Compliance

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 […]

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 […]

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 […]

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 […]