- Carry out file reviews and maintain a log of checks undertaken:
- Check all documentation for completeness and consistency;
- Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
- Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)
- Responsibility for the delivery of the Compliance Monitoring Plan (CMP):
- Completion of scheduled monitoring reviews in a timely manner;
- Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations;
- Produce compliance review reports for Senior Management;
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Compliance Officer
2 weeks ago
Cobalt Housing Liverpool, United Kingdom**Latest Opportunities**: · We are passionate about building thriving communities where people are proud to live and can be their best. It's an exciting time to be joining us as we continue our journey as an independent landlord. · If you are the kind of person who is hard workin ...
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Compliance Officer
2 weeks ago
PayPoint IT Liverpool, United Kingdom**THE ROLE**: · The Compliance Officer will report into the Senior Compliance Officer of PayPoint Plc and form part of an in-house Legal and Compliance team of 9. This is a maternity cover from August February 2024. · **MAIN PURPOSE OF ROLE** · - Form part of a small Compliance F ...
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Compliance Officer
3 weeks ago
Clatterbridge PropCare Services Ltd Liverpool, United KingdomWe are PropCare, a subsidiary of the Clatterbridge Cancer Centre and we are looking to recruit a Compliance Officer to work within our team based at the Clatterbridge Cancer Centre Liverpool. · We are looking for an individual with a can-do attitude who takes pride in their work ...
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Compliance Officer
3 weeks ago
Wirral Council Wirral, United Kingdom**Employer**: Wirral School · - **Salary**: £10,583 · - **Location**: Wirral Grammar School for Girls · - **Contract**: Permanent · - **Working Pattern**: Part Time/Term Time · - **Hours**: 15 hours per week. 39 weeks per year. · - **DBS Check**: Enhanced · - **Closing Date**: 20 ...
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Compliance Officer
2 weeks ago
Outlook Energy Solutions Liverpool, United Kingdom'''Duties''' · - Conduct internal audits to ensure compliance with ECO requirements and policies · - Develop and implement compliance programs and procedures · - Monitor and assess compliance risks and provide recommendations for improvement · - Stay up-to-date with relevant laws ...
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Compliance Officer
3 weeks ago
Wirral Grammar School for Boys Wirral, United KingdomDear Applicant · **Compliance Officer** · Thank you for your interest in the position of Compliance Officer at Wirral Grammar School for Boys. We are looking for an enthusiastic, committed and organised individual who is a team player, enjoys working within a busy environment whe ...
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Compliance Monitoring Officer
4 weeks ago
MB Fitzgerald Merseyside, United Kingdom**Advice Quality Officer - Compliance Monitoring · - Liverpool / Hybrid working - to £40,000 plus Benefits** · MBF have recently picked up an excellent new vacancy working for a National Wealth & Investment Management Organisation, are currently looking to hire an Advice Quality ...
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Senior Compliance Officer
2 weeks ago
Cobalt Housing Liverpool, United Kingdom**Job title**:Senior Compliance Officer (Fire Safety) · **Location**: L11 2SF · To be considered for this role, you will have a strong track record of providing effective contract management to ensure compliance contracts are being delivered in line with our contractual requireme ...
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Senior Compliance Officer
3 weeks ago
The Riverside Group Liverpool, United Kingdom**Job Title: Senior Compliance Officer **( **Mechanical and Electric)** · **Contract Type: Permanent** · **Full time: 35 hours per week** · **Salary: £38.345** · **Working Pattern: Monday to Friday** · **Location: Liverpool/Hybrid · Want to make a real difference to the lives of ...
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Compliance Technical Officer
3 weeks ago
Onward Homes Liverpool, United Kingdom**About the role** · We are looking for a Compliance Technical Officer - Fire & Asbestos - (1 post) to join our Property Services & Delivery team. This role is a home based role, where there is no daily requirement to attend an office with the flexibility to attend as required. · ...
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Compliance Technical Officer
3 weeks ago
Fill My Vacancy Liverpool, United KingdomRegion : Merseyside · About the role · They are looking for a Compliance Technical Officer - Fire & Asbestos - (1 post) to join their Property Services & Delivery team. This role is a home based role, where there is no daily requirement to attend an office with the flexibility to ...
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Compliance and Contracts Officer
3 weeks ago
Liverpool Museums Liverpool, United Kingdom**Location**:Liverpool · **Salary**:£24,405 · **Contract Type**:Permanent · **Position Type**:Full Time · **Closing Date**:Thursday 21 September Noon · - Our people are at the heart of National Museums Liverpool. Colleagues from across the NML team make a difference every day, cr ...
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Compliance Officer
1 week ago
Broster Buchanan Liverpool, United KingdomCarry out file reviews and maintain a log of checks undertaken: · Check all documentation for completeness and consistency; · Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity brok ...
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Senior Compliance Monitoring Officer
3 weeks ago
Diligenta Liverpool, United Kingdom**Salary**: From £40456-£50571 · **Who are Diligenta?**: · Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' ope ...
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Senior Compliance Monitoring Officer
3 weeks ago
Diligenta Liverpool, United Kingdom**Who are Diligenta?** · Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been ...
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Safety, Risk and Compliance Officer
3 weeks ago
University of Liverpool Liverpool, United KingdomThis role offers an exciting opportunity to work within the Faculty of Science and Engineering¿s Compliance and Operations Team. Reporting to the Safety, Risk and Compliance Manager (SRCM) and ultimately responsible to the Faculty Head of Compliance and Operations, your principal ...
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Covert Material Compliance Officer
2 weeks ago
Merseyside police Liverpool, United Kingdom**Covert Material Compliance Officer** · **Force Intelligence Bureau** · **Covert Authorities Bureau** · **Temporary - 12 Months** · **Grade D - £27,789 - £29,874** · **Rose Hill, Headquarters** · Merseyside Police is a dynamic, challenging, rewarding place to work we take pride ...
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HSEQ & Compliance Officer
4 days ago
Beech Group Liverpool, United KingdomCompany Description · Beech Group is a leading multi-disciplinary company with a rich heritage in the sector. Founded in 1963 and based in Wirral, North West England, we offer a wide range of specialist services including demolition, asbestos removal, scaffolding and survey, CDM ...
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Compliance Officer
3 weeks ago
Mersey Care NHS Foundation Trust Prescot, United KingdomThe post holder will support the Temporary Staffing Clinical Nurses on a day to day basis. The role will be to ensure we have high quality bank workers in our trust ready to be placed in a service for temporary cover. As a trust, we expect all our colleagues to maintain all their ...
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Compliance Officer
3 weeks ago
Mersey Care NHS Foundation Trust Prescot, United KingdomFor further information around this role please review the job description and person specification. ...
Compliance Officer - Liverpool, United Kingdom - Broster Buchanan
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