to ensure correct client outcomes.
  • Interpreting and complying with company quality assurance standards.
  • Maintaining knowledge of regulatory changes and updating training as required.

The ideal candidate will have excellent knowledge of the company's products and services, as well as the UK financial market and FCA regulatory requirements. They will be able to maintain their knowledge by keeping up with any regulatory changes and updating training as required.



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

    Job Title: Education and Compliance OfficerKeltbray Infrastructure Services is seeking a qualified Education and Compliance Officer to join our Training Team in Warrington, Cheshire. The successful candidate will be responsible for ensuring that all Keltbray Rail / Rail Plant operational training requirements are completed and that employees are suitably...


  • Warrington, Warrington, United Kingdom GRAHAM ASSET MANAGEMENT LIMITED Full time

    Job Title: Maintenance Compliance ManagerWe are seeking a highly skilled and proactive Maintenance Compliance Manager to join our team at GRAHAM ASSET MANAGEMENT LIMITED. As the main interface between clients and our maintenance team, you will be responsible for facilitating communication and ensuring seamless service delivery.The ideal candidate will have a...


  • Warrington, Warrington, United Kingdom Millbank Holdings Full time

    We are seeking a skilled Contract Compliance Officer to join our team at Millbank Holdings. This is an exciting opportunity for a professional with experience in managing NEC contracts and change management. The salary for this position is £75,000 per annum, plus a range of benefits including flexible working and a fantastic pension fund contribution.About...


  • Warrington, Warrington, United Kingdom Hexa Services Full time

    Job DescriptionWe are seeking a highly skilled Regulatory Compliance Officer to join our team at Hexa Services. As a key member of our Hard FM Services department, you will play a vital role in ensuring compliance with all relevant statutory and mandatory legislation across multiple healthcare sites.Your main duties will include managing relationships with...

  • Compliance Officer

    2 weeks ago


    Warrington, Warrington, United Kingdom CV-Library Full time

    Safety Specialist Job Summary:As a leading employer, we are looking for a highly motivated and experienced Safety Specialist to join our team in Winsford. The successful candidate will be responsible for shaping our safety standards and driving positive change.Main Responsibilities:Developing and implementing HSE strategies that focus on risk management and...


  • Warrington, Warrington, United Kingdom National Nuclear Laboratory Full time

    As a Compliance Risk Officer at National Nuclear Laboratory, you will play a critical role in ensuring that our organisation operates in compliance with relevant laws and regulations. We are seeking a highly skilled professional with expertise in risk management and compliance.About the RoleWe are looking for a talented individual with a strong understanding...


  • Warrington, Warrington, United Kingdom ANGELS CARE HEALTH HUDSON MANOR Full time

    About the RoleANGELS CARE HEALTH HUDSON MANOR is currently seeking a dedicated Sustainability and Compliance Officer to join our HSSQ team. In this role, you will be responsible for ensuring that our business operations are conducted in a sustainable and environmentally responsible manner while maintaining compliance with relevant laws and regulations.As a...


  • Warrington, Warrington, United Kingdom Niyaa People Ltd Full time

    Building Compliance OfficerNiyaa People Ltd is seeking a Building Compliance Officer to join their team in the North West area. The successful candidate will be responsible for managing the fire risk assessment remedial programme on a 6-month Fixed-Term Contract. This role offers opportunities for extension or permanence, hybrid working, and diary...


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

    Job Overview:CV-Library is seeking a talented Environmental Compliance Officer to join our team.As an Environmental Compliance Officer, you will be responsible for leading the development and implementation of the site's Environment, Health & Safety deployment plan to deliver objectives in line with the Group Sustainability and HSE Strategy, coaching and...


  • Warrington, Warrington, United Kingdom PRS Full time

    Key ResponsibilitiesThe Facilities Compliance Officer will be responsible for:Managing relationships with contractors and ensuring compliance with legislative requirements.Conducting internal audits to identify areas for improvement.Producing detailed reports for key stakeholders.Identifying immediate gaps and escalating risk.The ideal candidate will have a...


  • Warrington, Warrington, United Kingdom PRS Full time

    About the RolePRS is seeking a seasoned professional to fill the position of Assistant Manager Compliance in our Warrington office. As a member of our facilities management team, you will play a critical role in ensuring compliance with regulatory requirements and maintaining high standards of service delivery.The ideal candidate will have a strong...


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

    HSE Compliance PositionWe are looking for a detail-oriented individual to assist in the management and improvement of procedures, conduct assessments, and maintain compliance with environmental permits.Main Responsibilities:Assist in the development and implementation of safe working practices and training programs.Perform risk assessments, COSHH...

  • Compliance Officer

    3 weeks ago


    Warrington, Warrington, United Kingdom TÜV Rheinland Europe Full time

    Job OverviewTÜV Rheinland Europe is seeking a Compliance Officer - Health and Safety to join our team in Warrington or Belasis. As a Compliance Officer, you will be responsible for ensuring compliance with health and safety regulations, managing QHSE Management Systems, and conducting audits to ensure that all regulatory requirements are met.The ideal...


  • Warrington, Warrington, United Kingdom PRS Full time

    PRS is looking for an Assistant Facilities Compliance Officer to join their team in Warrington. The salary for this role is approximately £45,000 + package.The successful candidate will have 5 years of experience in facilities management and a high level of M&E technical awareness.Main responsibilities include supporting the Compliance Manager, conducting...


  • Warrington, Warrington, United Kingdom Mana Resourcing Ltd Full time

    About the JobWe are looking for a Compliance Assurance Officer to join our team at Mana Resourcing Ltd.The successful candidate will have excellent communication skills, ability to deliver reports to the business and customers, and a strong understanding of health and safety regulations.You will be responsible for ensuring delivery of legislative compliance,...

  • Compliance Officer

    6 days ago


    Warrington, Warrington, United Kingdom PRS Full time

    PRS is seeking a Compliance Officer - Hard FM to join its team in Warrington. The role offers a competitive salary of £45,000 + package.Key Responsibilities:Managing relationships with a range of contractors to ensure compliance with statutory and mandatory legislation.Managing non-compliance issues through contractor engagement.Escalating non-compliance...


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

    **About the Role:**CV-Library is seeking a highly motivated Compliance Officer to join their team in Warrington, Cheshire. This exciting opportunity allows you to utilize your compliance expertise to drive business growth while ensuring regulatory compliance.**Key Responsibilities:**Conducting audits of new business submissions, providing reports, and...


  • Warrington, Warrington, United Kingdom Bennett and Game Recruitment Full time

    We are seeking an experienced Principal Designer and Compliance Officer to join our team. As a key member of our construction consultancy, you will be responsible for leading on Building Regulations and Principal Designer compliance.The ideal candidate will have a strong background in building control and regulation, as well as excellent communication and...

  • Compliance Manager

    2 weeks ago


    Warrington, Warrington, United Kingdom CV-Library Full time

    Company Overview:This established hospitality client is renowned for its family-like culture and company values. They are seeking a Property Compliance Coordinator to report to the Senior Cost and Contract Manager in their Chester-based HQ.The role involves working with Ostara, a statutory compliance database, to manage certification, contractor monitoring,...


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

    We are a leading provider of industrial process and automation solutions, delivering a professional service to various industries including food processing, water, pharmaceutical, packaging, scientific, power generation, and general manufacturing.The RoleConduct reviews of contractor documentationDeliver audits and inspectionsOffer guidance on environmental...