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Compliance Officer
2 days ago
Jo Holdsworth Recruitment Leeds, United KingdomAn exciting opportunity has arisen for a self-motivated and personable risk and compliance officer to join a not-for-profit company in Leeds where you will be working closely alongside the head of risk and compliance to create a positive compliance culture. This is a great opport ...
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Compliance Officer
6 days ago
Sensecare Staffing Leeds, United Kingdom**Company Description**: · Sensecare Limited is a limited company registered in England & Wales in December 2013 under company Registration: , by a team of professionals who have years of experience in the healthcare industry. The company is proud to have partnered with theNation ...
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Compliance Officer
1 week ago
CIBT Leeds, United Kingdom**troduction to Newland Chase Education (NCE)** · Newland Chase Education combines the unparalleled global reach of a leading international immigration and visas provider with extensive and specialist expertise in the needs of educational institutions and students. Since 2008, we ...
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Compliance Officer
6 days ago
Flutter Entertainment Leeds, United Kingdom**The role**:We are looking for a Gaming Licence Compliance Officer to join our team in our Leeds office In this role, you will be responsible for the coordination, development, and embedding of the Group's compliance framework within several licensed countries. · This role follo ...
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Compliance Officer
6 days ago
Page Personnel Secretarial & Business Support Leeds, United KingdomMy client are currently recruiting a Compliance Officer due to recent successes, based at their Leeds site. This role will be within the Risk and regulatory team. Essentially, this role will involve analysing opening risk assessments, identifying high riskfactors and challenging/ ...
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Compliance Officer
6 days ago
DAC Beachcroft Leeds, United KingdomJob Introduction · The individual will provide support and assistance to colleagues in our international offices - working on a wide range of international topics, including but not limited to: (i) financial crime, (ii) anti-money laundering, (iii) new client acceptance, (iv) hor ...
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Compliance Officer
1 week ago
Redmayne Bentley Leeds, United Kingdom**Hours per Week** · 37.5 · **Work Pattern** · 8.30am - 5.00pm (Monday-Friday) · **Client Facing** · Yes · **Seniority** · Specialist · Redmayne Bentley's Compliance Monitoring Officers are involved in vital work ensuring that the Firm fulfils all FCA requirements and maintains r ...
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Legal & Compliance Officer
1 week ago
GT Stewart Solicitors Leeds, United Kingdom**LEGAL & COMPLIANCE OFFICER** · **Terms of employment** · - Full or part time · - Hybrid working · - Leeds office based · - Ensure the firm complies with all relevant statutory laws and regulations, internal policies and procedures. · - Manage the firm's Lexcel Accreditation Aud ...
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Compliance Monitoring Officer
1 day ago
LifeSearch Leeds, United KingdomThe Compliance Monitoring Officer is a brand new role for LifeSearch ensuring that we, and our Appointed Representatives, continue to meet all regulatory requirements. · Responsible for undertaking compliance monitoring reviews and assisting with the delivery of recommendations. ...
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Compliance Support Officer
6 days ago
1st Locate Uk Ltd Leeds, United Kingdom**Role**:Compliance Support Officer · **Salary**:£30-35,000.00 pa · **Location**:Colton, Leeds (Office Based) · **Full Time**: 35 hours per week · We are seeking a diligent and detail-oriented Compliance Support Officer to join our Leeds operation. As a Compliance Support Officer ...
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Quality & Compliance Officer
1 week ago
Servisource Healthcare Leeds, United KingdomResponsible for the development of departmental policies and procedures to assure applicable regulatory requirements are fulfilled. Ensure staff receive appropriate regulatory training and mentoring to enable the execution of regulatory responsibilities. Responsible for the devel ...
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Waste Compliance Officer
2 days ago
Leeds Teaching Hospitals Leeds, United KingdomPRINCIPAL DUTIES & AREAS OF RESPONSIBILITY To manage the Estates & Facilities waste assurance processes. To complete waste audits of clinical teams trust wide using the relevant auditing software. To provide initial feedback verbally and then To complete waste audits of the waste ...
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Compliance Monitoring Officer
1 week ago
Equiniti Leeds, United KingdomEquiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 5,700 employees, it supports 37 million people in 120 countries. EQ's purpose is to care for every customer and simplify every transaction,delivered with less of an ...
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Compliance & Recruitment Officer
3 days ago
Caremark Leeds, United KingdomAre you driven and passionate about delivering excellent care and support in your local community? · If yes, then we have an opportunity for you to play a pivotal role and make this happen. · This is a very unique and exciting opportunity for an experienced **assistant care manag ...
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Driver and Vehicle Standards Agency Leeds, United Kingdom**Details**: · **Reference number**: · **Salary**: · - £22,497**Job grade**: · - Administrative Officer**Contract type**: · - Fixed Term · - Loan**Length of employment**: · - Up to 2 years, with the possibility of permanency**Business area**: · - DVSA - Enforcement**Type of role* ...
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Compliance Officer
6 days ago
Lotus Home Care Yorkshire, United Kingdom**About us** Here at Lotus Home Care are an award winning care provider who offer a friendly and compassionate premium home care service. Our skilled team provide personalised care and assistance at home to the elderly. Our fundamental ethos is to provide Home Care With Love to o ...
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Quality and Compliance Officer
6 days ago
Clearanswer Call Centre LTD Pudsey, United Kingdom**We've won multiple awards for being the best and we want you to be a part of this. We also include a wide range of benefits to thank our hardworking staff.** · - **Employee engagement events**: · - check out our social media to look at how we immerse you into social events and ...
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Compliance Officer
6 days ago
Zeina Ossett, United Kingdom**JOB PROFILE** · **Position**:COMPLIANCE OFFICER** · **Responsible To: TECHNICAL MANAGER** · **Deputy: TECHNICAL ASSISTANT, TECHNICAL MANAGER, NPD TECHNOLOGIST** · **Main Purpose of Job**: · - To ensure standards are maintained in line with the quality management system across t ...
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Compliance Officer
5 days ago
Step Ahead Recruitment Ltd Otley, United Kingdom Part time**Compliance Officer - Part Time - 3 full days a week - Pool In Wharfedale - £25k basic salary (for the full 3 days)** · An exciting opportunity, to join one of the best financial services companies in Leeds. · The purpose of this role is to be responsible for the implementation ...
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Fca Compliance Officer
3 days ago
TTEC West Yorkshire, United KingdomFCA Compliance Officer · **FCA Compliance Officer - Leeds UK** · At TTEC, we're all about the attention to detail. As a Compliance Officer in the UK, in a hybrid role with time located at our Leeds office, you'll be a part of a new and exciting opportunity which will see the intr ...
Compliance Officer - Leeds, United Kingdom - Clayton Davies
Description
We are working exclusively with a successful financial planning business who are looking for a Compliance Officer to join the team.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing and monitoring effective compliance frameworks and policies across the company.
The successful candidate will be expected to:
Support the Compliance Director in order to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, horizon scanning, etcComplete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.
Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutionsSupport the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.
Act as liaison and maintain effective relationships with external third party compliance support services.Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.
The successful candidate will have:
Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualificationProven experience as a Compliance Officer or similar role within an FCA regulated financial advice businessThorough understanding of FCA regulatory frameworks and compliance requirements.