Compliance Monitoring Officer

19 hours ago


Southampton, United States CV-Library Full time

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



  • Southampton, United States NewAge Industries Inc Full time

    Job 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...


  • Southampton, United States NewAge Industries Inc Full time

    Job 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...


  • Southampton, New York, United States ENT And Allergy Associates Full time

    We 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...

  • Accounting Manager

    1 week ago


    Southampton, United States Bethanna Full time

    Job 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...


  • Southampton, Massachusetts, United States CV-Library Full time

    Job 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...


  • Southampton, United States Stony Brook University Full time

    POSITION 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,...


  • Southampton, United States Stony Brook University Full time

    POSITION 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,...


  • Southampton, United States Bethanna Full time

    Job 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...


  • Southampton, United States Gecko Hospitality - NY Full time

    Job 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...

  • Sales Manager

    17 hours ago


    Southampton, United States CV-Library Full time

    Job 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...

  • Junior Sales Manager

    20 hours ago


    Southampton, United States CV-Library Full time

    Junior 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...


  • Southampton, United States i4 Search Group Full time

    Job 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,...


  • Southampton, United States i4 Search Group Full time

    Job 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,...


  • Southampton, United States i4 Search Group Full time

    Job 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,...


  • Southampton, United States i4 Search Group Full time

    Job 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,...

  • Physical Therapist

    1 week ago


    Southampton, New York, United States MEDadventures Full time

    Position 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...

  • Bar Manager

    4 days ago


    Southampton, United States Gecko Hospitality - NY Full time

    Job 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...

  • Registered Nurse

    4 weeks ago


    southampton, United States IntelyCare Full time

    Make 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...

  • Registered Nurse

    3 months ago


    southampton, United States IntelyCare Full time

    Make 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...

  • Registered Nurse

    3 months ago


    southampton, United States IntelyCare Full time

    Make 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...