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Compliance officer
Working closely with the CEO you will oversee the entire Compliance Department and be the point of contact for all regulatory queries, you will be expected to update and maintain compliance manual policies and procedures, support the firm's trading activities with the provision of day-to-day compliance guidance and support and to liaise with other office locations to open/close brokerage accounts and to address compliance matters associated with such account-opening/closing.
Group compliance enforcement officer
This role will sit alongside the Group Compliance Monitoring team which has responsibility for the design and operation of a risk-based approached to monitoring of a respected London based wealth manager with regard to their adherence to relevant rules, regulations, codes and internal business standards, policies and procedures. Whilst sitting alongside the Group Compliance Monitoring team, the role will report directly to the Group Chief Executive Officer.
Compliance manager & nominated officer
Peterborough-United KingdomContract : Permanent - Salary : £45000 - £50000The successfulcompliance manager & nominated officerwill join a compliance team in Peterborough. The role primarily involves identifying and mitigating regulatory and reputational risks relating to the business of the group. You should identify new product and business developments and their impact on compliance processes, looking in particular at systems.
Compliance officer
Epsom - South East-United KingdomContract : Permanent - Salary : £23,000 - £25,000 / YearCompliance Officer - Epsom, SurreyTitle: Compliance Officer Needed For A Professional Financial Company Salary: 25000 A rare but very exciting opportunity has arisen for an experienced compliance officer to join.
Compliance officer
Gloucestershire - Welsh Borders-United KingdomContract : Permanent - Salary : £22,000 - £30,000 / Year (benefits)Business Assurance Officer/Assurance Officer/Business Compliance Officer/Compliance Assistant required for one of Gloucestershire's leading companies. Profile: Business Assurance Officer Location: Gloucestershire. Salary £22000 - £30000 per annum. Work experience required: Previous Financial Services experience essential, compliance or business checking experience desirable.
Compliance officer
Stratford upon avon - Midlands-United KingdomContract : PermanentCompliance Officer - Stratford upon Avon, WarwickshireMy client is looking for a Compliance Officer to work in their busy office in Stratford upon Avon.You will be responsible for developing, administering and implementing all aspects of the Company's Compliance Management Program in the UK.
Compliance officer
Farnborough - South East-United KingdomContract : Permanent - Salary : £24,000 - £30,000 / YearCompliance Officer - Farnborough, HampshireCompliance Policy Officer, Hampshire, up to 27k basic plus benefits. The Role You will assist the Compliance Manager in forming Compliance policy, ensuring the provision of effective and appropriate compliance policies, interpretation and approvals.
Compliance officer
Cromer - East Anglia-United KingdomContract : Permanent - Salary : £25,000 - £35,000 / Year (DOE)Compliance Officer - Cromer, NorfolkCompliance OfficerBased in CromerSalary: 25-35k DOEAn experienced compliance professional is required to join a highly skilled team within a well established, multi faceted financial advisory, situated in North Norfolk.
Compliance officer
Alton - South East-United KingdomContract : Permanent - Salary : £25,000 - £28,000 / YearCompliance Officer - Alton, Hampshire, England, HampshireBrief Job descriptionFunctioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization by auditing policies and sales calls. The position ensures the Directors, management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.
Compliance officer
Global Asset / Investment Management Company-London - London-United KingdomContract : Permanent - Salary : £95KWorking closely with the CEO you will oversee the entire Compliance Department and be the point of contact for all regulatory queries, you will be expected to update and maintain.
Compliance officer
Somerset-GBSalary : 60000Compliance Officer – £60,000 - £70,000 – Yeovil – Investment Management *possibility of working between their Yeovil office and their London office*Compliance Officer urgently required! I am looking for an experienced Compliance professional with a background Investment Management to work for my rapidly growing client based in Yeovil.
Group compliance enforcement officer
Major Client-London - London-United KingdomContract : Permanent - Salary : £75K - £85KThis role will sit alongside the Group Compliance Monitoring team which has responsibility for the design and operation of a risk-based approached to monitoring of a respected London based wealth manager with regard to their adherence to relevant rules, regulations, codes and internal business standards, policies and procedures.
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