Compliance

This role is to review, approve and proactively develop member communications and material in line with FCA and TCF principles and the company’s policy and framework. You will deliver a world-class broker experience in supporting brokers and internal customers in achieving their objectives in a compliant and effective manner. The Opportunity To review, approve and […]

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 the […]

  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 […]

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 […]

A leading national financial services firm who specialise in providing guidance and education for workplace savings and benefits are looking to add to the team in their Bristol office. They have a strong reputation and are expanding at an impressive rate currently by offering their clients a top-quality service to allow them to make the […]

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 […]

The Client: My client is a highly reputable financial planning network that pride themselves on the personal touch that they provide their clients. They offer tailored financial solutions on a range of financial products for both private and corporate clients. The firm have an excellent staff retention rate and boast a fantastic working environment to go along with a competitive […]