Compliance Monitoring Officer

2 weeks ago


Harrogate, United Kingdom Merje Full time

Our client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.
As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.
Role Responsibilities: To undertake second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business.
To assist the Head of Regulatory Compliance & Risk in the delivery of the annual routine compliance monitoring plan.
To assist the Head of Regulatory Compliance & Risk in reprioritising the plan each quarter based on emerging risks in the business.
Assist in the design of the thematic reviews as required.
Assist in the design of discovery reviews as required.
To undertake routine, discovery and thematic reviews as required and produce draft reports for the approval of the Head of Regulatory Compliance & Risk.
To undertake bespoke investigations where risk indicators indicate a significant breach of company procedure or FCA rules.
Stay up to date on Consumer Duty training and regulations as they pertain to financial planning operations and administration.
Under manager supervision, consider client needs, treat them fairly, and act in their best interests when executing administrative tasks related to client assets, reporting, and queries.
Identify any issues relating to poor client outcomes or foreseeable harm to your manager.
Key Skills & Experience: At least 3 years' experience in a compliance monitoring function of a financial planning and/or investment management business.
Confident and influential presentation skills, both internally and externally.
Excellent organisation skills, with ability to work to tight deadlines and manage multiple tasks.
Good understanding of financial planning markets.
Good knowledge of UK regulation.
Extensive and up to date technical knowledge of the financial planning process through appropriate industry exams and CPD, including products, funds, pensions, markets, appropriate financial instruments, the required regulatory standards and their relevance to private clients.
Up to date with key developments, industry/market changes and regulations.
Well-developed and effective communicator both verbally and in writing, exhibiting good questioning and listening skills, including excellent report writing skills.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful.
However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
TPBN1_UKTJ



  • Harrogate, United Kingdom Merje Full time

    Our client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.Role Responsibilities: To undertake second line of defence compliance monitoring...


  • Harrogate, United Kingdom CV-Library Full time

    Our client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.  As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function. Role Responsibilities: To undertake second line of...


  • Harrogate, North Yorkshire, United Kingdom Merje Careers Full time

    Job Title: Compliance Risk OfficerWe are seeking a highly skilled Compliance Risk Officer to join our team at Merje Careers. This role is ideal for individuals who want to work in the financial services industry and have a passion for ensuring compliance with regulatory requirements.The estimated salary for this position is £50,000 - £60,000 per annum,...


  • Harrogate, United Kingdom Harrogate Integrated Facilities Full time

    Assist in the monitoring, running and updating of Compliance monitoring and reporting (ACOP.s HTM, HBN) Compliance work-plan, Audits and Digital Strategy Datix and risk register co-ordination including departmental Health and Safety Monitoring Compliance Records Compliance Training and role essential / stat man training ERIC / PAM Returns (under direction...


  • Harrogate, United Kingdom Harrogate Integrated Facilities Full time

    The Estates Compliance Officer will be responsible to the Estates Compliance Manager and assist in thedelivery of a safe and compliant estates service. The role will involve the monitoring and utilisation of a range of audit strategies and reporting tools to ensure the operational estates team and wider specialisms are delivering our services in line with...


  • Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full time

    Lime Search & Select Ltd is a leading recruitment agency specializing in the finance sector. We are currently seeking an Investment Management Compliance Officer to join our team in Harrogate.The ideal candidate will have a strong background in compliance, with experience working within financial planning or investment management firms. They will also...

  • Compliance Officer

    6 months ago


    Harrogate, United Kingdom Travail Employment Group Ltd Full time

    £30,000-£35,000, Harrogate, hybrid working options (following probation period), on site parking, 34 days annual leave, including your birthday off, increasing with service up to 39 days, 50% employee discount on products, various health benefits, open plan modern offices, social area with pool table and games, discretionary bonus scheme. We are currently...


  • Harrogate, United Kingdom Orchard Care Homes Full time

    Orchard Care Homes are seeking to appoint a Head of Compliance and Regulation. This is a newly created role that will be instrumental in ensuring that our services meet the highest standards of quality, safety, and regulatory compliance across our business. You will also be responsible for leading and managing a team of Quality and Compliance...

  • Compliance Manager

    4 weeks ago


    Harrogate, United Kingdom CV-Library Full time

    Swift Placements are working with a legal firm based in Harrogate City Centre who are seeking an experienced and detail-oriented HR, H&S, and Compliance Administration Manager to join their team in Harrogate on a full-time permanent basis. This role requires a proactive individual with expertise in legal compliance, who will oversee the effective management...


  • Harrogate, United Kingdom Swift Temps (North West) Ltd Full time

    About This Opportunity:Skyrocket your career as a Legal and Regulatory Specialist at Swift Placements in Harrogate! With this exciting opportunity, you'll oversee key functions that drive business success while ensuring regulatory compliance and operational excellence.What You'll Do:Maintain accurate employee records in line with GDPR requirements.Ensure the...

  • Compliance Executive

    9 hours ago


    Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full time

    We are seeking a skilled Compliance Executive to join our team in Harrogate. As a Compliance Executive - Risk and Governance, you will be responsible for assisting the Compliance Officer with all aspects of compliance and risk management processes.The ideal candidate will have a strong background in compliance, with experience working within financial...


  • Harrogate, North Yorkshire, United Kingdom Lime Search & Select Ltd Full time

    At Lime Search & Select Ltd, we are seeking an experienced Financial Regulatory Compliance Specialist to join our team in Harrogate. This role is ideal for individuals with a strong background in compliance, who can provide valuable assistance to the Compliance Officer in ensuring the company's adherence to regulatory requirements.The successful candidate...


  • Harrogate, United Kingdom Swift Temps (North West) Ltd Full time

    Job Summary:We are seeking a highly skilled Administrative Compliance Officer to join our team at Swift Placements in Harrogate. As an experienced professional, you will oversee the effective management of HR processes, health & safety policies, and compliance standards across the organisation.About the Role:Manage end-to-end HR administrative processes,...


  • Harrogate, North Yorkshire, United Kingdom Swift Temps (North West) Ltd Full time

    We are seeking a highly skilled and experienced Compliance Administration Manager to join our client's team in Harrogate City Centre. As a key member of the administration team, you will be responsible for managing HR processes, health & safety policies, and other administrative tasks. If you have a strong understanding of legal compliance and are able to...

  • Estates Officer

    6 months ago


    Harrogate, United Kingdom Harrogate Integrated Facilities Full time

    The Estates Officer - Electrical will hold responsibility for the maintenance and upkeep of electrical engineering services throughout Harrogate & District NHS Foundation Trust. This includes all LV infrastructure, standby power including UPS, Theatre systems, lighting, power, and all other engineering services as designated by the Operational Estates...

  • Estates Officer

    6 months ago


    Harrogate, United Kingdom Harrogate Integrated Facilities Full time

    The Estates Officer Electrical will hold responsibility for the maintenance and upkeep of electrical engineering services throughout Harrogate & District NHS Foundation Trust. This includes all LV infrastructure, standby power including UPS, Theatre systems, lighting, power, lifts and all other engineering services as designated by the Estates Operations...


  • Harrogate, United Kingdom IntegraCare Ltd Full time

    _**JOB SUMMARY**:_ The post holder will work with the management team to ensure that client support records are completed appropriately, IntegraCare's recording and reporting procedures are followed, records are stored and archived in accordance with internal procedures and maintained in accordance with GDPR requirements. As a member of the office team,...

  • Part Time Cleaner

    6 months ago


    Harrogate, United Kingdom Tennals Compliance Ltd Full time

    A opportunity has arisen for a Cleaner to join a highly successful team within a dynamic and expanding National Company. We have a reputation for delivering quality installation, remedial repairs and planned maintenance works across a broad spectrum of private and commercial clients across the UK. **Are you looking for a new and rewarding challenge that...

  • Safeguarding Officer

    6 months ago


    Harrogate, United Kingdom Yorkshire Federation of Young Farmers' Clubs Full time

    1. **THE POST OF**: Safeguarding & Member Welfare Officer 2. **THE MAIN PURPOSES OF THE POST**: - Oversee the safeguarding of members, aged between 10 and 28 years old, volunteers along with managing the safeguarding policy and its procedures. This includes managing investigations and cases arising from concerns reported and managing procedures to protect...


  • Harrogate, United Kingdom ONEBRIGHT Full time

    Onebright is the personalised mental healthcare company building a brighter way to provide life-changing support for people around the world. We work with everyone from insurance providers and companies to GP's and individuals to get people the support they need to feel better. Onebright is now the fastest growing provider of private outpatient mental...