Compliance/Regulatory Jobs in Surrey

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Mobile Customer Consultant Mortgage & Retail

Salary:: �24,620 - �28,114
Location:: Coulsdon
Job Type:: Permanent
Date Posted:: 23-May-2012 16:02Add to My Shortlist

Job interview techniques Prepare yourself for interview with Sarah Smith - Resourcing Manager for Yorkshire Building Society

Mobile Customer Consultant Mortgage & Retail Location: Coulsdon Salary: �24,620 - �28,114 per annum, travel expenses and branch bonus scheme Hours of work: 35 hours per week worked, Monday to Friday 9.00am to 5.00pm, plus Saturday until 12.00pm Closing Date: 6th June 2012 Purpose of Role If you are looking to start your career or progress with a new challenge... customers could wish for. In this role you will carry out investment meetings in line with the investment sales process selling appropriately the full range of Society retail products against individual and branch targets all aligned with your customers needs. You will also carry out mortgage meetings in line with regulatory requirements in order to identify customers' needs. Advising on and selling the full range of mortgages and mortgage related products against branch and individual targets to achieve sales objectives. You will be required to record direct new mortgage business on the ISIS system and monitor the process through to completion, ...

Compliance Monitoring Officer

Salary:: �30k.00 - �55k.00 pa
Location:: Surrey
Job Type:: Permanent
Date Posted:: 23-May-2012 10:36Add to My Shortlist

Role: Compliance Monitoring Officer Location: Surrey Salary: Highly Competitive + Benefits A Leading Financial Services organisation is offering an excellent opportunity within their compliance monitoring function. The position of compliance monitoring officer is a fantastic role covering a broad and varied remit, covering audits across a wide range of business areas. Working closely with the Compliance Monitoring Manager, as well...

Financial Planning Administrator

Salary:: �18k - �23k pa + Paid Parking
Location:: Farnham
Job Type:: Permanent
Date Posted:: 23-May-2012 11:13Add to My Shortlist

Our client is seeking a Financial Planning Administrator to join their team based in Farnham. Duties for this role will include -Maintenance and development of the administrative and compliance systems, client's files and associated client account ledgers. -Assisting the Head of Financial Planning with the development of the departments research, compliance and administration structures and any other delegated tasks to...

Marketing Automation Manager

Salary:: Competitive benefits
Location:: South East London
Job Type:: Temporary/Seasonal
Date Posted:: 24-May-2012 16:06Add to My Shortlist

An exciting opportunity has arisen for a Marketing Automation Manager to join one of the UKs largest financial services organisations, to form part of a newly created Channel marketing team. This role will drive strategy to support customer initiatives using automated communications through web, email, mobile, and SMS touch points to retain customers in the digital channels. You will be... workflow and creative production processes -Collaborate with the customer marketing team on strategy, creative, targeting, message development, test design, execution and reporting -Transform data and analytics into actionable insights to shape future campaigns -Lead the team in process automation, including trigger based campaigns, auto-responders and nurture programmes -Work with corporate compliance systems to secure necessary approvals, ensure compliance and promote best practises for permission management and unsubscribe management The successful candidate will ideally have come from a more traditional customer marketing background and have moved more recently into Digital and Social Media, with solid experience now gained across this space. You...

Client Services Administrator

Salary:: GBP - GBP pa
Location:: Surrey
Job Type:: Permanent
Date Posted:: 21-May-2012 14:26Add to My Shortlist

Our client, a leading financial intermediary, currently seeks a Client Services Administrator, to be based in Surrey The Client Services Administrator will be responsible for: - Preparation of information and paperwork for consultant client consultations and on- going performance reviews - Service existing clients and assisting other team members in developing client relationships - Continuously developing business, financial and technical expertise. - Supporting other team members in specialist knowledge areas. - Ensuring administrative and compliance processes are followed to required timescales. As such, the successful Client Services Administrator will have the following skills and experience: - A proven track record gained within an IFA environment focused on private clients - Educated to a minimum of A Level standard or equivalent qualification - Studying for Certificate...

Investment Administrator

Salary:: Competitive
Location:: Surrey
Job Type:: Permanent
Date Posted:: 23-May-2012 18:56Add to My Shortlist

Our client, a leading financial services provider, is currently looking to recruit an Investment Administrator to their team. Investment Administrator �Competitive Salary Surrey The purpose of the role is to setup and maintain data on the database / platform and to oversee and arrange the placement of deals. The role will require someone to provide significant input into the creation of processes and systems to ensure they meet operational needs. As Investment Administrator you will be involved in the following: - Processing new business, administration and claims - Setting up and maintaining data on the platform - Ensuring compliance needs are met in relation to investment data - Managing general investment queries from Advisors (including Asset class queries, Financial Planning queries and Administration queries) - Building relationships with clients and ensure a high standard of service is maintained - Providing accurate and timely data - Acting as a reference...

Regulatory Compliance Consultant(RETAIL FUNDS)

Salary:: �50k.00 - �60k.00 pa
Location:: City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:: Permanent
Date Posted:: 22-May-2012 08:13Add to My Shortlist

Job Board Advert Regulatory Compliance Consultant(RETAIL FUNDS) Our client is a professional financial services group for the asset management and securities industry . Its service offering is regulatory compliance consultancy services Alongside this, it offers services including hosted regulatory permissions, due diligence, compliance training, risk management and recruitment. Its Regulatory Compliance Consulting business is dedicated to providing compliance advisory services...

Risk Manager

Salary:: Competitve
Location:: Croydon, Surrey
Job Type:: Permanent
Date Posted:: 23-May-2012 11:53Add to My Shortlist

About us We're LV= and we've been busy shaking up the world of insurance. We're the UK's largest friendly society, with more than 4 million customers and a team of over 5,000 people. But we're not ones to rest on our laurels, even award winning ones like ours. Far from it. We're looking to the future with confidence and enthusiasm, as we continue to...

Operations Risk and Control Regulatory Reporting Analyst

Salary:: GBP180 - GBP180 p/day
Location:: City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:: Contract/Temp
Date Posted:: 25-May-2012 14:20Add to My Shortlist

Operations Risk and Control Regulatory Reporting Analyst An immediate opportunity has arisen for an experienced Operations Risk and Control Regulatory Reporting Analyst to join our client, a major financial services company based in London Key responsibilities of the Operations Risk and Control Regulatory Reporting Analyst job will include: - Located within the Operations Risk and Control Regulatory Reporting group, this...

PWM Compliance Officer

Salary:: GBP400 - GBP400 p/day
Location:: City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:: Temporary/Seasonal
Date Posted:: 24-May-2012 10:35Add to My Shortlist

PWM Compliance Officer An immediate opportunity has arisen for an experienced PWM Compliance Officer to join our client, a major financial services company based in London Key responsibilities of the PWM Compliance Officer job will include: - Providing advice and support to business projects and issues requiring compliance input - Managing compliance-led projects - Providing review and sign-off of marketing...

Business Security Specialist - CISSP, CISMP

Salary:: �32k - �44k pa + Excellent Benefits
Location:: Dorking, Surrey, South East
Job Type:: Permanent
Date Posted:: 24-May-2012 20:00Add to My Shortlist

Working as a Business Security Specialist in Dorking you will be part of a dedicated team, that supports the business in achieving its objectives and mitigate risk through the adoption of industry best practice via policy, effective risk management, assurance and training. Provides the Security Governance Board, Operational Risk Committee and Group Executive committee with assurance over the operation of... opportunities and risks. - Provides advice and guidance on a range of complex/non standard processes/activities/controls. - Risks and issues are identified and reviewed with clear demonstration of wider implications/dependencies and challenges made appropriately Skills and Experience Required: Hard Skills - CISMP qualified, preferably CISSP qualified. - Knowledge of Information Security regulatory and legislative requirements - Previous experience in a technical or business facing security role with the Financial Services sector - Ability to collate, compile and analyse management information - Ability to write papers, reports, training and technical documentation Soft Skills - Ability to handle a large amount of diverse information, ...

Director of Compliance Central Services (CCS) Operations

Salary:: GBP600 - GBP800 p/day
Location:: City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:: Temporary/Seasonal
Date Posted:: 23-May-2012 09:13Add to My Shortlist

Director of Compliance Central Services (CCS) Operations An immediate opportunity has arisen for an experienced Director of Compliance Central Services (CCS) Operations to join our client, a major financial services company based in London Key responsibilities of the Director of Compliance Central Services Operations job will include: - Representative for CCS in the Global Compliance Control Framework OpCo, a joint...

Business Analyst - Finance

Salary:: �375 - �420 p day
Location:: Camberley, Croydon, Guildford, Kingston Upon Thames, Richmond Upon Thames, Surrey
Job Type:: Contract/Interim
Date Posted:: 22-May-2012 10:23Add to My Shortlist

A leading Life & Pensions insurance company is looking for Finance Business Analyst. This is for an initial 3 month contract based in Surrey. Candidate must be available to start within the next three weeks and be available to interview in person immediately. Daily rates are in the region of �375-420, depending on experience. Ideal candidate must have a financial...

Finance Business Analyst

Salary:: �375 - �420 p day
Location:: Camberley, Croydon, Guildford, Kingston Upon Thames, Richmond Upon Thames, Surrey
Job Type:: Contract/Interim
Date Posted:: 21-May-2012 17:44Add to My Shortlist

Senior Group Compliance Manager : Outstanding Opportunity

Salary:: �70k.00 - �95k.00 pa
Location:: City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:: Permanent
Date Posted:: 23-May-2012 10:01Add to My Shortlist

An excellent opportunity has arisen for a Senior Compliance Manager to have oversight of a Top Tier Investment Firm working with all the Senior Stakeholders ensuring the business unit complies with their obligations under the various Financial Services regulatory requirements for which the Group Head of Compliance & Regulatory Affairs is accountable. The roleholder will: * Monitor the Regulatory Compliance...