Organisation DescriptionWorking for a leading financial services company who are

Sun, 23 Nov 2008 07:03:34 GMT

financially stable and secureJob DescriptionTo ensure the business deliverables of the Credit Risk Control Unit are compliant with Basel II (and other regulatory requirements) - Providing specialist technical advice and guidance to CRCU colleagues. - Interpreting new regulatory guidance and determining any gaps that exist in meeting them. - Ensuring continued compliance by monitoring and tracking action logs. - Planning and delivering relevant training to senior management. Person Specification- Good understanding of Banking or Insurance regulatory capital and otherrelevant regulatory requirements- Good understanding of finance, capital and risk business operations, models and processes- Good experience of risk management or compliance or audit (at least 2-3 years) within financial services- Good numerate / statistical degree- Experience of setting up and agreeing standards for end-to-end monitoring processes- Experience of consolidating and preparing Board level MIS (at least 2-3 years)- Experience of communicating at all levels. £41,000.00 - Contact seller

Organisation DescriptionMy client is a City based IFA practice, who are

Sat, 22 Nov 2008 08:53:45 GMT

currently seeking a G60 qualified professional to work along side their advisers in a T & C based role. Job DescriptionThe Responsibilities Deal with field based enquires from advisors ( pre-submission and on going business) Develop and maintain T & C Systems under the Supervision of Compliance Manager. Providing any additional training to advisors when necessary and keeping abreast with and FSA legislation. Person SpecificationPerson Specification You must hold G60 Be dedicated to embarking in a career in compliance Proven supervisory, training, coaching background Be willing to take further qualifications if required. Unfortunately due to the nature of this role, we are unable to submit applicants who do not have G60/ or equivalent qualification. . £40,000.00 - Contact seller

Organisation DescriptionMy client is an IFA based in London, due to organic

Sat, 22 Nov 2008 08:53:45 GMT

growth their now require a Compliance Executive to assist the Compliance Manager in the day to day running of the Compliance department. Job DescriptionThe Responsibilities Acquiring and maintaining knowledge of current and forthcoming regulatory and statutory requirements and looking at their impact on the company's processes and procedures. Planning, maintenance and operations of the compliance monitoring programs Ensuring that the company's training and competence arrangements and records are in accordance with FSA regulations. Investigating and monitoring the resolution of any complaints relating to the Company's permitted business. Liaising with the FSA in order that their standards are met and ensuring that any issues in respect of the company's compliance arrangements are resolved. Your main responsibility will be to ensure that Integrated Financial Arrangements complies with the Financial Services Authority (FSA) rules to enable the company to operate effectively within the framework of the Financial Services Act and the Financial Services and Markets Bill. You will also be responsible for managing the compliance team. Person SpecificationPerson Specification FPC qualified ( DipFS Desirable ) Strong compliance background in a similar capacity Current knowledge of FSA rules and regulations The ability to communicate well across all levels of the business as well as with the regulator combined with previous management experience will be to your advantage.. £40,000.00 - Contact seller

Organisation DescriptionSalary: up to £53,000 + car allowance + excellent

Sat, 22 Nov 2008 08:53:45 GMT

benefitsBased in Liverpool, my client are dedicated to delivering outsourcing solutions to its core market of life and pensions companies. They are seeking to recruit an individual to deliver high quality analysis of regulatory consultative documents and rules and compliance approval for customer facing letters and product brochures key features and associated documentation. Job DescriptionDuties will involve:Coaching and developing staff to deliver high quality outputMaintain and develop Compliance and money laundering processes and proceduresEffective liaison with operations and other business areas to identify necessary actions to implement regulatory changeClient liaison, including the delivery of relevant contractual obligations and the development of effective processesSupporting new business opportunitiesDevelopment and production of appropriate management information including updates to management on significant regulatory developmentsContribution to the annual compliance plan compliance review and annual Money Laundering Reporting Officers reportPerson SpecificationYou will require:Proven detailed experience in a technical compliance rolecritical, particularly in life, pensions, training and competence, systems and controls, AML etc. Substantial knowledge and practical experience of the life insurance and pensions industryGood understanding of regulatory rules and principlesStrong management, leadership, coaching and team building skillsStrong written and oral communication skills. £53,000.00 - Contact seller

Organisation DescriptionMy client isdedicated to delivering outsourcing

Sat, 22 Nov 2008 08:53:45 GMT

solutions to its core market of life and pensions companies. Established in 2000 they have quickly established a track record of exemplary service delivery. Job DescriptionThe role will involve:Monitoring programmes are managed and delivered within specified timescales with all exceptions identified and investigated to conclusion with appropriate recommendations for remedial action made where necessaryReports are produced which are technically sound, delivered on time and to budgetReported breach incidents are investigated to conclusion within the required service levels with recommendations being made for remedial actions where necessaryEffective relationships exist which ensure the acceptance of delivered monitoring reports and recommendationsEffective feedback is received in relation to service levels and the teams ongoing performanceAchievement of personal objectives to be reviewed on a quarterly basis by line manager Person SpecificationYou will require the following skills:Relevant experience in a financial services regulatory monitoring roleExtensive knowledge of relevant regulation and legislationProven ability to develop and maintain effective relationshipsStrong interviewing and technical information gathering skillsExtensive experience of producing reports and recommending courses of action based on monitoring activitiesUnderstanding of regulatory breach processesAbility to communicate clearlyStrong technical knowledge in a range of regulatory areasRelevant academic or vocational qualifications (Ideally FPC qualified or equivalent. £30,000.00 - Contact seller

The Company: A well established professional services company in Southampton is

Sat, 22 Nov 2008 08:53:45 GMT

looking to recruit for a Risk and Compliance Manager. Offering good benefits including free car parking. This is a great opportunity to work within an organised and efficient company. The Role: To assist the Head of Risk and Compliance in assessing the level of financial and operational risk. To ensure that the risk management framework is enforced to meet the business and regulatory requirements of the FSA. To help monitor, audit documentation and communications with all departments and external consultants to ensure that the company is compliant. The Ideal Candidate: For this role you will need to have strong knowledge of FSA guidelines in relation to Conduct of Business (COB), Insurance Conduct of Business (ICOBS), Senior Management Arrangements, Systems and Controls (SYSC) and Training and Competency (T & C). Experience of ensuring risks are appropriately identified, assessed, managed and monitored. Further Information: This role is paying an annual salary of £30,000-£35,000. Benefits include 24 days holiday, 35 hours per week, attractive pension contribution from the employer and free car parking. Please apply today by clicking on the apply button. If your experience isnt exactly right or this wasnt quite what you are looking for, please still send through your CV as we have lots of different opportunities.. £35,000.00 - Contact seller

Due to further expansion our client, a well respected mortgage company

Sat, 22 Nov 2008 08:53:45 GMT

, currently require a Compliance Officer to join their expanding team. Responsibilities:-- To assist in the implementation of processes and procedures to enable them to meet their obligations under the; Financial Services Act, Anti Money Laundering and Data Protection - To assist in the preparation of reports - Carry out compliance reviews and prepare reports- Keep up to date with regulatory developments - Assist in the investigation and resolution of complaints - Carry out quality control reviews Experience:-- Compliance knowledge and experience - Anti Money Laundering knowledge and experience - CeMAP Qualification or part qualified - Mortgage knowledge and experienceIn return our client is offering a competitive basic salary of £20-25k as well as a excellent benefits package and plenty of opportunities for career progression.. £25,000.00 - Contact seller

Our client operates in a highly regulated environment with many of its

Sat, 22 Nov 2008 08:53:45 GMT

activities open to scrutiny by the FSA. Failure to meet appropriate standards could have a significant impact on our client both reputationally and financially.

Our client operates a ?three lines of defence' approach to regulatory risk and compliance.

The First Line of Defence (1LOD) has primary responsibility for ensuring that its business is well controlled in line with the Enterprise Risk Management Framework (ERMF) and Financial Risk Control Framework (FRCF).

The Distribution Risk, Controls & Compliance team is a key part of risk management and compliance governance within Distribution.

The team also owns the oversight of outsourced responsibilities, including those to Partners and other Group business areas.

The purpose of the role is to work within the Distribution Risk, Controls & Compliance team, ensuring that Distribution operates an appropriate First Line of Defence (1LOD) as part of our Client's approach to regulatory risk and compliance.

To manage the day-to-day relationship between the line in Distribution, the 1LOD, and the Second Line of Defence (2LOD) in Risk Management.

To support the effective implementation of Controllership by the 1LOD.

To ensure that Distribution sales processes satisfy compliance requirements.

KEY RESPONSIBILITIES

Co-ordinate regulatory risk and compliance management within Distribution and ensure their effective operation
Develop the 1LOD approach to core regulatory processes within Distribution, especially: controllership, breach reporting and loss events
Proactively engage with the business to ensure risk and compliance best practice is embedded
Work effectively with the QAU to provide sufficient controls over the sales process
Produce reports for use at the Distribution Risk Management Committee (DRMC) and other forums, and take-on remedial actions as allocated
Understand and support the delivery of tools, guidance, and training provided to 1LOD by the 2LOD
Help to ensure that business units and business processes within Distribution are compliant with Compliance Oversight Plans
Support oversight control of Distribution sales processes, utilising MI from QAU and the Training & Competence (T&C) scheme, and delivering enhancements to these processes as required
Develop Distribution employees' knowledge and understanding of the key risks and controls within their core sales processes
Produce and deliver quality MI for use as a key component of the Distribution 1LOD oversight framework
Ensure that all Distribution employees are supported to meet 2LOD assessment of regulatory skills and competence
Monitor the provision of services to customer-facing departments, which help them to treat customers fairly

Experience Skills & Qualifications

Essential:

Good knowledge of the regulatory environment in a range of areas
Knowledge of the Financial Services industry
Fully conversant with the principles and customer outcomes of Treating Customers Fairly relevant to their role, with the ability to embed the principles within self and team
Negotiating and influencing skills
Project management
Good report-writing skills
Ability to understand and work with MI
Experience of successfully delivering regulatory work
Proven ability to work on cross-functional activity
Relevant experience in the regulated financial services industry

Desirable

Graduate or relevant professional qualifications, or equivalent experience
Certificate in Financial Planning, or equivalent
Knowledge of Group's business and strategic objectives

If you have the skills required for this position, please apply online and you will be contacted to discuss this confidentially. Your CV will not be passed onto the client without your express permission.. £38,000.00 - Contact seller

Our client operates in a highly regulated environment with many of its

Sat, 22 Nov 2008 08:53:45 GMT

activities open to scrutiny by the FSA. Failure to meet appropriate standards could have a significant impact on our client both reputationally and financially.

Our client operates a ?three lines of defence' approach to regulatory risk and compliance.

The First Line of Defence (1LOD) has primary responsibility for ensuring that its business is well controlled in line with the Enterprise Risk Management Framework (ERMF) and Financial Risk Control Framework (FRCF).

The Distribution Risk, Controls & Compliance team is a key part of risk management and compliance governance within Distribution.

The team also owns the oversight of outsourced responsibilities, including those to Partners and other Group business areas.

The purpose of the role is to work within the Distribution Risk, Controls & Compliance team, ensuring that Distribution operates an appropriate First Line of Defence (1LOD) as part of our client's approach to regulatory risk and compliance.

To manage the day-to-day relationship between the line in Distribution, the 1LOD, and the Second Line of Defence (2LOD) in Risk Management.

To support the effective implementation of Controllership by the 1LOD.

To ensure that Distribution sales processes satisfy compliance requirements.

KEY RESPONSIBILITIES
Delivery to the analytical requirements of the Distribution Risk, Controls & Compliance team
Identify and implement improved analysis and reporting methods
Develop and deliver key compliance controls via MI and reporting processes and tools
Support interpretation of MI by delivering an effective commentary to explain trends and anomalies in risk and compliance information
Devise and implement a regular risk and compliance reporting schedule
Produce ad-hoc MI and reports as required by key stakeholders including 2LOD
Provide services to customer-facing departments, which help them to treat customers fairly

Experience Skills & Qualifications

Essential

Relevant professional qualifications, or equivalent experience
Strong numerical and analytical skills
Attention to detail
Strong working knowledge of Microsoft Office
Able to provide analytical solutions to business problems
The ability to think through and analyse complex issues often where a degree of ambiguity exists
The ability to engage with stakeholders at all levels of the organisation
Fully conversant with the principles and customer outcomes of Treating Customers Fairly relevant to their role
Appropriate commercial business experience
Experience working in B2C and/or consumer services sectors
Working within a large complex commercial organisation
Experience of the UK financial services industry

Desirable

Relevant professional qualifications, or equivalent experience

If you have the skills required for this position, please apply online and you will be contacted to discuss this confidentially. Your CV will not be passed onto the client without your express permission.. £30,000.00 - Contact seller

Our Client operates in a highly regulated environment with many of its

Sat, 22 Nov 2008 08:53:45 GMT

activities open to scrutiny by the FSA. Failure to meet appropriate standards could have a significant impact on our client both reputationally and financially.

Our Client operates a ?three lines of defence' approach to regulatory risk and compliance.

The First Line of Defence (1LOD) has primary responsibility for ensuring that its business is well controlled in line with the Enterprise Risk Management Framework (ERMF) and Financial Risk Control Framework (FRCF).

The Distribution Risk, Controls & Compliance team is a key part of risk management and compliance governance within Distribution.

The team also owns the oversight of outsourced responsibilities, including those to Partners and other Group business areas.

The purpose of the role is to work within the Distribution Risk, Controls & Compliance team, ensuring that Distribution operates an appropriate First Line of Defence (1LOD) as part of our Client's approach to regulatory risk and compliance.

To manage the day-to-day relationship between the line in Distribution, the 1LOD, and the Second Line of Defence (2LOD) in Risk Management.

To support the effective implementation of Controllership by the 1LOD.

To ensure that Distribution sales processes satisfy compliance requirements.

KEY RESPONSIBILITIES
Co-ordinate regulatory risk and compliance management within Distribution and ensure their effective operation
Develop the 1LOD approach to core regulatory processes within Distribution, especially: risk profiling, risk reporting
Proactively engage with the business to ensure risk and compliance best practice is embedded
Develop the Business Area Risk Profiling process within Distribution, and report on key indicators arising from the process
Ensure that risk reporting is presented in a clear and accurate manner via appropriate reporting tools, e. g. ?dashboard'
Produce reports for use at the Distribution Risk Management Committee (DRMC) and other forums, and take-on remedial actions as allocated
Help to ensure that business units and business processes within Distribution are compliant with Compliance Oversight Plans
Support oversight control of Distribution sales processes, utilising MI from QAU and the Training & Competence (T&C) scheme, and delivering enhancements to these processes as required
Develop Distribution employees' knowledge and understanding of the key risks and controls within their core sales processes
Produce and deliver quality MI for use as a key component of the Distribution 1LOD oversight framework
Ensure that all Distribution employees are supported to meet 2LOD assessment of regulatory skills and competence
Monitor the provision of services to customer-facing departments, which help them to treat customers fairly

Experience Skills & Qualifications

Essential

Good knowledge of the regulatory environment in a range of areas
Knowledge of the Financial Services industry
Fully conversant with the principles and customer outcomes of Treating Customers Fairly relevant to their role, with the ability to embed the principles within self and team
Negotiating and influencing skills
Project management
Good report-writing skills
Ability to understand and work with MI
Experience of successfully delivering regulatory work
Proven ability to work on cross-functional activity
Relevant experience in the regulated financial services industry

Desirable

Graduate or relevant professional qualifications, or equivalent experience
Certificate in Financial Planning, or equivalent
Knowledge of Group's business and strategic objectives

If you have the skills required for this position, please apply online and you will be contacted to discuss this confidentially. Your CV will not be passed onto the client without your express permission.. £38,000.00 - Contact seller

Our client operates in a highly regulated environment with many of its

Sat, 22 Nov 2008 08:53:45 GMT

activities open to scrutiny by the FSA. Failure to meet appropriate standards could have a significant impact on our client both reputationally and financially.
Our client operates a ?three lines of defence' approach to regulatory risk and compliance.

The First Line of Defence (1LOD) has primary responsibility for ensuring that its business is well controlled in line with the Enterprise Risk Management Framework (ERMF) and Financial Risk Control Framework (FRCF).

The Distribution Risk, Controls & Compliance team is a key part of risk management and compliance governance within Distribution. The role-holder will be expected to play a leading role in upholding and developing that governance.

The team also owns the oversight of outsourced responsibilities, including those to Partners and other company business areas.

The purpose of the role is to own and deliver a clear vision for the management of risk and compliance within Distribution.
To lead the Distribution Risk, Controls & Compliance team, and ensure that Distribution operates an appropriate First Line of Defence (1LOD) as part of the Group's approach to regulatory risk and compliance.
To broker the relationship between Distribution, in its role as 1LOD, and the Second Line of Defence (2LOD) in Risk Management.
To ensure that Controllership is owned and implemented by the 1LOD.
Leads a Risk, Controls & Compliance team, with approximately 4-5 FTE

KEY RESPONSIBILITIES
Own and co-ordinate regulatory risk and compliance management within Distribution and ensure their effective operation
Conduct or commission whatever monitoring is required to give Distribution line management assurance that risk and compliance processes are delivering the required outcome and controlling identified risks
Own the 1LOD approach to core regulatory processes within Distribution, including: breach reporting, loss events, risk profiling, risk reporting
Proactively engage with, influence, and challenge the business at an Executive and senior manager level to ensure risk and compliance best practice is embedded
Develop an effective relationship with the QAU, and influence its way-of-working in order that it provides sufficient controls over the sales process
Provide reports to the Distribution Risk Management Committee (DRMC), and take-on remedial actions as required
Understand and operationalise tools, guidance, and training provided by the 2LOD
Ensure that business units and business processes within Distribution are fit for scrutiny under Compliance Oversight Plans
Exercise ongoing oversight control over Distribution sales processes, utilising MI from QAU and the Training & Competence (T&C) scheme, and delivering enhancements to these processes as required

If you have the skills required for this position, please apply online and you will be contacted to discuss this confidentially. Your CV will not be passed onto the client without your express permission.. £70,000.00 - Contact seller

London/ City The salary for this role is £35-40,000 plus pension. The hours are

Sat, 22 Nov 2008 08:53:44 GMT

9-5. 30 Monday to Friday Our client is a medium sized, top 100 IFA company based in the City of London. They advise on all aspects of Tax Efficient Investments and Pensions for professional, mid-high net worth individuals. This firm has built a significant portfolio of satisfied clients over the years and now has in excess of 40 staff (half of which are Advisers) including an in-house compliance department and central administration division. They now seek an experienced Compliance/T&C professional to be based in their office, which is an enjoyable working environment with a straightforward management structure. You will be working alongside advisers, paraplanners and other staff members with diverse areas of expertise. You must have full FPC (or equivalent) and it is absolutely essential that you possess G60/AF3 due to the nature of pensions transactions that take place. You must have the desire to work in within a team and have a friendly and professional attitude. Ref: 3807. £40,000.00 - Contact seller

JOB OUTLINE: An opportunity has arisen to join the Quality Team within the

Sat, 22 Nov 2008 08:53:44 GMT

Operational Risk & Compliance Department. The purpose of the role is to:-?Assist and support the Quality Systems Manager and Quality Team to:-oAdd value to the business by supporting individuals and teams to embrace a Quality continually improve the business in order to enhance efficiencies and customer satisfactionoImplement (where applicable) and maintain the ISO 9001:2000 Quality Management System (QMS) oProvide an added value' internal quality audit function to monitor compliance with, advise staff on and promote adherence to the ISO and IiP Standards, company policies/procedures and the Treating Customers Fairly (TCF) initiativeoPromote the QMS to staff to maintain high awareness and buy-inoProvide practical advice and support to Directors, Managers and Staff in preparation for external audits to ensure successful certification and minimal audit actionsoCompliment Business Assurance by monitoring audit action implementation and continued effectiveness?Support the Operational Risk & Compliance (ORC) Department and Business Improvement Team in the implementation and development of other related projects/tasks as required?Support the ORC Department and Risk Committee in the promotion of the risk management framework and the completion of risk based internal quality audits, root cause analysis and preventive actionsQUALIFICATIONS/SKILLS REQUIRED/DESIRED: ?Working knowledge of the ISO9001:2000 and IiP Standards, however, training can be provided ?The ability to conduct and manage quality audits effectively?Excellent organisational and administrative skills with the ability to handle confidential and sensitive information?Initiative, tenacity and commitment to getting the job done'?A flexible, proactive, assertive and friendly approach to work at all times?Excellent communication, interpersonal and persuasion skills with the ability to establish and build positive working relationships staff at all levels?Excellent written and verbal communication skills including report writing and minute taking?Computer skills: Microsoft Word, Excel, PowerPoint, Outlook?Basic understanding of pensions/FSA regulatory frameworks and relevant legislation, eg, health & safety?Recognised professional qualification in the pensions industry, ie, RPC. £25,000.00 - Contact seller

Organisation DescriptionMy well established client are looking to expand their

Sat, 22 Nov 2008 08:53:44 GMT

dedicated and highly motivated team to ensure that they continue to deliver a first class service to the business. If you are a Compliance professional looking to take the next step in your career, or would like to bring your expertise to an organisation where your talent will be rewarded and your reputation enhanced, then this is the role for you. Job DescriptionMain duties of the role are:Supporting the business by providing regulatory technical advice and considering how changes in regulation impact on the businessAnalyse and respond to help desk queries that the department receivesIdentify systematic issues and trends and use these to inform training and guidance activities for the businessRepresent compliance across a variety of key projects such as product developments and operational change projectsProvide appropriate and regular reports to compliance managementDesign and deliver training which across the business units, will consistently promote high standards of compliance and sound management of compliance risksPerson SpecificationThe following skills and experience is essential:A proven knowledge of Regulatory compliance matters, ideally with working knowledge of FSA principlesWorking knowledge of pension and investment productsExperience of meeting SLAs to tight pressured deadlinesProven experience in providing first class customer serviceExcellent understanding of the importance of customer services and theFPC or equivalent qualification would be beneficial.. £30,000.00 - Contact seller

FSA0811-51

The Company

A well

Sat, 22 Nov 2008 08:53:44 GMT

respected and recognised Insurance Company

The Role

My client is seeking a Complaints Officer to work from the South London offices of the global corporation. The main duties of the role will be to support the Assistant Compliance Officer in the fulfilment of their role and ensure that all complaints received are dealt with in accordance with both the regulatory guidelines and the company's standards. You will also be expected to process all complaints both written and verbal and ensure that clients are updated with the progress of complaints within statutory requirements and timescales.

The Person

The right candidate will have experience of working in a similar field and have an understanding of FSA rules and regulations. You will also be able to communicate with people at all levels and use your own initiative and FPC qualifications would be an advantage.

The Benefits

This is an excellent opportunity for the right candidate to join a well established organisation be rewarded with a good salary, excellent company benefits and good career progression and training

Complaints Officer is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £0.00 - Contact seller

The Job/Duties Working as a Senior Operational Compliance Officer you will be

Sat, 22 Nov 2008 08:53:44 GMT

required to deputise for the Operational Compliance Manager on all key activities when appropriate, making decisions and recommendations to the Credit and Compliance Director on key Regulatory matters. Further responsibilities include: - ? Day-to-day management of the Operational Compliance Officers ensuring that full delivery of the areas obligations are met. ? Developing and leading the team through coaching and stretching assignments and delivery to tight deadlines within the regulatory framework. ? Managing both internal and external outsourcing processes and day-to-day activities. The Benefits A generous basic salary paying up to £36,000 per annum depending on skills and experience. Attractive Flexible benefits Package (More details provided upon application) The Company Our Client has been trading for more than 220 years and is one of the worlds longest established banks. With assets of £70 billion and staff of more than 17,000 makes our client one of the top 500 businesses in the world. They are a major provider of financial services within key markets with a significant asset management business internationally. They want to create an organisation that is respected by its customers, admired by competitors and desired by investors. For this to happen they recognise that a great place to work is where people are challenged, developed and rewarded for their efforts. Our client wants to excel, and they need the best people to make this happen. The PersonPrevious experience gained in an operational compliance environment. Ideally previous experience gained in regulatory matters, relating to all Secured and Unsecured Lending. Demonstrable evidence of written and oral communication skills Excellent understanding of the compliance regimes governing consumer lending enabling pragmatic application Previous experience within a management role Proven ability to apply a risk based approach 5 GCSEs or equivalent at grade C or above incl. Maths and English Professional Qualifications Full CeMAP (or equivalent) qualification Location Bristol City Centre Footnote If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application. Due to the overwhelming Application response we receive through various sources should you not hear from us within one week then please assume your application has been unsuccessful.. £37,000.00 - Contact seller

My client is a well established and prestigious investment management company

Sat, 22 Nov 2008 08:53:44 GMT

who manage assets on behalf of both institutions & private investors. My client enjoys an excellent international reputation and has multiple offices worldwide. The role requires the successful applicant to undertake monitoring reviews to ensure compliance with UK regulation and to complete regular monitoring review reports. You will also be required to highlight areas of potential compliance risk and will initiate corrective action to avoid breaches. The successful applicant will have 2 years compliance monitoring experience preferably gained within Investment Management along with a strong and comprehensive technical knowledge. You must also have excellent time management and interpersonal skills.. £45,000.00 - Contact seller

Marketing Manager - Business Planning and Strategy South East & Wiltshire To

Sat, 22 Nov 2008 08:53:44 GMT

o £50,000 + Benefits Our client is a leading UK Financial Services organisation which has recently undertaken a major strategic review leading to a clear business focus under the direction of its new Chief Executive. Proven planning and organisational skills including project management experience are required for a talented individual to support the Group Board and Head of Strategy in setting Group Strategy, developing, identifying and researching and evaluating options, raising relevant risk opportunities and performing relevant strategic analysis. The role includes the scope for research and evaluation of potential mergers and acquisitions, working with the Companys advisers, as well as goal setting and monitoring progress. To be considered for the role you will need to be a self motivated and pro active individual with analytical skills and experience of distilling and presenting key facts. You will require good communication skills (both written and oral). Experience in project management is a prerequisite, while knowledge and experience in business planning and strategy principals would give a distinct advantage. If you would like to be considered for this position, please submit your CV to Paul Harper or Alison French quoting reference PSH/2544.. £60,000.00 - Contact seller

Key Skills 3 years experience in a financial services regulatory monitoring role

Fri, 21 Nov 2008 07:06:59 GMT

Extensive knowledge of relevant regulation and legislation Proven ability to develop and maintain effective relationships Strong interviewing and technical information gathering skills Extensive experience of producing reports and recommending courses of action based on monitoring activities Ability to deal with multiple issues, tasks and priorities concurrently Understanding of regulatory breach processes Ability to communicate clearly and effectively both verbally and in writing Ability to lead audits Experience and Qualifications Qualified to A level standard or equivalent Strong technical knowledge in a range of regulatory areas. Relevant academic or vocational qualifications (Ideally FPC or IAQ qualified).. £32,000.00 - Contact seller

Main Function To deliver high quality impact analysis of regulatory consultative

Fri, 21 Nov 2008 07:06:59 GMT

documents and rules and compliance approval for customer facing letters and product brochures key features and associated documentation. Coaching and developing staff to deliver high quality output Maintain and develop Compliance and money laundering processes and procedures Effective liaison with operations and other business areas to identify necessary actions to implement regulatory change Client liaison, including the delivery of relevant contractual obligations and the development of effective processes Supporting new business opportunities Development and production of appropriate management information including updates to management on significant regulatory developments Contribution to the annual compliance plan compliance review and annual Money Laundering Reporting Officers report Skills required Proven experience in a technical compliance role Substantial knowledge and practical experience of the life insurance and pensions industry Good understanding of regulatory rules and principles Strong management, leadership, coaching and team building skills Strong written and oral communication skills. £53,000.00 - Contact seller

Industry Sector:Compliance / Regulatory JobCOMPLIANCE OFFICER Specific

Fri, 21 Nov 2008 07:06:58 GMT

Location:Cirencester Salary: £25000 to £25000 per annum Our client is seeking a self-motivated individual with business review experience across all product areas. Reporting to the Business Assurance Manager your key responsibility will be to compliance check a range of business submitted by the Companys team of Financial Advisers. You will also be required to identify trends leading to training needs or product amendments and additional technical support, ensuring that the company meets regulatory objectives. Other duties will include:- Acting as a point of contact for enquiries from the Advisers, managing special cases when necessary. Delivering projects as required and attending regular meetings, ensuring consistent approach. Ensuring that acceptable and consistent levels of service standards are maintained. Assisting with training new members of team where necessary. A detailed job specification is available. The Benefits Up to £25,000 per annum + comprehensive benefits and Car/Car Allowance The Company A successful company who offer a wide range of high quality wealth management services to businesses and individuals. With over 400,000 clients and over £17. 3 billion funds under management, theyre well established as one of the UK's leading wealth management organisations. The Person The ideal candidate will have gained business review experience relating to pensions and investment business. You will have a methodical and organised approach and be able to work to deadlines, be an effective team-player and be able to respond and adapt to changes in procedures as and when necessary. Good computer skills are a must and working knowledge of MS Word, Excel and Outlook are key. Professional Qualifications Full FPC (or equivalent) Location Cirencester. £25,000.00 - Contact seller

A top new compliance role has just become available!Our client is a well known

Fri, 21 Nov 2008 07:06:58 GMT

and highly respected national accountancy IFA, they are looking for a part time complianceoffice. The role will involve monitoring and evaluating the continuing relevance and effectiveness of company compliance and administration procedures and where appropriate, implementing updated procedures in order to ensure regulatory requirements. Managing the completion of procedural requirements relating to complaints, financial promotions and recruitment, ensuring regulatory requirements are met. Ensure that reports and notifications are made to the regulator in accordance with FSA rules. The role is available for interview immediately.. £100.00 - Contact seller

Do you have a substantial background within compliance? Are you looking for a

Fri, 21 Nov 2008 07:06:57 GMT

new challenge? Do you have extensive knowledge of the operations of pensions? If YES then you MUST read on Our Client is looking to recruit a Technical Services Officer (Pensions) to join their prestigious company within Bournemouth. The position is to provide a comprehensive central technical support service for the complete range of the Group's Insurance products and market. You will be responsible for the delivery if new and existing technical projects, self- managing without recourse to senior expertise and delivering complex technical content across a broad range of diverse projects. You will monitor, assess and contribute to the internal communication of Government and regulatory proposals for change to ensure that functional areas (sales, marketing, administration) fully recognise their need to react to such change, in order to meet the new requirements in a timely fashion Ideal applicants must have extensive and detailed knowledge of the operation of personal pension and occupational pension, with an understanding of financial services regulation and in particular, FSA rules; and the financial services market. You must have the ability to work under your own initiative in a proactive and regulatory style. FPC, AFPC, A/F CII or A/F PMI qualification is highly desirable This is an AMAZING opportunity not to be missed, offering excellent benefits and career progression!!! Salary: Up to £27,000 DOE Hours: Monday to Friday 35 hours over 5 days 6 Months Contract APPLY NOW! - Call Rebecca @ SOS recruitment TODAY for more details, email your CV or call into one of our High street Branches @ 212 Old Christchurch Road, Bournemouth or Voyager House, 253-257 High Street North, Poole. We look forward to discussing your career with you!. £27,000.00 - Contact seller

Do you have a substantial background within compliance? Are you looking for a

Fri, 21 Nov 2008 07:06:57 GMT

new challenge? Do you have extensive knowledge of the operations of pensions? If YES then you MUST read on Our Client is looking to recruit a Compliance Officer (Pensions) to join their prestigious company within Bournemouth. The position is to provide a comprehensive central technical support service for the complete range of the Group's Insurance products and market. You will be responsible for the delivery if new and existing technical projects, self- managing without recourse to senior expertise and delivering complex technical content across a broad range of diverse projects. You will monitor, assess and contribute to the internal communication of Government and regulatory proposals for change to ensure that functional areas (sales, marketing, administration) fully recognise their need to react to such change, in order to meet the new requirements in a timely fashion Ideal applicants must have extensive and detailed knowledge of the operation of personal pension and occupational pension, with an understanding of financial services regulation and in particular, FSA rules; and the financial services market. You must have the ability to work under your own initiative in a proactive and regulatory style. FPC, AFPC, A/F CII or A/F PMI qualification is highly desirable This is an AMAZING opportunity not to be missed, offering excellent benefits and career progression!!! Salary: Up to £27,000 DOE Hours: Monday to Friday 35 hours over 5 days 6 Months Contract APPLY NOW! - Call Rebecca @ SOS recruitment TODAY for more details, email your CV or call into one of our High street Branches @ 212 Old Christchurch Road, Bournemouth or Voyager House, 253-257 High Street North, Poole. We look forward to discussing your career with you!. £27,000.00 - Contact seller

Organisation DescriptionYou will be working for the UK's leading Wealth

Fri, 21 Nov 2008 07:06:57 GMT

Management provider of International and Private banking. My client has an international presence in Europe, USA, Africa, Asia and employees over 127,000 people. A exciting and challenging position has now become available working within their Customer Relations Department, as a Senior Review Officer - Complaints. Job DescriptionYouwill be responsible for resolving regulatory complaints, these include endowments, investments, pensions and any other types of regulated complaints. Your primary role will be to ensure that these complaints are dealt within regulatory requirements of the financial services authority ( FSA), and following the guidelines/ requirements of the Financial Ombudsman Service (FOS). To be successful in your application you must have thorough knowledge of Life Pensions and Investment products and of the regulated financial services environment along with experience of redress calculation. A thorough knowledge of the complaints life cycle in also essential. Person SpecificationYou will hold FPC qualifications as a minimum and be willing to study towards further qualification when required. You will demonstrate strong planning and organisation skills and be committed to providing a high level of customer service. The Job holder will have the ability to influence and negotiate with counterparts in other areas of the business as well as other parts of group. Please note that if you do not hold FPC qualifications or equivalent your application will not be put forward. If you have any questions or would like more information on this role. Please contact Dhruti Chotai at Reed Insurance 0207 220 4777. £35,000.00 - Contact seller

Benefits:
Entry into the flexible benefits scheme
Job

Fri, 21 Nov 2008 07:06:57 GMT

Description
On behalf of our client, we are seeking a Professional Development Manager to join their team in the South West. Although, based in the South West, this role is national, so there will be an element of travel within this role. A substantial element of the role will require delivering their training and competence scheme to the Financial Advisors. You will be responsible for the development and implementation of a training and development strategy. You will liaise with legal and regulatory departments and deliver and implement the training plan.
Experience
As well as having training experience, you will also have a strong technical knowledge (perhaps you have been an Advisor with chartered status). Full FPC (or similiar) will be essential and ideally studying toward professional training qualification, excellent communication skills, time management and organisational skills and previous training, coashing and assessment skills. Immediate opportunity.. £48,000.00 - Contact seller

Leading Investment Bank are seeking an additional Analyst to work in the PA

Fri, 21 Nov 2008 07:06:57 GMT

Dealing team. You will be responsible for approving and matching share dealings onto the PA Dealing system, handle queries from the business, process Control Functions registrations, liaison with the FSA on approved persons and assist with staff training. Previous experience in a similar role is sought.. £36,000.00 - Contact seller

FSA0811-68

The Company

Fri, 21 Nov 2008 07:06:56 GMT
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A well respected in and recognised Investment Management Company has an exciting opportunity for a Compliance Associate to join their organisation.

The Role

The main purpose of the role will be to carry out the Compliance Monitoring Plan covering all areas of the business and prepare Compliance reports, including proposals for relevant remedial actions. You will also be expected to present monitoring findings to business management at de-briefing, draft report and final report stages.

The Person

The right candidate will be degree educated, have a good understanding of FSA regulations and have excellent communication skills.

The Benefits

This role an excellent opportunity for the right candidate to join a well established organisation who can offer and excellent salary and good career progression.

Compliance Associate is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £45,000.00 - Contact seller

FBS0811-73

The Company

Fri, 21 Nov 2008 07:06:56 GMT
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My client is a leading Commodities, Futures and Options Broker with global coverage.

The Role

They are currently looking to recruit a Compliance Assistant to join their City based compliance team. Reporting to the head of compliance, the main purpose of the role is undertake all aspects of trade monitoring

The Person

To be considered for this role you will need an excellent understanding of the FSA regulations and exchange rules. You will also need to demonstrate previous experience of trade monitoring within a similar environment.

The Benefits

The firm are offering a basic salary of up to £50,000 plus bonus, benefits and the opportunity for excellent career development.

The Compliance Executive role is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £50,000.00 - Contact seller

Leading Financial Services organisation are seeking an experience Data

Fri, 21 Nov 2008 07:06:56 GMT

Protection specialist to join the team. You will be responsible for working on a range of projects as part of the Change Management Programme which is being rolled out throughout the organisation as a whole, mitigate any risks to the business, influence at senior levels to ensure compliance to Data Protection related legislation and provide advice and guidance to management on Data Protection related issues. Strong Data Protection experience within Financial Services is required.. £42,000.00 - Contact seller

A Senior member and Manager within the Compliance Team reporting to the

Fri, 21 Nov 2008 07:06:55 GMT

Operational Compliance Manager.

Deputising for the Operational Compliance Manager on all key activities when appropriate, making decisions and recommendations to Credit and Compliance Director on key Regulatory matters. Responsible for the day-to-day management of the Operational Compliance Officers ensuring that full delivery of the areas obligations are met. Develop and lead the team through coaching and stretching assignments and delivery to tight deadlines within the regulatory framework.

The demands of this role require expert knowledge in regulatory matters. It is a key role for the support of the Managers in relation to all Secured and Unsecured Lending. At an operational level manage both internal and external outsourcing processes and day-to-day activities.

Reporting to:Operational Compliance Manager

Key Responsibilities:
Expertise
Deputise for the Operational Compliance Manager, in providing guidance relating to a wide range of regulatory requirements and providing advice on issues with business and customer impact. Balancing personal outputs and the requirements of the team deliverables.

Line Management
Manage the team of Operational Compliance Officers, who are accountable for a wide range of regulatory projects and disciplines. To build on the culture set out by the Operational Compliance Manager to deliver a proactive style of compliance.

Advice and guidance
To manage the team to ensure the consistent provision of business-focused compliance advice. Review regularly decisions and advice given by members of the team and where appropriate provide feedback to generate best practice across the area.
To be the point of expertise for the Compliance Officers and Business in relation to the effective resolution of issues to mitigate risk and exposure. This is particularly relevant where new regulatory requirements impact the business.

Trend Analysis
Identify and escalate risks, issues, concerns and opportunities resulting from the MI outputs and Trend analysis conducted by the unit.

Build effective relationships
At an Operational level develop and maintain positive working relationships with operational management teams and key support functions to develop their understanding of compliance accountabilities and ensure compliant behaviour.

Customer
To ensure that all decisions made, processes and activities undertaken are customer focused and the principles and outcomes of the FSA's Treating Customers Fairly programme are embedded within the area.

Training and Development
Ongoing coaching and development of the team including appropriate goal setting and regular review of all team members.

Key Requirements:

Essential-
-Previous operational experience within a compliance environment
-Full Cemap (or equivalent) qualification
-Demonstrable evidence of written and oral communication skills
-Excellent understanding of the compliance regimes governing consumer lending enabling pragmatic application
-Previous experience within a management role
-Proven ability to apply a risk based approach
-5 GCSEs or equivalent at grade C or above incl. Maths and English

This role comes with PDP offering plenty of opportunity for the longer term, along with excellent bonus and benefits. £36,000.00 - Contact seller

FLT0811-47

The Company

My client

Thu, 20 Nov 2008 07:07:54 GMT

is a leading General Insurance Company.

The role

You will be looking after the UK compliance operation as maternity leave has the current Head of Compliance covering the international regulatory needs. You will be dealing with client verification, claims and compliance monitoring in general. There is also some project work about to take place which you would play a key part in its implementation.

The Person
You will have Compliance Management experience ideally at a senior level within an insurance environment and have had lots of experience dealing with the FSA.

The Benefits

This is an exciting opportunity and is likely to be a fixed term contract in which the right candidate will receive a competitive salary

Compliance Associate is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £90,000.00 - Contact seller

A leading product provider based in Manchester requires a compliance officer for

Thu, 20 Nov 2008 07:07:54 GMT

a 6 month contract. You will be required to provide assistance to the Head of Compliance in ensuring that all procedures are adhered to and that monitoring is carried out in accordance with the compliance monitoring plans that are already in place. Successful applicant will hold full CeMAP and have experience of working in a Compliance motioning role ideally within General insurance and/or Mortgages.. £25,000.00 - Contact seller

FCK0811-62

The Company

Thu, 20 Nov 2008 07:07:54 GMT
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This is a leading and expanding organisation specialising in the provision of insurance, healthcare, financial services and commercial finance solutions

The Role

The role will take primary responsibility for all aspects of the compliance regime within the business and to monitor and report on the Group's performance and compliance with internal procedures relating to FSA,

Key duties will include:

To own and implement the Group Compliance Plan across Group companies

To monitor, and manage the implementation of, regulatory change;

To continually develop the culture of risk management within the Group;

Overseeing the execution of the group's activities along with the directors

Ensure a robust and compliant service is delivered.

The Person

The ideal candidate will have significant experience of the General Insurance Industry having worked with commercial insurance brokers, you will also have strong knowledge wider financial services and up to date awareness of FSA regulations. You will have excellent comminucation skills and the ability to engage with key stakeholders and business leaders.

The Benefits

This is an excellent senior compliance role that will allow natural progression along with the opportunity to make a difference with a growing organisation.

Group Compliance Manager is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £60,000.00 - Contact seller

Experienced Group Compliance Manager Required (GI VERY WELL RESPECTED HOUSE) Up

Thu, 20 Nov 2008 07:07:54 GMT

p to £55k + Good Bens South East Coast My client, a leading retail house, is looking for an experienced Group Compliance Manager to manage the groups compliance regime in accordance with the Compliance Plan and agreed targets. Main responsibilities: To effectively monitor and manage the implementation of regulatory change To continually develop the culture of risk management within the Group To provide advice and guidance to the Group Directors and Senior Management team on all regulatory matters To manage the regulatory relationship and relationships between Compliance and all Group companies To monitor and report on the Groups compliance with internal policies and procedures Key requirements: Significant experience of the Commercial Insurance and Financial Services industries Good working knowledge of applicable FSA regulations, data protection act and JMLSG guidance notes Ability to identify and articulate Compliance Risk and design appropriate systems to mitigate identified risks. £55,000.00 - Contact seller

My client is a well positioned and well though of product provider based in

Thu, 20 Nov 2008 07:07:54 GMT

Southampton. The successful applicant will be supporting the Head of Compliance & Risk in the assesment of operational Risk. The successful applicant will then design, implement and test a risk management strategy to meet both the business and regulatory requirements. The ideal candidate will be fully conversant with all aspects of operational risk management along with an accomplished knowledge and understanding of the FSA handbook.. £35,000.00 - Contact seller

Our client based in Swindon is looking to recruit a Compliance and Training

Thu, 20 Nov 2008 07:07:54 GMT

Manager to emphasise client servicing, compliance and the coordination of employee training. Job Role: Ensure that the Client Services manual clearly represents current processes and that each team member is fully aware of any updates. Ensure Management Information is accurate and presented to the Director every 2 weeks. Ensure that each team member is competent to undertake the Client Services role and to make suggestions where improvements may be possible. Frequently consults the team to understand its needs and the needs of team members, and channels this feedback positively for the benefit of the business. Works closely and constructively with colleagues to achieve the firms objectives. Undertake appraisal training and assist with annual appraisals. Liaise with suppliers/clients in order to facilitate localised client seminars / support. Fosters within the department a client focus and concern for quality, which manifests itself in a high degree of client satisfaction, client retention and work of a high standard produced to deadline. Assist with the coordination and subsequent reporting of the annual client satisfaction survey. Ensures that these procedures remain relevant and that the business carried out by the team is conducted in accordance with these procedures and in a compliant manner. Contributes constructively to discussions and meetings as appropriate. Personal Attributes: Experience of working within the Finance industry, ideally with Employee Benefits. Experience of coaching/managing team members effectively. Maintains a positive, can do outlook promoting professional development . Exposure to a Performance Management Process.. £30,000.00 - Contact seller

The Job/Duties Our client is seeking a self-motivated individual with business

Wed, 19 Nov 2008 07:07:05 GMT

review experience across all product areas. Reporting to the Business Assurance Manager your key responsibility will be to compliance check a range of business submitted by the Companys team of Financial Advisers. You will also be required to identify trends leading to training needs or product amendments and additional technical support, ensuring that the company meets regulatory objectives. Other duties will include:- Acting as a point of contact for enquiries from the Advisers, managing special cases when necessary. Delivering projects as required and attending regular meetings, ensuring consistent approach. Ensuring that acceptable and consistent levels of service standards are maintained. Assisting with training new members of team where necessary. A detailed job specification is available. The Benefits Up to £25,000 per annum + comprehensive benefits and Car/Car Allowance The Company A successful company who offer a wide range of high quality wealth management services to businesses and individuals. With over 400,000 clients and over £17. 3 billion funds under management, theyre well established as one of the UK's leading wealth management organisations. The Person The ideal candidate will have gained business review experience relating to pensions and investment business. You will have a methodical and organised approach and be able to work to deadlines, be an effective team-player and be able to respond and adapt to changes in procedures as and when necessary. Good computer skills are a must and working knowledge of MS Word, Excel and Outlook are key. Professional Qualifications Full FPC (or equivalent) Location Cirencester Footnote If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application. Due to the overwhelming Application response we receive through various sources should you not hear from us within one week then please assume your application has been unsuccessful.. £25,000.00 - Contact seller

Are you an experienced T&C Supervisor with a solid background in Financial

Wed, 19 Nov 2008 07:07:05 GMT

Services with ideally mortgage and or healthcare experience? Are you looking for the chance to join a very successful and growing intermediary firm; a company who value their staff and providegreat opportunity for people to shine. We are seeking a T&C professional, with excellent communication skills to provide advice on and perform monitoring of and adherence to risk management arrangements particularly arising from the FSA Principles and Rules. The role may require T&C cover for all businesses and trading styles operating within the overall group of companies but will be specifically concentrating on Healthcare and Mortgages. Therefore a good amount of knowledge is required in those specific areas. The role is varied and requires attention to detail. Initially the role available is on a 6 month fixed term contract. However, there is a strong likelihood that this could result in a permanent position. To be successful in this role youll possess relevant T&C experience and have full FPC/CFP or equivalent, as well as CeMAP or equivalent. Interested? Please apply now as we are looking for someone to start ASAP!Footnote If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application. Due to the overwhelming Application response we receive through various sources should you not hear from us within one week then please assume your application has been unsuccessful.. £35,000.00 - Contact seller

Main Purpose of Job: Financial Promotions - approve financial promotions

Wed, 19 Nov 2008 07:07:05 GMT

(including the websites of the Society and its partners) and supervise the associated record keeping, in accordance with the rules. Complaints - monitor complaints for adverse trends and provide guidance on the completion of complaints received from the Financial Ombudsman Service, and responsibility for all mortgage related responses. Telesales - monitor and review telesales and quality assurance operations. Compliance and technical support - provide guidance to the business, within own level of competence. Regulatory changes - identify and examine as directed the impact of regulatory changes upon the business Regulatory reporting - assist in the collation of information and submission of reports as directed. Training - assist in the production and delivery of training as required by the business. Other - To assist in other aspects of the work of the Compliance department including regular monitoring of the firm and to contribute, as required, to any projects that may be assigned for compliance input.. £30,000.00 - Contact seller

Compliance Officer/Assurance Officer/Business Compliance Officer/Compliance

Wed, 19 Nov 2008 07:07:05 GMT

Assistant required for one of Gloucestershire's leading companies. Profile: Compliance Officer Location: Gloucestershire. Salary £25000 per annum. Work experience required: Previous Financial Services experience essential, compliance experience desirable. We are seeking a Financial Services professional for a full time role working 35 hours per week. The Compliance Officer will be involved in compliance checking of a range of business submitted by the company and providing feedback changes required to cases, including the training needs or product amendments. The Compliance Officer will also provide technical support to the company in relation to the correct documentation for case types including acting as a point of contact for enquiries from the company and assisting with training of new members of the team where necessary. The successful candidate will need good organisational and time management skills, be a team player, adaptable and have good communication skills. Candidate must be computer literate, have full Financial Planning Certificates and will continue Professional Development by way of external exams, internal training and home study. Package includes a car or car allowance, BUPA, Medical Cover, Pension, Life Cover and 25 days holiday Employment Enjoyment acts as an employment agency and as an employment business as defined by the Employment Agencies and Employment Business Regulations 2003. Employment Enjoyment offers a free and confidential service to candidates. £25,000.00 - Contact seller

Compliance officer Compliance officer wanted! It is essential that you have

Wed, 19 Nov 2008 07:07:05 GMT

mortgage, compliance and anti money laundering experience. Salary between £20-25,000 plus benefits and study support. Working for an established Mortgage and Loan Servicing company. Overall Responsibilities To assist in the implementation of processes and procedures to enable to meets its obligations under the; Financial Services Act, Anti Money Laundering and Data Protection To assist in the preparation of reports to the Board of Directors and clients Specific Tasks and Accountabilities Carry out compliance reviews and prepare reports Receive and review SARs, carry out investigations make recommendations and make reports to SOCA Deputise for the Compliance Manager when necessary Maintain training records in relation to all compliance & AML activities Assist in the preparation of monthly, quarterly and annual reports to the board of directors and clients Provide training and guidance to staff as necessary Assist with projects as defined by the Compliance Manager by meeting agreed deadlines and achieving specific objectives Production of regular management information as specified by the Directors Prepare Data protection requests Assist in the review and production of AML reports to the relevant authorities. Keep up to date with regulatory developments Assist in the investigation and resolution of complaints Carry out quality control reviews Essential Knowledge, Skills and Characteristics Required Ability to work as an effective team leader and team member be a leader, be cooperative, support others and deliver what you promise Ability to communicate at all levels Excellent quality of written and verbal communication Ability to organise workload of self and team to meet deadlines Ability and willingness to see task through to completion Customer focused identify effective solutions for borrower, internal client and external client Knowledge and understanding of standard mortgage loan documentation Comprehensive knowledge of the applicable regulations/codes governing the financial services industry Previous Compliance/AMl experience CeMap qualified Stellar Select Limited are acting as an employment agency For more information on roles in Compliance, mortgage administration, mortgage arrears, property administration please do not hesitate to contact us. £25,000.00 - Contact seller

Senior Compliance Manager A fantastic opportunity has arisen for a Senior

Wed, 19 Nov 2008 07:07:05 GMT

Compliance Manager with a proven track record of success within Insurance to join a globally recognised Financial Services company offering an excellent package with real scope for career progression as well as personal development. The successful candidate will have good management skills and interpersonal skills as well as being technically strong. Previous experience of dealing with corporate partners is essential as the role will involve liaising with corporate partners, pitching to partners and selling compliance. This is an exciting role which will offer real variety to the post holder, both variety of products and distribution as well as variety with the day to day challenges of the role. In return our client is offering a competitive salary plus company car, PMI and Annual bonus making it a total package value of c£80k - £85k. Previous experience within Insurance / General Insurance / GI would be a distinct advantage for this role. The purpose of this role is to provide assurance to the Business Risk, Senior Management and Executive teams that compliance issues are identified and addressed and that work is being progressed to mitigate / rectify any issues. The successful candidate will be responsible for: Leading the company relationship and support the business with innovative compliance solutions, working with all key stakeholders; Working closely with management within Distribution to develop and maintain robust compliance assurance, and for the formulation, planning and implementation of distribution strategy; Attending customer facing meetings with key partners in support of partner / Intermediary relationship with Key Account Managers; Liaising extensively with third party Heads of Compliance and other senior compliance staff as part of New Business implementations and other partnership business as usual initiatives; Actively contribute to the strategic thinking and planning of Distribution management in support of business operational objectives; Carrying out line management responsibilities for a team of senior compliance staff, including performance management and personal development activities, together with associated budget management, aligning activity in support of compliance; Ensuring expert knowledge of relevant regulatory requirements and support the development of practical but effective controls throughout the SBUs and Carrying out reviews to ensure the business is aware of all aspects of change within the regulatory environment. This will include liaison with the FSA, ABI and other bodies as well as internal liaison. Whilst a proven track record of achievement within Compliance Risk Management is essential, ultimately we are looking for someone with strong personal skills, good commercial awareness and excellent influencing skills. Applicants must be self motivated and able to work effectively in demanding circumstances.. £58,000.00 - Contact seller

Organisation DescriptionMy Client is a leading Financial Services Company

Wed, 19 Nov 2008 07:07:05 GMT

looking for a Compliance Manager. Job DescriptionTo develop and implement appropriate policies and controls with regards to the FSA- FSA regulator contact including management and co-ordination of regulatory visits and preparation of annual retail mediation activities return (RMAR)- Monitoring of EU regulatory change and supporting the distribution of products through the EU passporting regime- Regulatory sign-off of financial promotion/advertising material- Development and central control of corporate governance manuals- Monitoring, analysis and implementation of action leading from legislation and FSA regulatory developments and input to relevant industry consultations on the same- Preparing reports to the statutory Board and regulators on compliance matters-drives the provision of appropriate management information and systems and controls Person SpecificationRelevant business related qualification orrelevant detailed knowledge of the regulations affecting our business- Good knowledge of UK / EU distribution regulatory issues- Analytical skills - Ambitious, confident and able to work with minimal supervision- excellent organisational skills- Eye for detail- Influencing skills- Team player- Excellent verbal and written communications skills and an ability to communicate effectively and assertively with all areas of the business at all levels. £40,000.00 - Contact seller

FLT0811-47

The Company

Wed, 19 Nov 2008 07:07:04 GMT
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My client is a leading General Insurance Company.

You will be looking after the UK compliance operation as maternity leave has the current Head of Compliance covering the international regulatory needs. You will be dealing with client verification, claims and compliance monitoring in general. There is also some project work about to take place which you would play a key part in its implementation.

The Person

You will have Compliance Management experience ideally at a senior level within an insurance environment and have had lots of experience dealing with the FSA.

The Benefits

This is an exciting opportunity and is likely to be a fixed term contract in which the right candidate will receive a competitive salary

Deputy Head of Compliance is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £90,000.00 - Contact seller

Insurance and Compliance Assistant, Salary £18,000 to £22,000 The Company The

Wed, 19 Nov 2008 07:07:04 GMT

Only Group is rapidly becoming one of Europes fastest growing internet-based companies. Having recently launched its eighth successful brand this year, the company has enjoyed a growth rate of 400% over the past 2 years. Due to rapid growth and expansion plans, an excellent opportunity as an Insurance and Compliance Assistant has arisen. We operate through a vast range of financial sectors and this varied role involves identifying the relevant rules and requirements of the Financial Services Authority and providing the Group with the guidance and rules to ensure FSA compliance across the entire Group of companies. You will be involved in compliance training at all levels including implementing procedures for every company, providing compliance training for staff, liaising with team leaders and compiling reports and applications to the FSA. The Role As an Insurance and Compliance Assistant, you will have the chance to work in a unique role that has two tiers. You will work in the Financial Services sector as a Compliance Assistant and within one of our successful companies as an Insurance Assistant providing Legal Expense Insurance within the personal injury field. As Insurance Assistant you will be involved in monitoring and processing the entire legal expense insurance service from start to finish, from liaising between solicitors and insurers, issuing policies, monitoring the life of a policy, claims handling through to case settlement. The Candidate As an Insurance and Compliance Assistant, you must be highly motivated, target driven, organised with excellent communication and interpersonal skills. The ability to work efficiently and be able to manage large caseloads is essential. Additional skills required follows; Good attention to detail Enthusiastic and personable Interest within the financial sector Legal background Positive attitude and ability to achieve challenging targets Strong communications skills (ability to communicate at all levels) Good organisational skills This is a progressive role with the opportunity for promotion so applicants must possess ambition, initiative, determination and the ability to work well within a fast paced environment. We offer a competitive salary, extensive training and fantastic working environment; we believe in using peoples strengths and encouraging personal development, so if youre an enthusiastic motivated team player please forward your CV to us now.. £22,000.00 - Contact seller

Senior Compliance Manager A fantastic opportunity has arisen for a Senior

Wed, 19 Nov 2008 07:07:04 GMT

FSA0811-56

The Company

A Global

Wed, 19 Nov 2008 07:07:04 GMT

leader in the areas of Risk Management, Reinsurance and Human Capita Consulting has an interesting opportunity for a Compliance Monitoring Officer to join their locally based team.

The Role

The main purpose of this role will be to provide accurate, timely and consistent advice and guidance to operational staff in the development and monitoring of operational documents, procedures and computer systems to ensure effective compliance with FSA, Data protection and Health and Safety regulatory requirements. You will be expected to work closely with the Executive Manager of Risk and Compliance and identify any areas of concern or areas of review/ update to Compliance procedures and business procedures to actively contribute to the achievement of team and departmental goals/ objectives. You will also maintain the organizations monitoring frameworks, including MI data capture and provide compliance sign-offs and maintenance of registers (e. g. Complaints, Financial Promotions and Third Party Relationships).

The Person

The right candidate will have expert knowledge of regulatory issues and the general insurance industry, a detailed working knowledge of general insurance products (both personal and commercial) and a working knowledge and understanding of FSA principles and main rules to specifically include ICOB.

The Benefits

This is an excellent opportunity for the right candidate to join a well established organisation in an interesting and varied role and add to the ongoing success of the compliance team.

Compliance Monitoring Officer is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.. £40,000.00 - Contact seller

Our client operates in a highly regulated environment with many of its

Tue, 18 Nov 2008 07:07:51 GMT

activities open to scrutiny by the FSA. Failure to meet appropriate standards could have a significant impact on our client both reputationally and financially.

Our client operates a ?three lines of defence' approach to regulatory risk and compliance.

The First Line of Defence (1LOD) has primary responsibility for ensuring that its business is well controlled in line with the Enterprise Risk Management Framework (ERMF) and Financial Risk Control Framework (FRCF).

The Distribution Risk, Controls & Compliance team is a key part of risk management and compliance governance within Distribution.

The team also owns the oversight of outsourced responsibilities, including those to Partners and other Group business areas.

The purpose of the role is to work within the Distribution Risk, Controls & Compliance team, ensuring that Distribution operates an appropriate First Line of Defence (1LOD) as part of our client's approach to regulatory risk and compliance.

To manage the day-to-day relationship between the line in Distribution, the 1LOD, and the Second Line of Defence (2LOD) in Risk Management.

To support the effective implementation of Controllership by the 1LOD.

To ensure that Distribution sales processes satisfy compliance requirements.

KEY RESPONSIBILITIES
Delivery to the analytical requirements of the Distribution Risk, Controls & Compliance team
Identify and implement improved analysis and reporting methods
Develop and deliver key compliance controls via MI and reporting processes and tools
Support interpretation of MI by delivering an effective commentary to explain trends and anomalies in risk and compliance information
Devise and implement a regular risk and compliance reporting schedule
Produce ad-hoc MI and reports as required by key stakeholders including 2LOD
Provide services to customer-facing departments, which help them to treat customers fairly

Experience Skills & Qualifications

Essential

Relevant professional qualifications, or equivalent experience
Strong numerical and analytical skills
Attention to detail
Strong working knowledge of Microsoft Office
Able to provide analytical solutions to business problems
The ability to think through and analyse complex issues often where a degree of ambiguity exists
The ability to engage with stakeholders at all levels of the organisation
Fully conversant with the principles and customer outcomes of Treating Customers Fairly relevant to their role
Appropriate commercial business experience
Experience working in B2C and/or consumer services sectors
Working within a large complex commercial organisation
Experience of the UK financial services industry

Desirable

Relevant professional qualifications, or equivalent experience. £29,850.00 - Contact seller

Our Client is well known throughout Financial Services. They are now looking to

Tue, 18 Nov 2008 07:07:50 GMT

meet with an Individual who has good all-round Compliance Knowledge and Experience. This is a Fixed Term Temporary Role but could turn into a Permanent Situation. The Job:To provide a comprehensive central technical support service for the complete range of the Group's Insurance products and market. Requirements: Extensive and detailed knowledge of the operation of personal pension and occupational pension; financial services regulation and in particular, FSA rules; and the financial services market. Adept at presenting complex subjects in a clear and easily understood manner. Confident and effective at managing the resolution of technical issues with line management, without needing recourse to other members of Technical Services Proven ability to work under own initiative in a proactive and regulatory style FPC qualification desirable If a professional qualification is held, this will be AFPC, A/F CII or A/F PMI desirable Responsibilities: Deliver product specifications and formal documentation, and review product development initiatives designed in other departments, to ensure that there are no legislative or regulatory breaches. Responsible for delivery of new and existing technical projects, self- managing without recourse to senior expertise, to deliver complex technical content across a broad range of diverse projects. Contribute to a broad range of technical and regulatory input required for both internal and external media. Provide technical expertise for distribution channels, to enable them to deal effectively with customer queries and problems. The Individual:*Compliance Experience, probably in audit * Financial Promotions experience *A good understanding of TCF and be consumer focused* Ability to write Policy Summary and Key Features documents* Probably worked for a big life insurance company* Worked to a fairly senior level, so that you can give guidance to other members of the team.. £30,000.00 - Contact seller

Organisation DescriptionWorking for a leading financial services company who are

Organisation DescriptionMy client is a City based IFA practice, who are

Organisation DescriptionMy client is an IFA based in London, due to organic

Organisation DescriptionSalary: up to £53,000 + car allowance + excellent

Organisation DescriptionMy client isdedicated to delivering outsourcing

The Company: A well established professional services company in Southampton is

Due to further expansion our client, a well respected mortgage company

Our client operates in a highly regulated environment with many of its

Our client operates in a highly regulated environment with many of its

Our Client operates in a highly regulated environment with many of its

Our client operates in a highly regulated environment with many of its

London/ City The salary for this role is £35-40,000 plus pension. The hours are

JOB OUTLINE: An opportunity has arisen to join the Quality Team within the

Organisation DescriptionMy well established client are looking to expand their

FSA0811-51The CompanyA well

The Job/Duties Working as a Senior Operational Compliance Officer you will be

My client is a well established and prestigious investment management company

Marketing Manager - Business Planning and Strategy South East & Wiltshire To

Key Skills 3 years experience in a financial services regulatory monitoring role

Main Function To deliver high quality impact analysis of regulatory consultative

Industry Sector:Compliance / Regulatory JobCOMPLIANCE OFFICER Specific

A top new compliance role has just become available!Our client is a well known

Do you have a substantial background within compliance? Are you looking for a

Do you have a substantial background within compliance? Are you looking for a

Organisation DescriptionYou will be working for the UK's leading Wealth

Benefits:Entry into the flexible benefits schemeJob

Leading Investment Bank are seeking an additional Analyst to work in the PA

Leading Financial Services organisation are seeking an experience Data

A Senior member and Manager within the Compliance Team reporting to the

FLT0811-47The CompanyMy client

A leading product provider based in Manchester requires a compliance officer for

Experienced Group Compliance Manager Required (GI VERY WELL RESPECTED HOUSE) Up

My client is a well positioned and well though of product provider based in

Our client based in Swindon is looking to recruit a Compliance and Training

The Job/Duties Our client is seeking a self-motivated individual with business

Are you an experienced T&C Supervisor with a solid background in Financial

Main Purpose of Job: Financial Promotions - approve financial promotions

Compliance Officer/Assurance Officer/Business Compliance Officer/Compliance

Compliance officer Compliance officer wanted! It is essential that you have

Senior Compliance Manager A fantastic opportunity has arisen for a Senior

Organisation DescriptionMy Client is a leading Financial Services Company

Insurance and Compliance Assistant, Salary £18,000 to £22,000 The Company The

Senior Compliance Manager A fantastic opportunity has arisen for a Senior

FSA0811-56The CompanyA Global

Our client operates in a highly regulated environment with many of its

Our Client is well known throughout Financial Services. They are now looking to

FSA0811-51

The Company

A well

Benefits:
Entry into the flexible benefits scheme
Job

FLT0811-47

The Company

My client

FSA0811-56

The Company

A Global