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Showing posts with label financial services compliance jobs. Show all posts
Showing posts with label financial services compliance jobs. Show all posts
Thursday, 12 May 2011
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.
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.
* 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.
Thursday, 5 May 2011
Financial Services Compliance Vacancy: Past Business Review Project Manager, Leeds
Financial Services firm in Leeds has a Compliance vacancy for a Past Business Review Project Manager.
Our Client is well known within the Financial Services Industry. They are looking to meet with a Compliance Professional who posesses good all-round Financial Services experience with good product knowledge and who also has experience gained in a similar project.
Job Purpose:
The Project Manager is responsible for managing the implementation of and the delivery of Our Clients PBR in line with the FSA Expectations. Taking into account the principles of Treating Customers Fairly and with due regard to the requirements of Executive and Board Members in delivering this project with the specified timeframes agreed.
Scope:
The PBR will be on a risk based approach and the purpose of the Project will be to consider the assessment of the suitability of advice and compliance with regulatory standards, with specific focus on the 'Unsuitable Outcomes’ highlighted by the FSA. Should any 'Unsuitable’ cases be identified these will be fully investigated and analysed as to whether clients have suffered financial loss as a result.
Key Responsibilities:Knowledge, Skills and Experience:
•Manages internal and external client expectations for multiple or large-scale projects
•Continually seizes opportunities to engage with Senior Management and other areas of the firm in respect of updating the business on Past Business Reviews.
•Ensure compliance with contract scope, terms and conditions and successfully managed scope and scope changes Internal Operations
•Recognises areas for internal improvement and develops plans for implementation
•Possess excellent communication and interpersonal skills
•Facilitate timely decisions to maintain project commitments and manage expectations
•Maintain trusted relationships
•Identify project risks early and provide timely recommendations for risk avoidance
•Maintain complete control of project scope, schedule, resources, risk and issues
•Financial Planning Certificates 1, 2 & 3 (CF 1-5)
Interested Candidates should submit their CV in Confidence by clicking here.
Our Client is well known within the Financial Services Industry. They are looking to meet with a Compliance Professional who posesses good all-round Financial Services experience with good product knowledge and who also has experience gained in a similar project.
Job Purpose:
The Project Manager is responsible for managing the implementation of and the delivery of Our Clients PBR in line with the FSA Expectations. Taking into account the principles of Treating Customers Fairly and with due regard to the requirements of Executive and Board Members in delivering this project with the specified timeframes agreed.
Scope:
The PBR will be on a risk based approach and the purpose of the Project will be to consider the assessment of the suitability of advice and compliance with regulatory standards, with specific focus on the 'Unsuitable Outcomes’ highlighted by the FSA. Should any 'Unsuitable’ cases be identified these will be fully investigated and analysed as to whether clients have suffered financial loss as a result.
Key Responsibilities:Knowledge, Skills and Experience:
•Manages internal and external client expectations for multiple or large-scale projects
•Continually seizes opportunities to engage with Senior Management and other areas of the firm in respect of updating the business on Past Business Reviews.
•Ensure compliance with contract scope, terms and conditions and successfully managed scope and scope changes Internal Operations
•Recognises areas for internal improvement and develops plans for implementation
•Possess excellent communication and interpersonal skills
•Facilitate timely decisions to maintain project commitments and manage expectations
•Maintain trusted relationships
•Identify project risks early and provide timely recommendations for risk avoidance
•Maintain complete control of project scope, schedule, resources, risk and issues
•Financial Planning Certificates 1, 2 & 3 (CF 1-5)
Interested Candidates should submit their CV in Confidence by clicking here.
Financial Services Vacancy: T&C Supervisor, Reigate, Surrey
Financial Services Vacancy: T&C Supervisor, Reigate, Surrey. Our Client is well known to the IFA / Financial Services Market. They are now looking to meet with an experienced Field T & C Supervisor who is used to dealing with IFA's to cover the Surrey Region.
The ideal Candidate will reside around the Reigate Area, although Candidates living anywhere within the Surrey Region will also be considered.
Purpose Of The Role:
The ideal Candidate will reside around the Reigate Area, although Candidates living anywhere within the Surrey Region will also be considered.
Purpose Of The Role:
* To deliver core service visits incorporating TCF support and cultural assessment visits within a flexible and defined geographical area.
* To provide practical supervision support to all RI's under Our Clients Umbrella, frequency based on Risk.
* To conduct visits to larger firms (10 + RI’s) in line with a defined and agreed supervision programme within a flexible and defined geographical area
* To conduct TCF & Site audit visits to firms in line with Our Clients operational plan and in conjunction with thier desk based account management team
Critical Skills Required:
* Good Interpersonal skills with the ability to build strong working relationships
* Ability to negotiate and influence principals and advisers within customer firms
* Ability to plan, manage and maximise use of own time and effectiveness
* Willingness to work in a team as well as on own initiative
* Ability to problem solve
* Ability to maintain and exceed very high standards of performance and activity
Critical Knowledge Required:
* Good understanding of the requirements of the Retail Distribution review and its impact to Our Clients Customers.
* Knowledge of Compliance and T & C schemes
* Up to date industry knowledge through CPD and other activity
Qualifications Required:
Essential:
* FPC (or Equivilant)
* Diploma in Financial Services by December 2012 (including CeMap)
* Used to working in a Similar Role
* IT literate
* Driving Licence
There is also a Bonus & Car Allowance Scheme available along with good benefits.
* To provide practical supervision support to all RI's under Our Clients Umbrella, frequency based on Risk.
* To conduct visits to larger firms (10 + RI’s) in line with a defined and agreed supervision programme within a flexible and defined geographical area
* To conduct TCF & Site audit visits to firms in line with Our Clients operational plan and in conjunction with thier desk based account management team
Critical Skills Required:
* Good Interpersonal skills with the ability to build strong working relationships
* Ability to negotiate and influence principals and advisers within customer firms
* Ability to plan, manage and maximise use of own time and effectiveness
* Willingness to work in a team as well as on own initiative
* Ability to problem solve
* Ability to maintain and exceed very high standards of performance and activity
Critical Knowledge Required:
* Good understanding of the requirements of the Retail Distribution review and its impact to Our Clients Customers.
* Knowledge of Compliance and T & C schemes
* Up to date industry knowledge through CPD and other activity
Qualifications Required:
Essential:
* FPC (or Equivilant)
* Diploma in Financial Services by December 2012 (including CeMap)
* Used to working in a Similar Role
* IT literate
* Driving Licence
There is also a Bonus & Car Allowance Scheme available along with good benefits.
To apply for this position please click here.
Financial Services Vacancy: T&C Supervisor, London and Essex Region
Financial Services Vacancy: T&C Supervisor, Essex and London. Our Client is well known to the IFA / Financial Services Market. They are now looking to meet with an experienced Field T & C Supervisor who is used to dealing with IFA's to cover the Central/East London and West Essex Region.
The ideal Candidate will reside around the Brentwood Area, although Candidates living anywhere within the West Essex Region will also be considered.
Purpose Of The Role:
* To deliver core service visits incorporating TCF support and cultural assessment visits within a flexible and defined geographical area.
* To provide practical supervision support to all RI's under Our Clients Umbrella, frequency based on Risk.
* To conduct visits to larger firms (10 + RI’s) in line with a defined and agreed supervision programme within a flexible and defined geographical area
* To conduct TCF & Site audit visits to firms in line with Our Clients operational plan and in conjunction with thier desk based account management team
Critical Skills Required:
* Good Interpersonal skills with the ability to build strong working relationships
* Ability to negotiate and influence principals and advisers within customer firms
* Ability to plan, manage and maximise use of own time and effectiveness
* Willingness to work in a team as well as on own initiative
* Ability to problem solve
* Ability to maintain and exceed very high standards of performance and activity
Critical Knowledge Required:
* Good understanding of the requirements of the Retail Distribution review and its impact to Our Clients Customers.
* Knowledge of Compliance and T & C schemes
* Up to date industry knowledge through CPD and other activity
Qualifications Required:
Essential:
* FPC (or Equivilant)
* Diploma in Financial Services by December 2012 (including CeMap)
* Used to working in a Similar Role
* IT literate
* Driving Licence
There is also a Bonus & Car Allowance Scheme available along with Good Benefits.
To apply for this position please click here.
The ideal Candidate will reside around the Brentwood Area, although Candidates living anywhere within the West Essex Region will also be considered.
Purpose Of The Role:
* To deliver core service visits incorporating TCF support and cultural assessment visits within a flexible and defined geographical area.
* To provide practical supervision support to all RI's under Our Clients Umbrella, frequency based on Risk.
* To conduct visits to larger firms (10 + RI’s) in line with a defined and agreed supervision programme within a flexible and defined geographical area
* To conduct TCF & Site audit visits to firms in line with Our Clients operational plan and in conjunction with thier desk based account management team
Critical Skills Required:
* Good Interpersonal skills with the ability to build strong working relationships
* Ability to negotiate and influence principals and advisers within customer firms
* Ability to plan, manage and maximise use of own time and effectiveness
* Willingness to work in a team as well as on own initiative
* Ability to problem solve
* Ability to maintain and exceed very high standards of performance and activity
Critical Knowledge Required:
* Good understanding of the requirements of the Retail Distribution review and its impact to Our Clients Customers.
* Knowledge of Compliance and T & C schemes
* Up to date industry knowledge through CPD and other activity
Qualifications Required:
Essential:
* FPC (or Equivilant)
* Diploma in Financial Services by December 2012 (including CeMap)
* Used to working in a Similar Role
* IT literate
* Driving Licence
There is also a Bonus & Car Allowance Scheme available along with Good Benefits.
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.
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.
Tuesday, 26 April 2011
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.
Sunday, 17 April 2011
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.
Saturday, 16 April 2011
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.
Friday, 15 April 2011
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. |
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