Compliance Monitoring Officer
19 hours ago
Our client, a leading financial planning and wealth management firm, is looking for a Compliance Monitoring Officer to join the function on a permanent basis. As Compliance Monitoring Officer, you will be responsible for undertaking the risk-based second line monitoring function. Role Responsibilities: To undertake second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business. To assist the Head of Regulatory Compliance & Risk in the delivery of the annual routine compliance monitoring plan. To assist the Head of Regulatory Compliance & Risk in reprioritising the plan each quarter based on emerging risks in the business. Assist in the design of thematic reviews as required. Assist in the design of discovery reviews as required. To undertake routine, discovery and thematic reviews as required and produce draft reports for the approval of the Head of Regulatory Compliance & Risk. To undertake bespoke investigations where risk indicators indicate a significant breach of company procedure or FCA rules. Stay up to date on Consumer Duty training and regulations as they pertain to financial planning operations and administration. Under manager supervision, consider client needs, treat them fairly, and act in their best interests when executing administrative tasks related to client assets, reporting, and queries. Identify any issues relating to poor client outcomes or foreseeable harm to your manager. Key Skills & Experience: At least 3 years experience in a compliance monitoring function of a financial planning and/or investment management business. Confident and influential presentation skills, both internally and externally. Excellent organisation skills, with ability to work to tight deadlines and manage multiple tasks. Good understanding of financial planning markets. Good knowledge of UK regulation. Extensive and up to date technical knowledge of the financial planning process through appropriate industry exams and CPD, including products, funds, pensions, markets, appropriate financial instruments, the required regulatory standards and their relevance to private clients. Up to date with key developments, industry/market changes and regulations. Well-developed and effective communicator both verbally and in writing, exhibiting good questioning and listening skills, including excellent report writing skills. Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities. J-18808-Ljbffr
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Sales and Marketing Coordinator
4 weeks ago
Southampton, United States NewAge Industries Inc Full timeJob Type Full-time Description Project Management: Oversee the development and finalization of marketing materials, including brochures and print collateral, by coordinating between the internal marketing communications team and external creative vendors. Make in-house updates as needed and submit materials for compliance approval. Event Support: Assist...
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Sales and Marketing Coordinator
4 weeks ago
Southampton, United States NewAge Industries Inc Full timeJob Type Full-time Description Project Management: Oversee the development and finalization of marketing materials, including brochures and print collateral, by coordinating between the internal marketing communications team and external creative vendors. Make in-house updates as needed and submit materials for compliance approval. Event Support: Assist...
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Site Management Specialist
5 days ago
Southampton, New York, United States ENT And Allergy Associates Full timeWe are seeking a skilled and organized Practice Site Administrator to oversee the day-to-day operations of our Southampton office.Job SummaryThe ideal candidate will have excellent communication and leadership skills, with the ability to manage multiple tasks simultaneously. They will be responsible for ensuring the smooth operation of the office, including...
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Accounting Manager
1 week ago
Southampton, United States Bethanna Full timeJob OverviewBethanna is a non-profit Christian organization seeking an experienced Accounting Manager to oversee its financial operations. This role will be responsible for ensuring compliance with financial and regulatory controls, providing critical financial insights, and supporting the organization's mission and strategic goals.About BethannaBethanna...
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Criminal Duty Solicitor
1 week ago
Southampton, Massachusetts, United States CV-Library Full timeJob Title: Criminal Duty Solicitor">About Us: Clear Legal Recruitment Limited is a leading provider of legal recruitment solutions, and we are currently seeking an experienced Criminal Duty Solicitor to join our team in Basingstoke.">Salary: £40,000 - £60,000 per annum, depending on experience. The salary range reflects the level of expertise and...
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Patient Access Services, Coordinator
1 month ago
Southampton, United States Stony Brook University Full timePOSITION SUMMARY: The Patient Access Services, Quality Improvement (QI) Coordinator will have a very diverse range of responsibilities, including implementing improvement activities, policy and procedure management, and increasing compliance rates, which require excellent professional skills. This position will be responsible for data collection, analysis,...
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Patient Access Services, Coordinator
1 month ago
Southampton, United States Stony Brook University Full timePOSITION SUMMARY: The Patient Access Services, Quality Improvement (QI) Coordinator will have a very diverse range of responsibilities, including implementing improvement activities, policy and procedure management, and increasing compliance rates, which require excellent professional skills. This position will be responsible for data collection, analysis,...
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Senior Human Resources Coordinator
6 days ago
Southampton, United States Bethanna Full timeJob OverviewBethanna, a leader in implementing evidenced-based behavioral health care, is a Christian organization that provides high-quality systems of care for children and families to ensure safety, restore emotional wellness, and build family stability.Estimated Salary: $63,000-$80,000 per yearJob ResponsibilitiesThe HR Generalist-Benefits Administration...
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Restaurant General Manager
2 weeks ago
Southampton, United States Gecko Hospitality - NY Full timeJob DescriptionJob DescriptionGeneral ManagerLocation: Southampton, NYPosition Overview:We are seeking a dedicated and experienced General Manager to oversee all aspects of operations at a renowned restaurant in Southampton. The ideal candidate will have a strong background in managing upscale dining establishments, with a focus on creating exceptional guest...
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Sales Manager
17 hours ago
Southampton, United States CV-Library Full timeJob ID: 3031/2 Location: Andover Rate/Salary: 40,000 We are looking for a Sales Manager / Business Development Manager to join a fast-expanding engineering company based in Andover. As a Sales Manager / Business Development Manager, you will focus on driving sales and growing the condition monitoring product range. This full 360 role will help drive the...
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Junior Sales Manager
20 hours ago
Southampton, United States CV-Library Full timeJunior Sales Manager - IND1 TXM Recruit are working with a privately owned company that has been supplying retailers across the UK and Europe for the last 22 years. They are seeking a new Junior Sales Manager based out of the head office in Fleet. With aggressive growth plans within America, the successful applicant will support the Head of Sales for the USA...
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Dialysis RN Clinical Manager
3 weeks ago
Southampton, United States i4 Search Group Full timeJob DescriptionJob DescriptionPOSITION TYPE: Registered Nurse (RN)SPECIALTY UNIT: Dialysis Center Manager LOCATION: Southampton, NY SHIFT: M-FJOB TYPE: Full-Time PermanentJob DescriptionThe Center Manager (Registered Nurse) is responsible for the day to day operations of the dialysis center. This includes, but not is not limited to patient, center,...
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Dialysis RN Clinical Manager
3 weeks ago
Southampton, United States i4 Search Group Full timeJob DescriptionJob DescriptionPOSITION TYPE: Registered Nurse (RN)SPECIALTY UNIT: Dialysis Center Manager LOCATION: Southampton, NY SHIFT: M-FJOB TYPE: Full-Time PermanentJob DescriptionThe Center Manager (Registered Nurse) is responsible for the day to day operations of the dialysis center. This includes, but not is not limited to patient, center,...
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Dialysis RN Clinical Manager
3 weeks ago
Southampton, United States i4 Search Group Full timeJob DescriptionJob DescriptionPOSITION TYPE: Registered Nurse (RN)SPECIALTY UNIT: Dialysis Center Manager LOCATION: Southampton, NY SHIFT: M-FJOB TYPE: Full-Time PermanentJob DescriptionThe Center Manager (Registered Nurse) is responsible for the day to day operations of the dialysis center. This includes, but not is not limited to patient, center,...
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Dialysis RN Clinical Manager
3 weeks ago
Southampton, United States i4 Search Group Full timeJob DescriptionJob DescriptionPOSITION TYPE: Registered Nurse (RN)SPECIALTY UNIT: Dialysis Center Manager LOCATION: Southampton, NY SHIFT: M-FJOB TYPE: Full-Time PermanentJob DescriptionThe Center Manager (Registered Nurse) is responsible for the day to day operations of the dialysis center. This includes, but not is not limited to patient, center,...
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Physical Therapist
1 week ago
Southampton, New York, United States MEDadventures Full timePosition Summary: We are seeking a compassionate and dedicated Physical Therapist to join our team at MedAdventures in Southampton, NY. This is a 13-week assignment with potential for extension.Key Responsibilities:Conduct thorough patient evaluations to determine functional limitations and treatment needs.Develop individualized treatment plans based on...
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Bar Manager
4 days ago
Southampton, United States Gecko Hospitality - NY Full timeJob DescriptionJob DescriptionBar Manager / MixologistLocation: Southampton, NYPosition Overview:We are seeking a skilled and creative Bar Manager / Mixologist to lead the bar program at a distinguished restaurant in Southampton. The ideal candidate will have extensive experience in bartending, cocktail creation, and managing a bar team. This individual will...
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Registered Nurse
4 weeks ago
southampton, United States IntelyCare Full timeMake up to $70 per hour as a Registered Nurse (RN) in Southampton, Pennsylvania, and surrounding areas, with the flexibility to choose which shifts you work at any of our partner facilities — and the support of W2 employment. IntelyCare was founded by nurses, for nurses, so we understand the importance of providing nursing professionals with a healthy...
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Registered Nurse
3 months ago
southampton, United States IntelyCare Full timeMake up to $70 per hour as a Registered Nurse (RN) in Southampton, Pennsylvania, and surrounding areas, with the flexibility to choose which shifts you work at any of our partner facilities — and the support of W2 employment. IntelyCare was founded by nurses, for nurses, so we understand the importance of providing nursing professionals with a healthy...
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Registered Nurse
3 months ago
southampton, United States IntelyCare Full timeMake up to $70 per hour as a Registered Nurse (RN) in Southampton, Pennsylvania, and surrounding areas, with the flexibility to choose which shifts you work at any of our partner facilities — and the support of W2 employment. IntelyCare was founded by nurses, for nurses, so we understand the importance of providing nursing professionals with a healthy...