Compliance Jobs in Surrey

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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...

Accounts Assistant

Salary:: �20k - �22k pa + benefits, 22/day hol
Location:: Godalming
Job Type:: Permanent
Date Posted:: 25-May-2012 13:44Add to My Shortlist

Accounts Assistant �22,000 Godalming, Surrey Due to expansion and workload, an opportunity has arisen within a medium sized growing organisation on outskirts of Godalming to join their Finance team as an Accounts Assistant. The Accounts Assistant is responsible for the processing of data and credit control. Invoices are created from this data on behalf of the clients and VAT returns...

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 aid the Financial Planning Advisers. -Facilitating the existing client management process, predominantly preparing in depth diarised client review packs...

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...

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...

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...

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...

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...

Compliance - Private Client / Fund Specialist

Salary:: �600 - �900 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:: 22-May-2012 17:40Add to My Shortlist

Private Client Investment Process Manager Role: Oversight and Governance of Private Client and Charities Business. Description Within the Private Clients business responsibility for the first line of defence rests with the business management and fund managers and encompasses the development, monitoring and oversight of the key controls that are in place to deal with the day to day. The Private... to the Head of Private Clients has responsibility for assisting management with the oversight and governance of the Private Client and Charities Business. This role requires a comprehensive knowledge of investment management and an in-depth understanding of private client investment processes. The individual will also require a detailed understanding of Compliance and Risk as well as Anti-Money Laundering and the client sanctions checking process A key element of the role will be the ownership of three key control mechanisms: The Portfolio Suitability Group. A control mechanism introduced to monitor commonality and suitability has been active since autumn 2011.The Portfolio Suitability Group...

Compliance Analyst

Salary:: GBP237.50 - GBP237.50 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 10:40Add to My Shortlist

Compliance Analyst An immediate opportunity has arisen for an experienced Compliance Analyst to join our client, a major financial services company based in London Key responsibilities of the Compliance Analyst job will include: - Assist in the day-to-day execution of the Equities compliance monitoring programme including escalation and investigation of alerts where relevant. - Assist, and where appropriate help lead, ...

Central Compliance Professional

Salary:: �50k - �65k 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:: 25-May-2012 16:49Add to My Shortlist

Central Compliance Professional needed to join reputable Investment Bank with global presence. Job description: * Approving PA Dealing, OBAs, Gifts & Entertainment and Private Investments. * FSA & SEC Approved persons registrations, including Training & Competence. * Compliance regulatory reporting (Gabriel & Fees). * Advise (or developing competencies to advise) on the regulatory requirements pertaining to the mandate of the...

Central Compliance Professional

Salary:: �50k - �65k 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 16:04Add to My Shortlist