Given the rise of significant legislative developments like the General Data Protection Regulation, keeping things above board is more important than ever. Having capable, influential personnel within your compliance department is the most effective way to meet regulations.
Compliance pros are committed to doing things the right way – and that’s exactly why you should choose FinTop to recruit heads of department, directors or managers.
Heads of Department
Meticulous, persevering people can be tough to come by, which is why recruiting for a head of compliance can be so frustrating. Fortunately, the FinTop database is packed with born compliance leaders.
You can’t afford to delay when searching for a compliance director. With FinTop, you can find someone who will keep your company on top of rules and regulations all year round.
For complete compliance control, you’ll need a hard-working, knowledgeable manager within the ranks. Contact us to find them.
Operations Analyst - Permanent
£40,0000 - £55,000 (DOE), Benefits:
Amazing opportunity to join a reputed global brokerage based in London Our client is currently building their London team and looking for an experienced Operations Analyst to join their team Key responsibilities - nbsp Reconciliations nbsp for all products nbsp nbsp - Trade Settlements Cash Management Margin Management - P amp L Analysis nbsp nbsp All candidates applying must have experience in Futures amp Options nbsp For more detailed spec and information please contact us on 0203 399 8444 nbsp
Compliance Consultant - Milton Keynes - Permanent
35000 - 45000, Benefits:
Role nbsp Compliance Consultant Field Location Milton Keynes nbsp Salary Up to pound 45K Key Requirement Minimum Level 4 Qualified DipPFS DipPFA nbsp Summary nbsp To work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms To identify opportunities and trends and to deliver a quality service to clients members ensuring compliance standards are enhanced risks mitigated and value added Key Responsibilities Client Member Facing nbsp nbsp Create and maintain effective relationships with Clients Members increasing knowledge and understanding of their business Represent the group at all times in a professional manner with external and internal clients Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning organisation and time management Provide consultative support to Client Member Firms to ensure relevant practical compliance solutions are provided to assist with firm risk management Provide support to clients members during times of regulatory change and update firms of any current relevant regulatory and or legislative changes during visits Produce and deliver accurate reports and action plans in a timely manner to provide clear practical solutions to specific business needs for clients members to enable them to develop monitor and maintain compliance standards to mitigate risks within their business Conduct file reviews if when required whilst onsite or remotely in line with group business requirements and policy Ensure delivery of T amp C Service with effective delivery of training needs analysis skills assessments one to ones and development plans Support and promote group events by participating in preparation and delivery of training presentations and or meetings as required nbsp nbsp Internal Supporting nbsp nbsp nbsp Maintain accurate client records ensuring all information is filed and held centrally within the CRM system and where relevant the associated client folder s Adhere to the internal group monitoring procedures and ensure consistency in delivery of services Play an active part in the consultancy team providing challenge and undertaking work to enhance the delivery of services to clients members via Taking opportunities both reactive and proactive to assist with the development additional services and support Encourage cross department interaction within the group to ensure information knowledge experience and innovation is shared across the business Provide challenge and constructive feedback to assist with the review development and maintenance of internal documentation to enable delivery of quality services nbsp Maintain and enhance own technical and regulatory knowledge via CPD including the reading of the FCA website group Regulatory Updates Handbook and other internal external industry updates as required Ensure suitable CPD records are maintained Develop and maintain effective and proactive working relationships with internal and external stakeholders Use knowledge and skills to support the growth and development the group both internally and in the external market via supporting the development of new business opportunities Contribute to the profitability of the business support growth and add value to existing Clients Members through the promotion of and introduction to relevant group services and business tools Provide introductions opportunities to other group departments to support growth and retention Undertake and support projects as and when required to support the needs of the business or to achieve departmental objectives Prepare for ongoing 1 1 appraisal meetings with manager and ensure necessary work undertaken to achieve individual objectives and targets Proactively manage own personal development plan to support self and group development initiatives Experience and Qualifications nbsp nbsp Previous experience working in a regulatory compliance environment Knowledge of IFA markets including provider lenders Broad technical knowledge across all product areas Minimum Level 4 qualification essential and mortgage qualification desirable G60 AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification Experience within knowledge of DFM DIM markets desirable Excellent customer service Proficient IT skills Excellent communication and telephone skills nbsp nbsp