Compliance

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Compliance Manager

Location Ashby de la Zouch
Salary £45,000 - £50,000 Per Annum
Type Permanent
Ref 55274

The Client: The opportunity for an experienced compliance professional to join an established IFA practice who provide exemplary wealth advice to their clients.    The Opportunity Our client is looking for an experienced Compliance Manager to oversee the day to day compliance function within the IFA. The firm is offering long-term progression into a board-level […]

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 […]