Current jobs related to Compliance Monitoring Officer - Leeds, Leeds - Clayton Davies
-
Compliance Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Reward Recruitment Full timeCompliance Monitoring OfficerMy client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.About the RoleThe main purpose of this role is to provide pre and post-file reviews to ensure the business's...
-
Compliance Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Reward Recruitment Full timeCompliance Monitoring OfficerMy client, a national Wealth Management business, is seeking a Compliance Monitoring Officer to join their expanding team. The business operates a remote working model and offers a competitive salary, benefits, and a bonus.About the RoleThe main purpose of this role is to provide pre and post-file reviews to ensure the business's...
-
Compliance and Monitoring Officer
4 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring that our clients adhere to all...
-
Compliance and Monitoring Officer
4 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring that our clients adhere to all...
-
Compliance and Monitoring Officer
1 month ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance team, you will play a crucial role in ensuring that our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance department, you will play a crucial role in ensuring our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
1 month ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance team, you will play a crucial role in ensuring that our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
2 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientThis firm specializes in providing a wide range of financial products and services to their clients, ensuring their financial well-being and security. The company is committed to maintaining the highest standards of regulatory compliance and ethical conduct in all operations.Job DescriptionAs a Compliance Monitoring Officer, you will play a...
-
Compliance and Monitoring Officer
1 month ago
Leeds, Leeds, United Kingdom Equiniti Full timeJob Title: Compliance and Monitoring OfficerEquiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 5,700 employees, it supports 37 million people in 120 countries. Our purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment.We are...
-
Compliance and Monitoring Officer
3 weeks ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our ClientPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the financial services industry.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a key member of our compliance team, you will play a vital role in ensuring that our clients adhere to all regulatory...
-
Compliance and Monitoring Officer
2 months ago
Leeds, Leeds, United Kingdom Page Personnel Sales Full timeAbout Our CompanyPage Personnel Sales is a leading recruitment agency specializing in providing top talent to the sales industry. Our company is committed to delivering exceptional service and building long-lasting relationships with our clients and candidates.Job DescriptionWe are seeking a highly skilled Compliance Monitoring Officer to join our team. As a...
-
Compliance Monitoring Manager
3 weeks ago
Leeds, Leeds, United Kingdom ZipRecruiter Full timeJob Title: Compliance Monitoring Manager Hybrid WorkingAt ZipRecruiter, we are seeking a highly skilled Compliance Monitoring Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Define and...
-
Compliance Monitoring Manager
3 weeks ago
Leeds, Leeds, United Kingdom ZipRecruiter Full timeJob Title: Compliance Monitoring Manager Hybrid WorkingAt ZipRecruiter, we are seeking a highly skilled Compliance Monitoring Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Define and...
-
Compliance Monitoring Manager
4 weeks ago
Leeds, Leeds, United Kingdom ZipRecruiter Full timeJob Title: Compliance Monitoring Manager Hybrid WorkingAt ZipRecruiter, we're seeking a highly skilled Compliance Monitoring Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Define and...
-
Compliance Monitoring Manager
4 weeks ago
Leeds, Leeds, United Kingdom ZipRecruiter Full timeJob Title: Compliance Monitoring Manager Hybrid WorkingAt ZipRecruiter, we're seeking a highly skilled Compliance Monitoring Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Define and...
-
Compliance Monitoring Specialist
4 weeks ago
Leeds, Leeds, United Kingdom Clayton Davies Full timeCompliance Monitoring SpecialistClayton Davies, a leading Investment Management firm, is seeking a highly skilled Compliance Monitoring Specialist to ensure the company's adherence to regulatory requirements and internal policies.Key Responsibilities:Conduct Regular Compliance Audits: Review and assess company policies, procedures, and operations to ensure...
-
Compliance Monitoring Specialist
4 weeks ago
Leeds, Leeds, United Kingdom Clayton Davies Full timeCompliance Monitoring SpecialistClayton Davies, a leading Investment Management firm, is seeking a highly skilled Compliance Monitoring Specialist to ensure the company's adherence to regulatory requirements and internal policies.Key Responsibilities:Conduct Regular Compliance Audits: Review and assess company policies, procedures, and operations to ensure...
-
Compliance Monitoring Manager
1 month ago
Leeds, Leeds, United Kingdom Willow Resourcing Limited Full timeCompliance Monitoring ManagerWe are seeking a highly skilled Compliance Monitoring Manager to join our team at Willow Resourcing Limited. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...
-
Compliance Monitoring Manager
1 month ago
Leeds, Leeds, United Kingdom Willow Resourcing Limited Full timeCompliance Monitoring ManagerWe are seeking a highly skilled Compliance Monitoring Manager to join our team at Willow Resourcing Limited. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...
Compliance Monitoring Officer
2 months ago
Clayton Davies is seeking a highly skilled Compliance Monitoring Officer to join our team. As a Compliance Monitoring Officer, you will play a critical role in ensuring the quality of our services by reviewing advice files and providing feedback to the advice team.
The Compliance Monitoring Officer will be responsible for:
- Providing expert knowledge of our products and services, as well as the UK financial market and FCA regulatory requirements.
- Maintaining up-to-date knowledge of regulatory changes and updating training as required.
- Interpreting and complying with company quality assurance standards.
- Conducting pre- and post-sale advice file reviews to ensure correct client outcomes.
- Feedback file review findings in a clear and constructive manner.
- Monitoring non-conformance of company standards through records and tracking systems.
- Documenting quality assurance activities and producing internal reports and audits.
- Assisting in the development of new standards for the end-to-end customer journey.
- Identifying training needs and providing feedback to line managers.
- Conducting call observations to ensure high professional standards.
- Identifying potential risks and reporting to the Head of Compliance.
Key Requirements:
- Minimum Level 4 Diploma Financial Planning qualification.
- Previous experience working within an FCA regulated environment.
- Knowledge of financial services products, including Pensions and Investments.
