Compliance

  • Displaying 5 jobs of 5

Business Operations and Risk Management Support

Location Cambridge
Salary £22,000 - £24,000 Per Annum
Type Permanent
Ref 53546

Our client is a highly respected IFA that truly puts the client’s best interest at the heart of everything they do. You will be working for a company where quality comes first, and hard work is rewarded.   The Opportunity In this new role you will be co-ordinating the Business Operations Schedule (BOS) and working […]

Head of Compliance

Location Warwick
Salary £18,000 - £100,000 Per Annum
Type Permanent
Ref 53449

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 […]

Senior T&C Supervisor

Location London
Salary £45,000 - £55,000 Per Annum
Type Permanent
Ref 53167

  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 […]

Training & Competence Officer (9 Month FTC)

Location Farnborough
Salary £40,000 - £45,000 Per Annum
Type Permanent
Ref 52066

Our Client, a multi-award winning financial services practice, is currently seeking a Compliance Professional to join their Compliance Department during a period of expansion within the business.   The Opportunity   This is a fantastic opportunity for a T&C Officer to join an award winning financial planning practice and build on their knowledge in this […]

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 […]