Compliance

  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 […]

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 […]

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 […]

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 […]

    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 […]

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 […]

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 […]