Head of Regulatory Services

3 days ago

Liverpool, United Kingdom MERJE Ltd Full time

**The role will lead the delivery of regulatory services into the company distribution of Advisers through a team of technical experts who primarily undertake file reviews and compliance audit work.**

**Key responsibilities include**:

- Ensuring the assessment standards are current and relevant, promoting these assessment standard across all clients
- Creating best practice examples through different communication channels, webinars, videos, newsletters etc.
- Actively work with and support key stakeholders, including the distribution team and propositions to maintain the integrity of the service being offered. Specifically, the role will require strong working relationships with distribution to ensure that promisesof service provision are not being made that could cause operational inefficiency
- To act as an ambassador for the team as part of the SED senior leadership team, engaging with key stakeholders, Advisers and Senior Management. This will be through written updates, forum presentations, reporting and individual discussion.
- To oversee and support specialist case reviews as well as conducting thematic reviews and regulatory driven projects as and when required
- To monitor the overall performance of the team in line with second line control assessment activity.
- Review and maintenance of effective systems and controls to ensure cases are reviewed and resolved to a high and consistent standard. Ensure that standards meet FCA regulations and the Group’s compliance standards; conducting test scenarios to demonstrateappropriate controls being applied
- Ensuring that processes for identification and referral of unsuitable advice cases are followed by and promoted within the team.
- Ensuring that accurate, orderly and accessible records of file reviews are maintained.

**The Person**:

- Diploma in Financial Planning (or equivalent
- Worked within an advisory environment and gained a sound knowledge and understanding of mortgage products and the financial services market
- Management experience within an advisory team

  • Head of Compliance

    5 days ago

    Liverpool, United Kingdom Barclay Simpson Full time

    **Head of Compliance**: - Liverpool - £80,000 - £90,000 - Job type: Permanent - Sector: Financial Services - Job reference: NE39503 My client is a motor finance company based in Liverpool. They are looking to hire a compliance manager to report into the current Head of Compliance with a view for this person to succeed the Head of Compliance in due...

  • Senior Solicitor

    2 weeks ago

    Liverpool, United Kingdom School of Creative Thinking Full time

    Senior Solicitor - Regulatory Healthcare Weightmans is a top 40 ranked law firm and we are seeking an Inquest solicitor to join our expanding Regulatory Healthcare Advisory team. The team offers a broad range of expert advice to organisations and individuals in relation to health‑based regulatory matters and proceedings. Our client base includes NHS...

  • Head of Compliance

    4 weeks ago

    liverpool, United Kingdom Consultation Claims Limited Full time

    Job Summary: We are looking for an experienced and dynamic Head of Compliance to oversee and lead our compliance function within a Claims Management environment. The successful candidate will have a proven track record of managing compliance in a highly regulated environment, with extensive knowledge of Financial Conduct Authority (FCA) regulations and a...

  • Head of Compliance

    1 day ago

    Liverpool, United Kingdom Ashdown Group Full time

    A dynamic and customer-focused Claims and Compensation company is seeking an experienced and detail-oriented Head of Compliance to oversee and lead their compliance function. The successful candidate will have a proven track record of managing compliance in a highly regulated environment, with extensive knowledge of Financial Conduct Authority (FCA)...

  • Head of Compliance

    5 days ago

    Liverpool, United Kingdom Ashdown Group Full time

    A dynamic and customer-focused Claims and Compensation company is seeking an experienced and detail-oriented Head of Compliance to oversee and lead their compliance function. The successful candidate will have a proven track record of managing compliance in a highly regulated environment, with extensive knowledge of Financial Conduct Authority (FCA)...

  • Head of Compliance

    4 weeks ago

    Liverpool, United Kingdom Consultation Claims Limited Full time

    Job Summary:We are looking for an experienced and dynamic Head of Compliance to oversee and lead our compliance function within a Claims Management environment. The successful candidate will have a proven track record of managing compliance in a highly regulated environment, with extensive knowledge of Financial Conduct Authority (FCA) regulations and a deep...

  • Head of Compliance

    1 week ago

    Liverpool, United Kingdom Aspire Recruitment Full time

    Head of Compliance Location: Liverpool Office Based Salary: £75,000 Industry: Claims Management / Financial Services Reports To: COO Were hiring for aClaims Management business in Liverpool City Centre who are now looking to appoint an experienced Head of Compliance .Do you have the following skills, experience and drive to succeed in this role Find out...

  • Head of Compliance

    7 days ago

    Liverpool, United Kingdom Aspire Recruitment Full time

    Head of Compliance Location: Liverpool Office Based Salary: £75,000 Industry: Claims Management / Financial Services Reports To: COO Were hiring for aClaims Management business in Liverpool City Centre who are now looking to appoint an experienced Head of Compliance .Do you have the following skills, experience and drive to succeed in this role Find out...

  • Head of Mechanical Services

    5 days ago

    Liverpool, United Kingdom MJ QUINN INTEGRATED SERVICES LTD Full time

    **Working Hours - 8:00- 17:00 (Monday - Friday)** **About The Role** As the Head of Mechanical Services, you will be responsible for overseeing and leading all aspects of the mechanical services department. Your role will encompass strategic planning, team management, project execution, and ensuring the highest standards of quality and efficiency in...

  • Head of Compliance

    6 days ago

    Liverpool, Liverpool, United Kingdom Consultation Claims Limited Full time

    Job Summary:We are looking for an experienced and dynamic Head of Complianceto oversee and lead our compliance function within a Claims Management environment. The successful candidate will have a proven track record of managing compliance in a highly regulated environment, with extensive knowledge ofFinancial Conduct Authority (FCA) regulationsand a deep...