Compliance Officer Legal
1 month ago
Lime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a key member of the Compliance team, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.
Key Responsibilities:
- Work closely with the Compliance Officer to provide assistance and information as required.
- Execute and maintain compliance monitoring for the financial planning subsidiary.
- Identify and report regulatory risks and issues to the Compliance Officer.
- Compile Management Information highlighting areas of concern and provide a monthly update on compliance issues.
- Carry out ad hoc file reviews to ensure policies and procedures are being adhered to.
- Assist the Compliance Officer with resolving regulatory issues.
- Draft new and review existing policies and procedures for approval by the Compliance Officer.
- Assist with the collation of information for regulatory returns.
- Ensure familiarity and compliance with the Company's value statement and policy regarding TCF (Treating Customers Fairly).
- Ensure KYC (Know Your Client) and TCF policies and procedures are adhered to.
- Ensure familiarity and compliance with company policy on Client Data Security.
Requirements:
We are looking for an experienced Compliance professional with strong knowledge of Compliance procedures relating to KYC, TCF, and File Reviewing within Investments & Pensions. A Level 4 Diploma qualification is ideal, but any other Compliance qualifications will be advantageous.
A great salary and benefits package is offered with this role.
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Compliance Officer Legal
4 weeks ago
Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full timeCompliance Officer Legal Job DescriptionLime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a key member of the Compliance team, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.Key Responsibilities:Work closely with the Compliance...
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Compliance Officer Legal
4 weeks ago
Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full timeCompliance Officer Legal Job DescriptionLime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a key member of the Compliance team, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.Key Responsibilities:Work closely with the Compliance...
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Compliance Officer Legal
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Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full timeCompliance Officer Legal Job DescriptionLime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a Compliance Officer Legal, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.Key Responsibilities:Work alongside the Compliance Officer to...
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Compliance Officer Legal
3 weeks ago
Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full timeCompliance Officer Legal Job DescriptionLime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a key member of the Compliance team, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.Key Responsibilities:Work closely with the Compliance...
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Compliance Officer Legal
3 weeks ago
Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full timeCompliance Officer Legal Job DescriptionLime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a Compliance Officer Legal, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.Key Responsibilities:Work alongside the Compliance Officer to...
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3 weeks ago
Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full timeCompliance Officer Legal Job DescriptionLime Search & Select Ltd is seeking an experienced Compliance Officer Legal to join their team in Harrogate. As a key member of the Compliance team, you will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.Key Responsibilities:Work closely with the Compliance...
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