Compliance

My Client is looking for a Head of Compliance to work with them part-time (6 days a month) due to a team member retiring. You would be working as part of a small team in a Warwick-based IFA with a well-established structure in place to support the right person in this role. The firm has a […]

There is a fantastic opportunity here for a successful T&C Supervisor to join a well-established Financial Services Practice in a field/remote based role across the region. They are a growing and reputable practice with a great industry name, who focus on providing a highly personalised financial planning and investment management service with the Client at the heart […]

  There is a fantastic opportunity here for a successful T&C Supervisor to join a well-established Financial Services Practice in a field/remote based role across the region. They are a growing and reputable practice with a great industry name, who focus on providing a highly personalised financial planning and investment management service with the Client at the […]

There is a fantastic opportunity here for a successful T&C Supervisor to join a well-established Financial Services Practice in a field/remote based role across the region. They are a growing and reputable practice with a great industry name, who focus on providing a highly personalised financial planning and investment management service with the Client at the heart […]

  There is a fantastic opportunity here for a successful T&C Supervisor to join a well-established Financial Services Practice in a field/remote based role across the region. They are a growing and reputable practice with a great industry name, who focus on providing a highly personalised financial planning and investment management service with the Client at the […]

Our Client is a highly reputable Financial Planning practice with a strong presence in the North West. They specialise in providing tailored financial advice to private clients across the UK. Due to expansion within the business, the company are looking for a Technical Manager to act as point of contact for technical queries that arise […]

    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 […]

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 […]