Jobs
>
Chelmsford

    Ifa Compliance Assistant - Chelmsford, Essex, United Kingdom - Office Angels

    Office Angels
    Office Angels Chelmsford, Essex, United Kingdom

    4 weeks ago

    Office Angels background
    Description
    Are you passionate about ensuring ethical conduct and regulatory adherence in the financial sector?
    If so, we have an exciting opportunity for you to join our client's team as a Compliance Officer.

    As an IFA Compliance Officer, you will be responsible for ensuring that the company adheres to all relevant laws, regulations, and industry standards governing the provision of financial advice.

    You will oversee compliance procedures and protocols to mitigate risks associated with financial advice and ensure the highest level of ethical conduct within the organization.

    Compliance Officer
    Financial Services


    CONTRACT:
    Permanent


    START :

    ASAP

    HOURS:
    Part-time (20 hours per week, flexibility on days)
    Perm salary equivalent - £70,000

    Excellent benefits including on-site parking, monthly and quarterly discretionary bonus, annual performance related bonus, paid overtime, social events such as summer BBQ's and Christmas parties, career progression opportunities.

    Develop, implement, and maintain compliance policies and procedures in line with regulatory requirements and industry best practices.

    Stay abreast of changes in financial regulations and ensure that the company's practices and procedures remain compliant with applicable laws and regulations.

    Conduct regular audits and reviews of internal processes to identify areas of potential risk or non-compliance and develop strategies to address them.

    Provide training and guidance to staff members on compliance-related matters to ensure a thorough understanding of regulatory requirements and ethical standards.

    Manage the complaints handling process, ensuring timely and appropriate resolution of client complaints in accordance with regulatory requirements.
    Prepare and submit regulatory reports and filings as required by relevant authorities, ensuring accuracy and timeliness.

    Serve as the primary point of contact for regulatory inquiries and inspections, maintaining open communication and cooperation with regulatory authorities.

    Identify and assess potential compliance risks to the business and implement strategies to mitigate those risks effectively.

    Collaborate with other departments, such as legal, risk management, and operations, to address compliance issues and promote a culture of compliance throughout the organization.

    Liaise with Third party on bi-annual visits / audits.
    Experience working in a Compliance role within an IFA.
    Level 4 Diploma in Financial Planning or equivalent.

    Strong analytical and problem-solving skills, with the ability to interpret complex regulatory requirements and apply them to practical business situations.

    Excellent communication and interpersonal skills, with the ability to effectively communicate compliance requirements and influence stakeholders at all levels of the organization.

    Proficiency in relevant software applications and tools used for compliance monitoring and reporting.

    Office Angels acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers.

    Office Angels UK is an Equal Opportunities Employer.
    By applying for this role your details will be submitted to Office Angels. Our Candidate Privacy Information Statement explaining how we will use your information is available on our website.
    #
  • Coast Specialist Recruitment

    Compliance Assistant

    2 weeks ago

    Coast Specialist Recruitment Wickford, United Kingdom

    **An excellent new Compliance Assistant opportunity has arisen within a long established specialist Lender.** · The role is fully office based · **Key Responsibilities**: · - Directly assisting the Compliance Manager in the execution of their regular and ad hoc duties · - Providi ...

  • Animo Associates Limited

    Compliance Assistant

    1 week ago

    Animo Associates Limited Wickford, United Kingdom

    **1.** **Job Purpose** · Verifying and vetting clients through the onboarding process to ensure we are staying within the regulatory guidelines and minimising risk to the company. Carrying out ongoing monitoring for all clients to ensure good compliance procedures. · **2.** **Rol ...

  • Ryder Reid Legal

    Compliance Assistant

    2 weeks ago

    Ryder Reid Legal London, United Kingdom

    Job Reference: JO · - Date Posted: 22 February 2023 · - Recruiter: Ryder Reid Legal · - Location: London · - Salary: On Application · - Sector: Risk & Compliance · - Job Type: Permanent · - Work Hours: Full Time · We are recruiting on a brand new opportunity for a Compliance Ass ...

  • Pure Resourcing Limited

    Compliance Assistant

    1 week ago

    Pure Resourcing Limited Gravesend, United Kingdom

    **Compliance Assistant - Kent** · Our client is one of the fastest growing P2P lenders in the Property Finance market, specialising with Bridging and Development Finance loans. · Due to continued growth, they are in search for a Compliance Assistant to join their thriving team. A ...

  • Beazley

    Compliance Assistant

    1 week ago

    Beazley London, United Kingdom

    **Job Title**:Compliance Assistant** · **Division**: Compliance · *** · **Reports To**: As per Beazley organisation chart · *** · **Key Relationships**:UK & RoW Compliance Team, UK & RoW Head of Compliance, Head of Financial Crime, Head of Cross Border, Global Head of Compliance, ...

  • Larbey Evans

    Compliance Assistant

    2 weeks ago

    Larbey Evans City of London, United Kingdom

    Our client is a leading global law firm - they are now looking to recruit a Risk, Compliance & Conflicts Assistant to join their Risk & Compliance team in London. · You will be assisting the the Risk, Compliance & Conflicts and Risk Legal teams globally in providing practice supp ...

  • Ryder Reid Legal Ltd

    Compliance Assistant

    1 week ago

    Ryder Reid Legal Ltd London, United Kingdom

    We are recruiting on a brand new opportunity for a Compliance Assistant to join the Compliance team of an amazing international law firm who are based in the city. · Duties and Responsibilities will include: · - Develop and maintain an understanding of the Firm's AML/CTF complian ...

  • OPR Associates Limited

    Compliance Assistant

    1 week ago

    OPR Associates Limited South Ockendon, United Kingdom

    Compliance Assistant is required due to business growth of our client, so its an excellent time to come on broad. · Role purpose: As a Compliance Assistant you will assist and support the Compliance Manager to ensure that all activities are carried out within compliance. You will ...

  • Eames Consulting

    Compliance Assistant

    1 week ago

    Eames Consulting London, United Kingdom

    **Job Details**: · **Sector**: Financial Services- · **Location**: London- · **Job Ref**: JR1608_ · **Job Type**: Fixed Term Contract- · **Salary**: Up to £55000 per annum- · **Contact**: James Rogers- · **Duration**: 6 months FTCMy Insurance client is urgently seeking a complia ...

  • MillTechFX

    Compliance Assistant

    2 weeks ago

    MillTechFX London, United Kingdom

    **Position**:Compliance Assistant · **Line Manager/Reports to**:Compliance Function Line Manager · **Education Level**:Graduate/Entry Level · **Overview · This role is a fantastic opportunity to start your Compliance career if you are an enthusiastic, self-motivated, inquisitive ...

  • Bindmans

    Compliance Assistant

    2 weeks ago

    Bindmans London, United Kingdom

    Fantastic opportunity for a detail oriented compliance assistant with a passion for excellence and best practice to join our team. The role will involve working closely with the compliance officer, within a small team, with broad responsibilities, across a variety of stakeholders ...

  • Fram Search

    Compliance Assistant

    3 weeks ago

    Fram Search London, United Kingdom

    Hybrid working · - Small-to-mid sized team · - Varied role · Our client is a very successful boutique asset manager with a significant level of AuM. They are a small-to-mid sized team and they are keen to hire a Compliance Assistant. · As a smaller team, duties will be varied but ...

  • TIME Appointments Ltd

    Compliance Assistant

    1 week ago

    TIME Appointments Ltd Romford, United Kingdom

    Time Appointments are excited to be working on behalf of a leading company in the Romford region If you are an outgoing, driven and enthusiastic individual looking to become part of a new forward thinking business then this is the company for you · The role is for a Compliance As ...

  • Nouvita

    Compliance Assistant

    1 week ago

    Nouvita Hatfield, United Kingdom

    **About The Role**: · We are seeking a Compliance Assistant to support the senior management team with day to day tasks at our head office in Hatfield. Your focus will be on compliance, quality and continuous improvement - you'll be instrumental in ensuring that our performance s ...

  • Amdas

    Compliance Assistant

    2 weeks ago

    Amdas London, United Kingdom

    An opportunity has arisen for a Compliance Assistant to join a corporate compliance team for one of the world's largest research companies. Starting early Jan 2024 · You will be supporting the business's research projects and assisting with the day-to-day administration duties wi ...

  • Wise May

    Compliance Assistant

    1 week ago

    Wise May London, United Kingdom

    **Wise May are looking for a Compliance Assistant to join a busy international Insurance business in the City.** · **You will be a bit part of the Compliance team in the execution of their duties, and in particular duties concerning the oversight and management of Delegated Autho ...

  • Hantec Markets

    Compliance Assistant

    2 weeks ago

    Hantec Markets London, United Kingdom

    We are currently looking for a responsible and diligent individual to join our Compliance department in London. · **About Hantec Markets** · We are a regulated financial broker based in London with a large global presence, with offices in 12 countries and continued expansion plan ...

  • Savills

    Compliance Assistant

    2 weeks ago

    Savills London, United Kingdom

    **Role Overview** · To provide compliance related administrative support to a dynamic, fast paced and growing department. Primarily being the key liaison between the auctions team and all counter parties e.g. answering telephone queries from prospective buyers, registration of bi ...

  • Ryder Reid Legal

    Compliance Assistant

    3 weeks ago

    Ryder Reid Legal London, United Kingdom

    Job Reference: JO · - Date Posted: 13 April 2023 · - Recruiter: Ryder Reid Legal · - Location: London · - Salary: On Application · - Sector: Risk & Compliance · - Job Type: Permanent · - Work Hours: Full Time · We have an amazing opportunity for a Compliance Assistant to join th ...

  • Savills

    Compliance Assistant

    2 weeks ago

    Savills London, United Kingdom

    **Role Overview** · To provide compliance related administrative support to a dynamic, fast paced and growing department. Primarily being the key liaison between the auctions team and all counter parties e.g. answering telephone queries from prospective buyers, registration of bi ...