Compliance

  • Displaying 7 jobs of 7

Quality & Risk Analyst

Location Horsham
Salary £28,000 - £32,000 Per Annum
Type Permanent
Ref 50240

  There is a fantastic opportunity here to for a successful Wealth Management and Compliance based professional, to join a well-established Financial Services Practice in the West Sussex Region. Our Client is a growing practice with a great industry name, focusing on providing a highly personalised financial planning and investment management service with the Client at […]

IFA Compliance Assistant

Location Ferndown
Salary £35,000 - £45,000 Per Annum
Type Permanent
Ref 49900

This is an award-winning boutique firm of independent financial advisers that offer financial planning and portfolio management service to a diverse range of HNW clientele across the UK The Opportunity This is a fantastic opportunity for an experienced Compliance professional to join a friendly and focused team. Your role will be to assist the Compliance […]

IFA Compliance Assistant

Location Fareham
Salary £35,000 - £45,000 Per Annum
Type Permanent
Ref 49899

This is an award-winning boutique firm of independent financial advisers that offer financial planning and portfolio management service to a diverse range of HNW clientele across the UK The Opportunity This is a fantastic opportunity for an experienced Compliance professional to join a friendly and focused team. Your role will be to assist the Compliance […]

Quality Assurance Officer

Location Halifax
Salary £30,000 - £40,000 Per Annum
Type Permanent
Ref 49595

The opportunity for an experienced Quality Assurance Professional to join a national, well-established Financial Advisory firm in their Halifax office who focus on providing a high quality financial planning and investment management service. The Opportunity: The purpose of this role is to contribute to the work of the Compliance Department in delivering SGL’s advice standards and ensure […]

Training & Compliance Supervisor

Location Horsham
Salary £40,000 - £50,000 Per Annum
Type Permanent
Ref 49459

    There is a fantastic opportunity here to for a successful T&C Supervisor to join a well-established Financial Services Practice in the West Sussex Region. Our Client are a growing practice with a great industry name, focus on providing a highly personalised financial planning and investment management service with the Client at the heart […]

Business Quality Officer

Location FARNBOROUGH
Salary £35,000 - £40,000 Per Annum
Type Permanent
Ref 48837

Our Client, a multi-award winning financial services practice, is currently seeking a Compliance Professional to join their Business Quality team due to an increase in Pensions Liability Projects. As a compliance file checker you will be remotely reviewing the suitability and quality of advice given to customers by Consultants representing the business and to ensure that […]

Business Quality Controller

Location BATH
Salary £35,000 - £45,000 Per Annum
Type Permanent
Ref 48146

In this exciting new role you will undertake file reviews and act as a quality filter for all files submitted, in conjunction with the Business Quality Manager, to ensure that the advice provided meets business and regulatory requirements. You will help manage a pre-approval process for High Risk advice areas such as Drawdown, EIS, VCTs […]