Compliance Officer

An Award winning Investment firm is searching for a CASS Oversight Officer to lead their CASS Office.Location is flexible, with regular travel to head office required.The role offers:A great company culture, friendly and approachable, that has survived significant organic growth!Lots of exposure and visibility within a flat structureThe opportunity to coach,...

Compliance Officer/File CheckernPermanentnNewcastlenCompetitive SalaryAs a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.Responsibilities:Ensure client files are in compliance with regulatory standards and internal policiesnFiles submitted and checked via in house back office...

Job Description Compliance Officer/File Checker Permanent Newcastle Competitive Salary As a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers. Responsibilities: Ensure client files are in compliance with regulatory standards and internal policies Files submitted and checked via in...

Job DescriptionCompliance Officer/File CheckerPermanentNewcastleCompetitive SalaryAs a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.Responsibilities:Ensure client files are in compliance with regulatory standards and internal policiesFiles submitted and checked via in house back...

Compliance OfficerNewcastleSalary £31,000 + BonusOur client is looking for a Compliance Officer to review cases completed by their Financial Advice team.This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided.Role...

Compliance OfficernNewcastlenSalary £31,000 + BonusOur client is looking for a Compliance Officer to review cases completed by their Financial Advice team.This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided.Role...

Job DescriptionCompliance OfficerNewcastleSalary £31,000 + BonusOur client is looking for a Compliance Officer to review cases completed by their Financial Advice team.This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be...

Duties: Develop and implement compliance policies and procedures Conduct internal audits to assess adherence to regulations Monitor and report on compliance issues Collaborate with departments to ensure alignment with regulations Provide guidance on compliance matters to staff members Keep abreast of regulatory developments and industry best practices...

Our client is looking for a Compliance Officer to review cases completed by their Financial Advice team. This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided. Role Responsibilities: Ensure client files are in...

Our client is looking for a Compliance Officer to review cases completed by their Financial Advice team.This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided.Role Responsibilities:Ensure client files are in compliance...

Practice Group / Department:Risk & Compliance - NewcastleJob Description:We're Norton Rose Fulbright - a global law firm with over 50 offices and 7,000 employees worldwide.We provide the world's preeminent corporations and financial institutions with a full business law service.As well as the relevant skills and experience, we're looking for people who are...

We're Norton Rose Fulbright - a global law firm with over 50 offices and 7,000 employees worldwide.Our Newcastle office is currently recruiting for a Risk and Compliance Officer. As well as the relevant skills and experience, we're looking for people who are innovative, commercial and value the work that they do. We celebratemultiple approaches and points of...

Monitor and assist the business to manage change:Proactively monitor and review regulatory developments on a weekly basis, making initial assessments and producing summaries. Provide technical advice and guidance on compliance matters. Maintain a detailed regulatory change road map with the business, identifying key workstreams, actions required, solutions...

This Newcastle Upon Tyne based manufacturing business with a global presence, is looking to recruit a Head of Compliance and Data Protection Officer. A great opportunity to lead on corporate compliance with a major household name brand.In this exciting new role, you will be working across all things compliance including taking on the role of the DPO, and so...

Recruit UK are working on an excellent opportunity for a Paraplanner in Newcastle-Upon-Tyne to join a well-established Wealth Management firm who deal with high net worth private individuals and corporate clients. They have a strong presence in the area and are expanding their IFA services through growth across the North East.They are actively seeking a...

Job SummaryAs an Infrastructure Manager in the IT department, you will have primary responsibility for overseeing and enhancing the WAN, LAN, SAN, and VOIP platforms. You will be tasked with developing and implementing cost-effective Infrastructure and Security strategies that align with business needs. Additionally, you will manage the Infrastructure Team...

Lowes Group of CompaniesJob DescriptionJob type: Full time, Permanent Department: Business UnitPost Title: Financial Planning AdministratorReports to: Head of Business Unitand to: Business ManagerJob purpose: The role of the Financial Planning Administrator is to provide administrative support to advisers with regards to the financial planning process. This...

ABOUT THE ROLE The selected candidates will join a dedicated team and help with conducting source of income/funds verifications and affordability assessments, among other tasks, for our highest value customers The candidate will also be part of the larger AML team and will help in ensuring that AML operations are conducted efficiently and proactively...

Finli are a nationwide financial services provider that helps our clients live their best financial lives. We aim to deliver a fresh approach to financial advice. We do this by combining a people-first perspective with innovative financial tools. This helps our clients feel empowered on their path to prosperity.We're looking for an experienced...

The OpportunityI am delighted to be working with an award winning, national software product business who have developed a suite of products used by a global customer base. With an excellent company culture they are seeking an experienced Head of PMO to lead their Project Management Office. Reporting to the Director of Technology & Engineering, you will be a...