Compliance

Compliance Assistant / Compliance Officer / Compliance Analyst / Compliance Administrator  An excellent client of ours are looking for a compliance officer on a 1 year contract, covering maternity in their Birmingham office, start date ASAP.  Experience required as follows;  T&C  file review auditing risk management/assessment FCA reporting level 4 diploma in financial planning – […]

Compliance Officer / Compliance Analyst / Compliance Executive / File Reviewer / Risk Analyst An excellent client of mine is looking for a compliance generalist to assist the firm's compliance function with file reviews, AML and monitoring.  Experience Required as follows;   AML checks Preparing and reviewing business compliance KPIs FCA reporting  Regular reviews and […]

My client is a highly reputable financial services group that prides themselves on the personal touch that they provide their clients. They provide tailored financial advice on a range of financial products for both private and corporate clients. The firm have an excellent staff retention rate and have a comprehensive benefits package to go along […]

The opportunity for an experienced compliance professional to join an international pensions provider, who manage over £2 billion assets. The Opportunity   Our client is looking for an experienced compliance professional to assist with overseeing the day to day compliance function within the business. You will have the opportunity to work autonomously whilst working within a small team […]

My client is a highly reputable financial planning practice that prides themselves on the personal touch that they provide their clients. They provide tailored financial advice on a range of financial products for both private and corporate clients. The firm have an excellent staff retention rate and have a comprehensive benefits package to go along […]

The opportunity for an experienced risk analyst to join an expanding national IFA group who offer bespoke, independent advice to their clients.    The Opportunity   Our client is looking for an experienced Risk Analyst to deliver the function’s File Review Service to Directly Authorised IFA firms. You will have the opportunity to work autonomously whilst working within a small team […]

The opportunity for an experienced compliance professional to join a national IFA group in Harrogate who provide exemplary wealth advice to their clients.    The Opportunity   Our client is looking for an experienced Compliance Manager to join the compliance team to assist the management of the compliance function. The firm is offering immediate responsibility, where you will have […]

The opportunity for an experienced compliance professional to join a chartered IFA practice in Chester who provide exemplary wealth advice to their clients.    The Opportunity   Our client is looking for an experienced Compliance Manager to join the compliance team to assist the management of the compliance function. The firm is offering immediate responsibility, being assigned […]

A brilliant opportunity has arisen for a senior compliance professional to join a well-established wealth management group in London, who pride themselves on maintaining long-lasting relationships with their business partners and clients by providing them with a professional, friendly and personalised service. You will be working within a friendly environment and provided with full support and […]

A holistic/client focused IFA firm who are growing rapidly and focus on providing holistic strategic financial planning and global investment advice to their clients. They are recognised for going ‘above and beyond’ in the service they provide and only look to take on the best talent in the market. Working in a small, open plan office, […]