Compliance Monitoring Specialist, Wealth Management Division

Job Title: Senior Wealth Management Compliance SpecialistJob Summary: We are seeking a highly skilled Senior Wealth Management Compliance Specialist to join our team at Compliance Professionals. As a Senior Wealth Management Compliance Specialist, you will be responsible for leading the onboarding process for wealth management clients, ensuring compliance...

About the RoleAs a Senior Compliance Monitoring Specialist at Compliance Recruitment Solutions, you will play a critical role in ensuring the effectiveness of our compliance monitoring programme. Your primary responsibilities will include:Key ResponsibilitiesAssisting in the delivery of the annual compliance monitoring programme by undertaking agreed...

This role is a fixed term contract with Eximius Finance, lasting approximately 12 months.Carry out thorough, desk-based reviews of the Wealth Management Division, as part of the second line of defense, aligned with the firm's risk-based compliance monitoring programme.Required skills and qualifications include:Proven experience in a Compliance Monitoring...

Senior Compliance Monitoring Associate RoleWe are seeking a Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. The ideal candidate will have at least 2 years of experience in compliance monitoring within the wealth management or retail financial advice sectors.Key responsibilities include:Delivering the annual compliance...

Senior Compliance Monitoring Associate – A Key Role in Our Compliance TeamWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance team. As a key member of the team, you will be responsible for delivering the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable...

Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

Join Our TeamWe are seeking a talented Wealth Division Bond Specialist to join our team at Woods Foster. In this role, you will be responsible for managing the open and closed bond product range across UK and international markets.ResponsibilitiesCarry out fair value assessments to ensure good customer outcomes, meeting regulatory requirements and internal...

{"description":"Regulatory Compliance Specialist - Wealth ManagementWe are seeking a seasoned Regulatory Compliance Specialist to oversee and enhance our Enterprise Risk Management framework in our Wealth Management division.Key responsibilities include managing risk assessments, advising on effective systems for optimal client outcomes, and ensuring robust...

Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

At Compliance Professionals, we are seeking a highly skilled and experienced Compliance Risk Manager to join our team. This is an exciting opportunity for a seasoned professional to lead the onboarding of wealth management clients and ensure compliance with regulatory standards.About the RoleThis role involves leading a First Line team responsible for...

Compliance Monitoring RoleWe are seeking a Senior Compliance Monitoring Associate to join our team. The successful candidate will have at least 2 years of compliance monitoring experience with a wealth management firm or a retail financial advice firm.The role involves assisting in the delivery of the annual compliance monitoring programme, identifying...

Salary: £60,000 - £80,000 per annum, depending on experience.About the JobWe are seeking a Senior Compliance Monitoring Specialist to join our team at Compliance Recruitment Solutions. The ideal candidate will have a strong background in compliance monitoring, with a minimum of 2 years' experience in a Wealth Management or Retail Financial Advice firm.Key...

Rev & Regs is seeking a Compliance Monitoring Officer to join their team in the City of London.This role forms part of the wider monitoring team and reports to the 'Head of Compliance Monitoring'. The successful candidate will be responsible for conducting Suitability Reviews, Thematic Reviews, AML/KYC reviews, PA Dealing, Gifts & Hospitality, and Desk based...

Job Title: Wealth Management Onboarding Team LeadWe are seeking an experienced Wealth Management Onboarding Team Lead to join our Compliance Professionals team in London, UK. As a key member of the team, you will play a crucial role in ensuring the timely and high-quality onboarding of wealth management clients.About UsWe are a leading international banking...

Wealth Management TraineeEnver Wealth Management Ltd. is seeking a talented and driven Wealth Management Trainee to join our dynamic team in Kingsway, London.This is an exceptional opportunity for someone looking to break into the wealth management industry, with a clear vision for career growth and a desire to help clients achieve their financial goals.As a...

Job Description:We are seeking a highly motivated and experienced Compliance Specialist to join our Wealth & Consumer Finance Practice. The successful candidate will provide regulatory advisory services, guidance, and delivery of ongoing support engagements to our wealth and investment management clients.Main Responsibilities:Provide high-quality advice and...

Compliance Manager RoleWe are seeking a highly skilled Compliance Manager to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring that compliance related directives, policies, and procedures remain up to date.Key Responsibilities:Assist with ensuring that compliance related directives, policies, and procedures...

About the RoleWe are seeking a highly experienced Compliance Manager to join our team at Compliance Professionals.The successful candidate will have extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities.Key responsibilities will include:Assisting with ensuring compliance...

Company OverviewWe are a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market.About the RoleThis is an exciting opportunity to join our team as a Regulatory Affairs Specialist in the Compliance Monitoring department. As a key member of our team, you will play a vital role in ensuring adherence to regulatory...

Job SummaryWe are seeking a highly skilled and experienced Senior Compliance Monitoring Specialist to join our team at Compliance Recruitment Solutions. The ideal candidate will have a strong background in compliance monitoring, with a minimum of 2 years' experience in a Wealth Management or Retail Financial Advice firm.About the RoleThe Senior Compliance...