9 Compliance Consultant Jobs

COMPLIANCE CONSULTANT - FINANCIAL PLANNING/WEALTH MANAGEMENT SCOTLAND & NORTHERN IRELAND £50,000 + BENEFITS + CAR ALLOWANCE + BONUSES CII LEVEL 4 DIPLOMA IS REQUIRED Our client is an AIM listed Service Provider to many of the UK's leading Financial Advisors. Providing compliance support for over … firms, ranging from large UK wide advisory firms to smaller Investment, Mortgage and Protection businesses. An incredibly exciting opportunity is now available for a Compliance Manager to form them and join part of their Senior Management Team. This is a high-profile role within the business and someone credible … intelligent is required. The main focus of this role will be to lead and manage the Consultancy team. The team provides personal and bespoke compliance support to firms that subscribe to our services. The Compliance consultant will lead by example by delivering excellent compliance support to more »

COMPLIANCE CONSULTANT - FINANCIAL PLANNING/WEALTH MANAGEMENT SCOTLAND & NORTHERN IRELAND £50,000 + BENEFITS + CAR ALLOWANCE + BONUSES CII LEVEL 4 DIPLOMA IS REQUIRED Our client is an AIM listed Service Provider to many of the UK's leading Financial Advisors. Providing compliance support for over … firms, ranging from large UK wide advisory firms to smaller Investment, Mortgage and Protection businesses. An incredibly exciting opportunity is now available for a Compliance Manager to form them and join part of their Senior Management Team. This is a high-profile role within the business and someone credible … intelligent is required. The main focus of this role will be to lead and manage the Consultancy team. The team provides personal and bespoke compliance support to firms that subscribe to our services. The Compliance consultant will lead by example by delivering excellent compliance support to more »

understanding of current market regulatory requirements Knowledge of discretionary investment management desirable Excellent attention to detail and ability to identify errors, discrepancies, and potential compliance risks Be an independent thinker and good team player Possess excellent communication and consultancy skills Operate at client offices or from home Be required … Hold a full UK driving licence and own a suitable vehicle Benefits: Performance bonus Matched pension Private Medical Death in Service Role: A leading compliance consultancy specialising in providing comprehensive solutions to financial institutions and investment firms, are seeking an experienced and motivated Senior Compliance Consultant. This is … a remote role with the individual residing in the Yorkshire area. Possessing expertise in regulatory compliance and risk management, they help clients navigate complex industry requirements and ensure adherence to best practices. The firm values integrity, professionalism and client satisfaction. As a Senior Compliance Consultant, you will more »

Job Title: Senior Compliance Consultant Duration: 6 months (temp to perm opportunity also available) Rate/Salary: £60,000-90,000 annual salary dependent upon experience Location: London based/hybrid working (2-3 days in office per week) The Role: * Support in production and delivery of the … International Compliance priorities and planning * Designing and maintaining the compliance suite of exception reports, thematic reviews and monitoring activities, providing timely information of these activities to the CRCO for reporting at relevant committees * Assessing ongoing compliance with Lloyds Regulatory and Financial Crime Principles, Lloyds Insurance Companys Financial … developments, assess the impact on International via risk assessments and communicating requirements and actions to the business where relevant * Ensure effective collaboration between the Compliance function and other internal governance functions, including Legal, Risk and Internal Audit The Candidate: * 3-5+ years experience in a similar role * Knowledge more »

Internal Compliance Consultant The Role: To support the Cobra Network team meet the regulatory requirements of holding appointed representative status and being part of Group of Companies, some of which are directly authorised by the FCA. To provide support to a team of compliance consultants who provide … with 2LOD assurance reviews and 3LOD internal audit and support the monitoring and closing of key remedial actions, Support and assist the Cobra Network compliance team in the delivery of activities defined in the annual compliance plan, Support the review and update the risk dashboard quarterly, Work with … the business to maintain and update the business continuity plan. Duties to Cobra Network members: Provide relevant MI Produce and update compliance templates Keep the catalogue of templates up to date Help members with connect applications Assist and advise on FCA surveys and other regulatory submissions Keep members updated more »

Associate GRC Consultant We are seeking a technically driven and self-starting graduate to come and join our talented team in London. The role is focused on advising on and configuring world class Integrated Risk Management (IRM) and Governance, Risk and Compliance (GRC) solutions. Working closely with our … by working smarter, not harder, and by integrating risk management across processes, technology and operations. Job DescriptionYoull join the team as an Associate GRC Consultant, and well have you meeting clients and directly involved within the first few weeks. As a graduate, we dont expect you to know much … configure the GRC platforms we work with and the basics of Risk Management, with the options to specialise in other aspects including Cyber Security, Compliance, Business Continuity Management, Audit and more. Key responsibilities Collecting and understanding business requirements required for successful implementations. Finding elegant solutions to difficult technical problems. more »

Purpose of the Role This exciting remote based opportunity has arisen to join our Broker Network Risk & Compliance (R&C) Team. You will provide network members with compliance support through an annual programme of audit and health-check activities, the provision of guidance and support on key regulatory … to a satisfactory conclusion. Provide consultancy guidance and support to members on the key general insurance regulatory requirements through visits and or requests for compliance support, helping to embed a compliant culture within Network members. Report on Network member regulatory activity undertaken, including whether key controls are operating effectively … ICOBS rules and guidance. Qualifications and Experience Extensive knowledge of the FCA and key regulatory regimes applicable to general insurance. Experience of working in compliance consultancy role within a general insurance intermediary. Comprehensive knowledge of best practice in compliance and control frameworks. Demonstrable experience of delivering training. This more »

Associate GRC Consultant We are seeking a technically driven and self-starting graduate to come and join our talented team in London. The role is focused on advising on and configuring world class Integrated Risk Management (IRM) and Governance, Risk and Compliance (GRC) solutions. Working closely with our … working smarter, not harder, and by integrating risk management across processes, technology and operations. Job DescriptionYou’ll join the team as an Associate GRC Consultant, and we’ll have you meeting clients and directly involved within the first few weeks. As a graduate, we don’t expect you to … configure the GRC platforms we work with and the basics of Risk Management, with the options to specialise in other aspects including Cyber Security, Compliance, Business Continuity Management, Audit and more. Key responsibilities Collecting and understanding business requirements required for successful implementations. Finding elegant solutions to difficult technical problems. more »

Our client, a Lloyd's of London Insurance firm are looking for a Conduct Risk Consultant to join their London team. This role is ideal for someone from a strong insurance background with a history in conduct risk and compliance. This is a 12-month fixed term contract, looking … areas across the firm Will be a point of contact with external parties such as Lloyd’s, the FCA and the PRA Assist the Compliance Team to better manage and report on Conduct Risk data Day to day oversight over complaints handling Working on broader compliance tasks Key more »