Compliance Associate with Leading Asset Management Firm, City of London

Compliance Associate vacancy available with this well established asset management firm, based in the City of London

Salary to £55k

Our client provides financial services for private individuals and institutional clients and their advisers; offering a wide range of investment management, trust, banking, advisory, educational and administrative services to clients. They offer professional, high quality services delivered by specialists via personal one-to-one relationships. Their services have been developed over many years in line with client needs and their commitment is to service, developing and maintaining strong, lasting and mutually beneficial relationships with clients and their conservative approach are fundamental to their proposition.

For further details and to apply for this position, please click here.

Financial Services Compliance Vacancies at IFA Life Jobs

IFA Life Jobs currently has a large number of financial services Compliance vacancies at all levels of seniority, located throughout the country.  To view more details please click here.

Compliance Officer, Leeds

Financial Services Compliance vacancy in Leeds. Our Client is a well recognised IFA Organisation and based in Central Leeds. They are now looking to meet with an experienced Compliance Officer. 

Purpose of the Role:
•To provide support to the Compliance Director with the cultural integration, management and development of the compliance department’s profile within the business. 
•To maintain and develop procedures to show adherence with the principles and the rules of the FSA, and which promote the concept of "Treating Customers Fairly" across the Group. 
•To provide guidance and support to Advisers, Sales Managers and Directors to ensure close adherence to compliance, training and competence and anti-money laundering procedures.

Principle Accountabilities:
•Oversee the regular monitoring of adviser’s client files by an external consultant to ensure the remedial action is correctly documented. 
•Review financial promotions and stationery.
•Assist in the interpretation of current regulations and act as a business enabler.
•Manage and develop risk based monitoring of advisers including KPIs, CPD and file reviews.
•Assist in the implementation of TCF across the group.
•Visit the regional branches of the Group on an ad hoc basis to conduct audits, and ensure compliance with FSA regulations, whilst inspiring a positive compliance culture.
•Provide support in the induction process for new employees to include ensuring the necessary regulatory approvals are in place, training undertaken and written declarations received and documented. 
•Assist with the resolution of complaints.
•As part of a small compliance team other compliance duties and project work will be undertaken, as required.

Experience Required:
•A good understanding/working knowledge of the FSA Handbook and the Anti-money laundering guidance. 
•The ability to prioritise own workload, be self-motivated, organised and disciplined.
•Able to work as part of a team, but also be comfortable working in isolation, as necessary.
•Strong interpersonal and communication skills at all levels.
•Experience of working in an "adviser-facing" role is desirable.
•Has the ability to understand the business needs of a growing firm of independent financial advisers.
•Has good IT skills, in particular Word, Excel and Outlook.

Qualifications:

* Minimum requirement is FPC qualified.

There is also a Discretionary Bonus Payable along with a Benefits Package.

To apply for this position, please click here.

Financial Services Compliance Vacancy: Business Development Associates, Nationwide

Financial Services Compliance company, CEI Compliance, are looking for Business Development Compliance Associates to join them, based nationwide.

CEI Compliance have been expanding recently and now need an entrepreneurial Business Development Associate to sell compliance consultancy services to financial services institutions.

May suit a part time position, return to work or other business type but must be able to generate own leads, understand the compliance offering and have a broad regulatory knowledge across many disciplines from investment banking to IFA and  retail banking to M&A.

To apply or to enquire further please click here.

National Compliance Director, Manchester £80k - £100k

Our Client is currently looking to recruit a National Compliance Director to join their Business.

The post holder will be the CF10 – Compliance Oversight and attend statutory board meetings, working with the operations board to provide guidance on FSA regulatory matters and internal business process and procedures to help deliver Senior Management, Systems and Controls. He/she will be responsible for the strategy, planning and development of the internal compliance and risk management of the whole business.

For full details of this exciting opportunity and to Apply, please click here.

Calling All Compliance Professionals!

Financial Services Compliance professionals are very much in demand at the moment with IFA Life Jobs seeing a large increase in the number of Compliance vacancies being advertised.  We would very much like Compliance professionals of all levels of experience to contact us and register their CV if they are considering a job move and look at the roles available and to apply for any that may be of interest.

IFA Life Jobs - Compliance Vacancies Nationwide

Search and Apply for the latest Financial Services Compliance jobs at IFA Life Jobs. Compliance roles encompassing all levels of experience and in all areas of the UK. Register your CV today and find your next Compliance job with IFA Life Jobs.

IFA Life Jobs - Compliance Jobs

IFA Life Jobs has seen a great number of Compliance positions recently added to the site, including

Head of Compliance, Birmingham, Compliance Associates, Nationwide and Senior Compliance Manager, London.

To see full details of these vacancies and the other Compliance postions, and to apply for any of the roles please click here.

Head of Compliance, Birmingham

This is a fantastic opportunity to join one of the largest Financial Service Networks in the UK in a critical role; Head of Compliance, based in Birmingham with a salary of £50,000 to £65,000 plus benefits. The role is to ensure that the organisation’s compliance function works effectively and efficiently whilst becoming part of its operating culture thus supporting the business in terms of growth and success. You must: Work closely with other managers and senior leadership to develop and implement compliance measures. Ensure that current and future practice meets the organisation’s requirements. Help create strong communication channels. Set out clear frameworks, policies and procedures. Develop and implement a risk based compliance monitoring system. Ensure that appropriate plans are created and implemented to meet the development and training needs of staff. Knowledge: Experience of FSA rules and regulations with particular focus on retail distribution review Extensive knowledge and experience of working with a business compliance function Broad commercial awareness of regulation within the financial services industry Knowledge and experience of rules and regulations relating to networks The successful candidate will have significant experience in a senior compliance, or risk management role within an FSA regulated environment and full FPC/CF. Having a relevant Diploma would be a distinct advantage. To apply for this exciting role please click through to the IFA Life Jobs page here.