Regulatory Supervision Lead
1 day ago
We are seeking a highly skilled Training and Competency Expert to join our team at IDEX Consulting Ltd. As a key member of our Supervision and Competency Oversight team, you will play a critical role in ensuring the regulatory supervision of our financial planning population.
Your primary responsibilities will include providing supervisory support to new and existing Financial Planners, overseeing operational financial planner activity from a competency and advice standards perspective, and delivering key commitments outlined in our Training and Competency scheme.
You will be responsible for monitoring Financial Planner Key Risk Indicators (KRIs), carrying out observations, and holding regular 1:1 meetings to ensure adherence to our Training and Competency scheme and the overarching control environment.
In addition, you will support the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.
You will also contribute to the development of our Supervision framework, including making relevant risk assessment recommendations, identifying thematic issues, and supporting the upskilling of our financial planning community.
Required Skills and Qualifications:
- Minimum Diploma qualified level 4 in Financial Advice
- Advanced qualifications acquired ideal
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Regulatory Compliance Lead
3 days ago
Leeds, Leeds, United Kingdom Yorkshire Dental Suite Full timeWe are looking for a highly motivated and experienced Compliance Manager to lead our compliance efforts. As a key member of the team, you will be responsible for ensuring that our business operations comply with regulatory requirements.Job Requirements:The Compliance Manager will be responsible for developing and managing the organization's training and...
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Regulatory Risk Management Lead
6 days ago
Leeds, Leeds, United Kingdom Flutter Full timeJob SummaryThe Regulatory Risk Management Lead will oversee the development and implementation of our Operational Compliance Control Framework, ensuring seamless integration with existing processes. With a strong focus on regulatory compliance and risk management, this role is ideal for someone with a proven track record in leading cross-functional...
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Regulatory Compliance Lead
4 days ago
Leeds, Leeds, United Kingdom Bennett and Game Recruitment LTD Full timeKey ResponsibilitiesWe are looking for a highly skilled Regulatory Compliance Lead to oversee the implementation of current Building Regulations, the Building Act 1984, Public Health Act, and allied legislation. You will work closely with the Building Control MD to ensure the team delivers against company objectives, while maintaining a comprehensive...
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Change Lead for Regulatory Reporting
4 weeks ago
Leeds, Leeds, United Kingdom Lloyds Banking Group Full timeRole OverviewWe're seeking a highly skilled Change Lead for Regulatory Reporting to join our team. In this role, you will be responsible for leading and motivating change initiatives across finance, ensuring alignment with organizational goals and objectives.You will possess a strong understanding of Treasury's purpose and the financial risks it manages, as...
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Operational Lead
4 weeks ago
Leeds, Leeds, United Kingdom Lifelancer Full timeWe are seeking a highly skilled Operational Lead - Regulatory Compliance to join our team at Lifelancer. This home-based position offers tremendous long-term job security and prospects, with the opportunity to work on vital clinical studies for top biotechs and pharma companies.The Operational Lead - Regulatory Compliance will be accountable for performance...
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Regulatory Solicitor Position
4 weeks ago
Leeds, Leeds, United Kingdom Grist Legal Recruitment Full timeThe Regulatory team at Grist Legal Recruitment acts for a significant number of regulatory bodies, primarily in the health sector but increasingly across various professional disciplines.As an experienced prosecuting Regulatory Associate, you will manage an investigatory caseload where it is alleged that the registrant's fitness to practise is impaired...
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CMC Regulatory Project Lead
4 weeks ago
Leeds, Leeds, United Kingdom RBW Consulting Full timeRBW Consulting is seeking a highly skilled CMC Regulatory Project Lead to oversee regulatory activities for small molecule oncology products globally. As a key member of our team, you will work independently and with an outsourcing team on tasks such as change controls, out of specification assessments, PQRs, and clinical phase activities.This contract...
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Regulatory Law Specialist
3 days ago
Leeds, Leeds, United Kingdom G2 Legal Limited Full timeSenior Regulatory Lawyer OpportunityG2 Legal Limited is seeking a senior regulatory lawyer with 3-5 years of post-qualified experience to join our team. The ideal candidate will have a strong background in business crime and regulatory law, with expertise in advising and representing clients in regulatory investigations, prosecutions, and civil...
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Regulatory Payments Expert
4 weeks ago
Leeds, Leeds, United Kingdom Financial Conduct Authority Full timeThe Financial Conduct Authority is seeking a highly skilled Regulatory Payments Expert to join our team. In this role, you will be responsible for providing deep subject matter expertise on topics and issues relating to the payments industry, payments regulation, and supervision of payments firms.Key Responsibilities:Providing technical input to a range of...
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Regulatory Affairs Expert
4 weeks ago
Leeds, Leeds, United Kingdom Lifelancer Full timeLifelancer is seeking an experienced Regulatory Affairs Expert to lead CMC projects for small molecule pharmaceuticals. As a key member of our team, you will utilize your expertise in regulatory affairs, project management, and technical skills to deliver exceptional consulting services.The ideal candidate will possess strong knowledge of post-approval CMC...
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Leeds, Leeds, United Kingdom Maples Group - Legal Services Full timeWe are seeking a highly skilled Compliance Analyst to join our Client Monitoring Team at Maples Group - Legal Services in Leeds. The ideal candidate will have a strong understanding of KYC and AML regulatory obligations, with a minimum of 3 years of experience in legal services or professional services.About the RoleThis exciting opportunity includes...
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NQ Regulatory Team Lead
1 week ago
Leeds, Leeds, United Kingdom Hays Legal Full timeWe are seeking an ambitious NQ Regulatory lawyer to join our team at Hays Legal. As part of this role, you will work closely with experienced attorneys and contribute to significant cases involving financial services regulation.Candidates should have expertise in areas such as health and safety, environmental law, and consumer protection, as these skills are...
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Leeds, Leeds, United Kingdom Lifelancer Full timeJob SummaryWe are seeking a seasoned Principal Regulatory Affairs Consultant to join our team at Lifelancer. As a key member of our Life Sciences talent-hiring platform, you will be responsible for providing expert regulatory affairs support to clients across the pharmaceutical industry.About the RoleThis is a unique opportunity to leverage your knowledge...
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Central Leeds Regulatory Lawyer Opportunity
4 weeks ago
Leeds, Leeds, United Kingdom Sacco Mann Full timeAbout the RoleSacco Mann is seeking a skilled Regulatory Solicitor to join its team in central Leeds. The successful candidate will work on a varied regulatory case load, including business crime, health & safety investigations & prosecutions, environmental work, inquests, and high value frauds.You will receive close supervision from the head of department,...
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Leeds, Leeds, United Kingdom Sacco Mann Full timeA leading law firm in the Yorkshire market seeks a seasoned Corporate Defence and Regulatory Solicitor to join their thriving department.The Role:To contribute to a team of esteemed Corporate Defence and Regulatory Solicitors, some of whom have transitioned from prominent national/international firms.The variety of work on offer is exceptional and includes...
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Regulatory Solicitor
4 weeks ago
Leeds, Leeds, United Kingdom Sacco Mann Full timeFantastic opportunity for a Regulatory Solicitor to join Sacco Mann in its central Leeds office. You will work across a varied regulatory case load including business crime, health & safety investigations & prosecutions, environmental work, inquests, high value frauds and more. Close supervision from the head of department will allow you to further your...
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Regulatory Oversight Manager
3 weeks ago
Leeds, Leeds, United Kingdom Broadgate Full timeJob Title: Regulatory Oversight ManagerBroadgate is seeking a Regulatory Oversight Manager to lead our Compliance function and ensure we maintain the highest standards of regulatory compliance.This role presents an exciting opportunity for someone to take ownership of our Compliance function and play a key role in shaping our regulatory strategy.Key...
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Regulatory Solicitor Opportunity
6 days ago
Leeds, Leeds, United Kingdom ENL Legal Recruitment Full timeExperience Regulatory Solicitor WantedThis is a fantastic chance to advance your career as a skilled solicitor in a challenging and rewarding environment. You will be joining a highly reputable team that advises organisations and individuals facing Health & Safety, criminal, environmental, CQC and other regulatory prosecutions.Salary: Up to £55,000...
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Regulatory Expert
1 week ago
Leeds, Leeds, United Kingdom William Hill Full time**Join Our Team as a Senior Retail Compliance Manager**As a Senior Retail Compliance Manager at William Hill, you will be part of a team dedicated to ensuring our retail business operates in accordance with regulatory requirements. We are seeking a highly skilled and experienced professional to develop and implement policies and procedures that meet these...
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Lead Regulatory Reporting Accountant
4 weeks ago
Leeds, Leeds, United Kingdom Yorkshire Building Society Full timeRegulatory Reporting Accountant RoleWe are seeking a highly skilled Regulatory Reporting Accountant to join our team in Regulatory Reporting.About the JobThis is a hybrid role, offering a great work-life balance with one day per week in our central Leeds office.You will be responsible for producing high-quality reports, understanding reported information,...