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Location: Edinburgh Contract Type: Full-Time / Part-Time / Fixed-Term Reports to: Senior Trustee About Us: We are a dedicated children's education charity, committed to providing safe, inspiring spaces where young people can thrive. As we grow and manage multiple office and learning centre properties, we are seeking a capable and proactive Legal &amp; Compliance Officer to support our operations. This is a unique opportunity to contribute to a mission-driven organisation while playing a key role in ensuring our legal, property, and health &amp; safety compliance. Role Overview: The Legal &amp; Compliance Officer will support the charity in a broad range of legal matters, particularly those relating to commercial property, corporate governance, contracts, and health and safety. While not required to be a solicitor, the successful candidate will have significant experience in corporate and property law, and a sound understanding of compliance in the context of health and safety for multi-site operations. Key Responsibilities: Legal &amp; Property <ul><li>Provide guidance on corporate legal matters, including contracts, policies, and governance</li><li>Advise on commercial leases, landlord-tenant issues, property acquisition/licensing, and property compliance</li><li>Review and negotiate contracts with suppliers, service providers, and third parties</li><li>Ensure all property-related documentation is accurate, up-to-date, and legally compliant</li></ul>Health &amp; Safety Compliance <ul><li>Oversee and support the scheduling and completion of health &amp; safety inspections across all charity-owned or occupied sites</li><li>Ensure all sites are compliant with relevant health &amp; safety laws and best practices</li><li>Liaise with external advisors or inspectors where required</li><li>Support the implementation of risk assessments and internal H&amp;S policies</li></ul>General Compliance &amp; Risk <ul><li>Keep abreast of legal and regulatory changes relevant to the charity sector</li><li>Support internal training and awareness for legal and compliance matters</li><li>Work with leadership on risk identification and mitigation strategies</li></ul>Person Specification: Essential: <ul><li>Strong working knowledge of UK corporate and commercial property law</li><li>Proven experience working in a legal, compliance, or governance-related role (in-house or private practice)</li><li>Practical knowledge of health &amp; safety obligations in an office or educational environment</li><li>Excellent attention to detail and organisational skills</li><li>Strong interpersonal and communication skills</li><li>Alignment with the values and mission of a children-focused charity</li></ul>Desirable: <ul><li>Previous experience working in or with the charity or education sectors</li><li>NEBOSH or IOSH qualification (or similar)</li><li>Experience managing or coordinating property inspections or facilities compliance</li></ul>What We Offer: <ul><li>The chance to make a meaningful impact in the lives of children and young people</li><li>A collaborative and supportive team environment</li><li>Flexible or hybrid working arrangements</li><li>Opportunities for professional development and training</li></ul>

Legal & Compliance Officer

Job summary This dual-role post supports both operationaland regulatory functions within the practice. The post-holder will work 16hours per week as Deputy Reception Manager, providing leadership and oversightof reception team operations, and 20 hours per week as Compliance Officer,supporting governance, risk management, and regulatory compliance. Theindividual will be expected to demonstrate flexibility, professionalism, andstrong organisational skills, contributing to the delivery of high-qualitypatient services and effective practice governance. Main duties of the job The Compliance Officer plays a critical rolein supporting the senior management team by ensuring robust governancestructures, effective risk management, and adherence to policies and regulatoryrequirements within the practice. The post holder will assist in ensuring thepractice meets their contractual and commissioned requirements and complieswith CQC regulations. This position is responsible for assisting the development,review, and implementation of organisational policies, maintaining the riskregister, ensuring compliance, and providing high-quality administrativesupport for governance meetings, including scheduling, agenda preparation, andminute-taking.The Reception Team lead will provideleadership and management skills to enable the surgery to meet its agreed aimsand objectives within a profitable, efficient, safe, and effective workingenvironment. Working alongside our reception manager in her absence to providedleadership and support. The post-holder will uphold the higheststandards of confidentiality and integrity, fostering a culture oftransparency, accountability, and continuous improvement. About us Whitewater Health is a progressive and patient-focused GP practice located in Northeast Hampshire, operating across two sites in Hook and Hartley Wintney. We serve a diverse and growing population of approximately 18,000, providing high-quality, accessible healthcare with a strong emphasis on continuity of care, innovation, and collaborative working. As a training and teaching practice, we are proud to support the development of clinicians at all stages of their careers, fostering a culture of learning, reflection, and clinical excellence. Our multidisciplinary team includes GPs, ACP's, Frailty team, practice nurses, HCAs, pharmacists, social prescribers, physiotherapists, and mental health practitioners, working together to deliver holistic care tailored to the needs of our patients. We are rated Good by the Care Quality Commission and are actively engaged in quality improvement initiatives across the practice and wider Primary Care Network. Our commitment to staff wellbeing, professional development, and inclusive practice makes Whitewater Health a rewarding and supportive environment in which to thrive. Job description Job responsibilities The following are the core responsibilities. There may be, on occasion, a requirement to carry out other tasks; this will be dependent upon factors such as workload, staffing levels and changing business environment. Compliance Officer (20 hours/week) <ul> <li>Coordinate governance and risk management activities, including scheduling meetings, preparing agendas, and accurate minute-taking.</li> <li>Assist the maintenance and the review of organisational policies and procedures, ensuring alignment with legislation and best practice. Develop draft policies in response to business change.</li> <li>Maintain the risk register, support risk assessments, and escalate significant risks to senior management.</li> <li>Monitor compliance with statutory and regulatory frameworks, particularly CQC, and maintain inspection-readiness documentation in collaboration with the senior management team.</li> <li>Support audits, inspections, and incident investigations, ensuring appropriate reporting and follow-up.</li> <li>Oversee health and safety processes, including fire safety and risk assessments, working closely with the senior management team.</li> <li>Ensure HR compliance by tracking mandatory training, DBS checks, occupational health clearances, sickness review meetings and maintaining accurate records. </li> <li>Promote confidentiality, data protection, and GDPR compliance across the practice.</li> <li>Contribute to new service implementation, procurement processes, and quality improvement initiatives.</li></ul>Reception Team Leader (16 hours/week) <ul> <li>Assist the Reception Manager in supervising the reception team and ensuring delivery of high-quality patient services.</li> <li>Manage reception and clinical rotas to ensure adequate cover across both sites.</li> <li>Conduct staff appraisals, return-to-work interviews, and deliver team training as required.</li> <li>Provide frontline support during busy periods, including call handling and patient enquiries.</li> <li>Act as the first point of contact for verbal complaints, ensuring they are managed professionally and empathetically.</li> <li>Ensure building safety by maintaining evacuation lists and serving as Fire Marshal.</li> <li>Oversee deliveries to the practice, ensuring adherence to protocols such as the cold chain.</li></ul>The post-holder will be expected to demonstrate a high level of professionalism, integrity, and discretion while fostering a culture of continuous improvement, accountability, and excellent patient care. Job description Job responsibilities The following are the core responsibilities. There may be, on occasion, a requirement to carry out other tasks; this will be dependent upon factors such as workload, staffing levels and changing business environment. Compliance Officer (20 hours/week) <ul> <li>Coordinate governance and risk management activities, including scheduling meetings, preparing agendas, and accurate minute-taking.</li> <li>Assist the maintenance and the review of organisational policies and procedures, ensuring alignment with legislation and best practice. Develop draft policies in response to business change.</li> <li>Maintain the risk register, support risk assessments, and escalate significant risks to senior management.</li> <li>Monitor compliance with statutory and regulatory frameworks, particularly CQC, and maintain inspection-readiness documentation in collaboration with the senior management team.</li> <li>Support audits, inspections, and incident investigations, ensuring appropriate reporting and follow-up.</li> <li>Oversee health and safety processes, including fire safety and risk assessments, working closely with the senior management team.</li> <li>Ensure HR compliance by tracking mandatory training, DBS checks, occupational health clearances, sickness review meetings and maintaining accurate records. </li> <li>Promote confidentiality, data protection, and GDPR compliance across the practice.</li> <li>Contribute to new service implementation, procurement processes, and quality improvement initiatives.</li></ul>Reception Team Leader (16 hours/week) <ul> <li>Assist the Reception Manager in supervising the reception team and ensuring delivery of high-quality patient services.</li> <li>Manage reception and clinical rotas to ensure adequate cover across both sites.</li> <li>Conduct staff appraisals, return-to-work interviews, and deliver team training as required.</li> <li>Provide frontline support during busy periods, including call handling and patient enquiries.</li> <li>Act as the first point of contact for verbal complaints, ensuring they are managed professionally and empathetically.</li> <li>Ensure building safety by maintaining evacuation lists and serving as Fire Marshal.</li> <li>Oversee deliveries to the practice, ensuring adherence to protocols such as the cold chain.</li></ul>The post-holder will be expected to demonstrate a high level of professionalism, integrity, and discretion while fostering a culture of continuous improvement, accountability, and excellent patient care. Person Specification Experience Essential <ul> <li>Experience in a governance, compliance, or risk, management role</li> <li>Experience maintaining a risk register and supporting risk assessment processes</li> <li>Experience monitoring HR compliance (e.g., DBS, immunisations, training)</li> <li>Experience taking accurate and professional meeting minutes</li> </ul> Desirable <ul> <li>Experience working in a healthcare or regulated environment</li> <li>Experience coordinating or supporting regulatory inspections (e.g., CQC)</li> <li>Experience using clinical or organisational governance systems or platforms</li> <li>Experience in handling patient complaints or incidents</li> </ul> Qualifications Essential <ul> <li>Experience in supervising or managing teams</li> <li>Evidence of continuing professional development (CPD)</li> </ul> Desirable <ul> <li>Formal training in risk management, governance, or compliance</li> <li>IOSH or NEBOSH health and safety qualification</li> <li>Information Governance or GDPR-related training</li> </ul>Person Specification Experience Essential <ul> <li>Experience in a governance, compliance, or risk, management role</li> <li>Experience maintaining a risk register and supporting risk assessment processes</li> <li>Experience monitoring HR compliance (e.g., DBS, immunisations, training)</li> <li>Experience taking accurate and professional meeting minutes</li> </ul> Desirable <ul> <li>Experience working in a healthcare or regulated environment</li> <li>Experience coordinating or supporting regulatory inspections (e.g., CQC)</li> <li>Experience using clinical or organisational governance systems or platforms</li> <li>Experience in handling patient complaints or incidents</li> </ul> Qualifications Essential <ul> <li>Experience in supervising or managing teams</li> <li>Evidence of continuing professional development (CPD)</li> </ul> Desirable <ul> <li>Formal training in risk management, governance, or compliance</li> <li>IOSH or NEBOSH health and safety qualification</li> <li>Information Governance or GDPR-related training</li> </ul>Disclosure and Barring Service Check This post is subject to the Rehabilitation of Offenders Act (Exceptions Order) 1975 and as such it will be necessary for a submission for Disclosure to be made to the Disclosure and Barring Service (formerly known as CRB) to check for any previous criminal convictions. Employer details Employer name Whitewater Health Address Reading Road Hook Hampshire RG27 9ED Employer's website

Reception Team Leader & Compliance Officer

<ul> <li>Job ID: 291043</li> <li>Date posted: 16/06/2025</li> IKEA Exeter are looking to welcome a Safety and Security Assistant to join our Business Risk and Compliance team. The purpose of this role is to safeguard IKEA co-workers, customers, visitors, and assets from preventable losses, injuries, or illnesses, and to enhance the working and shopping experience for everyone. It involves establishing a risk-aware culture within the Unit by actively evaluating and managing risks in collaboration with the functions and risk owners, and by fostering an understanding of IKEA's desired level of Risk and Compliance. WHAT WE OFFER • £12.60 an hour hourly rate. • We can discuss flexibility to match your life and our business needs during the interview. • Induction date will be Saturday and Sunday, 12 and 13 July. We have a 24-hour contract working 3 in 4 weekends, as well as some shifts through the week. Shifts may be early, during the day or until 21:00pm. We also have a 12-hour weekend-only contract (availability to work one day during the week (Mon-Fri) would be needed as well). WORKING WITH US HAS ITS REWARDS Our co-workers bring unique ideas and skills to work every day, and we offer a variety of benefits that suit their and their family's everyday needs. • 15% IKEA discount and discount portal helping you save hundreds on High Street retailers. • Life Assurance of 4 times your pay, enhanced statutory pension contributions and interest free loans. • End of year gift, Family Friendly policies and benefits. • IKEA gives you the opportunity to grow with us ...as well as so much more! Click below for a full list of our benefits: <a href="https://www.ikea.com/gb/en/this-is-ikea/work-with-us/why-work-with-us-because-a-job-with-us-is-so-much-more-than-a-job-pub1969c310" target="_blank">https://www.ikea.com/gb/en/this-is-ikea/work-with-us/why-work-with-us-b…</a> WHAT YOU'LL NEED TO HAVE • The most important requirements are a passion and experience in retail, good customer service, and administrative duties. • You will demonstrate professionalism in your decision-making, motivated to learn and committed to safety. • You have a high standard of written and verbal communication skills. Interpersonal and methodological problem-solving skills. • An ability to work in a self-directive environment to resolve problems and to complete tasks within deadlines, an ability to work in an environment with tight deadlines. • Proficiency in using computers and digital tools to complete administrative tasks. WHAT YOU'LL BE DOING DAY TO DAY The job is varied and no two days are the same. You contribute to the shopping experience by ensuring a safe environment for our customers and co-workers. • You will support the Safety &amp; Security function in store through monitoring and reviewing of CCTV and other security infrastructure. • You meet and greet all persons entering the store and maintaining visitor, contractors and co-worker access to and from the store. • You will complete administrative tasks when required, such as compliance and auditing paperwork. • This role involves working directly with customers at times, for instance, where customers may have forgotten to scan items. The ability to work professionally, in a professional and values-driven way, is important. • It is desirable that you are able to use safety and security systems, and have experience doing so. Full training will be provided in-role. WE CARE FOR THE PEOPLE It takes the diversity of thought, background, and culture to make great ideas a reality. We welcome candidates from all walks of life, including those with disabilities, to join us and be valued in the workplace. Come see the wonderful workday where we create a better everyday life for the many. RECRUITMENT PROCESS INFORMATION Let us know if you require any adjustments to be made during the interview process as soon as possible. • Please attach an updated CV with your application so we can get to know you better. • Shortlisted candidates will be invited by email to a face-to-face interview. We understand not everyone will be successful, but we promise to keep you informed either way. For any advice or support, email Recruiter <a href="mailto:ari.davies-ho4@Ingka.ikea.com" target="_blank">ari.davies-ho4@Ingka.ikea.com</a> and I will be happy to help!</ul>

Risk and Compliance Assistant

There has never been a more exciting time to join Wirral Council. We've got ambitious targets to meet and to achieve everything we have promised to our residents, we need people who are ready to deliver the very best for our communities and show how they can #BeTheDifference. Our vision is to secure the best possible future for our residents, defined by the community prosperity we create and supported by our excellent people and services. If you strive to #BeTheDifference and want to be at the heart of our change and improvement journey, then this could be the perfect job for you. Regulatory Compliance Officer (Alcohol) - 18 hours. Fixed Term Contract - 18 months from commencement in post. About the role: An opportunity has arisen for a Regulatory Compliance Officer to work within the Trading Standards Service. Protecting our communities is at the core of Wirral Council and as a Trading Standards Regulatory Compliance Officer you will contribute to the effective delivery of the statutory service using a wide range of consumer protection legislation ensuring goods and services sold within the Borough are safe and legal. About the Candidate: The right candidate will assist in the delivery of the service by working with colleagues in Public Health to deliver a specialist project over an 18-month period linked to tackling illicit and illegal alcohol products in the Borough, age restricted sales and business and consumer education programme Wirral Council offers a variety of employee benefits such as People Plus which will give you a range of discounts on retail, food and travel, the Tusker scheme that will assist you in purchasing a brand-new car and enrolment in the Merseyside Pension Fund. We offer a range of support to our staff including occupational health service to support with health and well-being, an employee assistance programme that provides counsel for work and personal issues, workplace well-being schemes, sick pay and help managing finances. Trading Standards offers a highly professional and reliable service to all customers across the borough, we would love you to join us on our journey to #BeTheDifference to our residents. For an informal discussion about the role, please contact Gill Vicary via email at <a href="mailto:gillvicary@wirral.gov.uk" target="_blank">gillvicary@wirral.gov.uk</a>. Interviews to be held 15 July 2025. This post requires a DBS check. The Safer Recruitment &amp; Employment Policy and the Disclosures for Recruitment Procedure can be found at : <a href="https://www.wirral.gov.uk/jobs-and-training/job-vacancies/safer-recruitment-and-employment" target="_blank">https://www.wirral.gov.uk/jobs-and-training/job-vacancies/safer-recruit…</a> If your skills, knowledge or experience looks a little different from what we have identified and you think you can bring value to the role, we'd love to learn more about you - as subject to the skills, knowledge or experience levels within the candidate pool we may explore a traineeship for this role. If you're already a Wirral Council employee, and as part of our Talent Strategy, we're committed to strengthening opportunities for our people to learn, grow, progress and thrive. For many of you, this may be preparing and applying for your next role with us, and we're passionate about ensuring you feel supported throughout your internal recruitment experience. Please get in touch if you want to know more about some of the ways in which we could support you by emailing <a href="mailto:recruitment@wirral.gov.uk" target="_blank">recruitment@wirral.gov.uk</a> If you are a Wirral resident, are unemployed or out of work, and require help with your application, please contact Involve Northwest's employment and skills team on <a href="mailto:info@involvenorthwest.org.uk" target="_blank">info@involvenorthwest.org.uk</a> or contact 0151 644 4500 or 0151 652 4349. Working at Wirral You'll also want to know what it's like to work here so, as a start: Our values are more than just pieces of paper on our walls! We've all played a role in developing these, so they reflect the immense pride we have in what we do, what matters to us, what inspires us and inform how we think, approach things and behave. We believe in ensuring staff are well looked after, staff wellbeing is a priority for us. We're serious about recognising and rewarding people for the great things they do. You'll benefit from our track record of developing, growing and investing in our people. We have a range of staff benefits including staff discounts, an excellent pension scheme which includes a generous employer contribution rate, immediate life cover and ill-health protection. We have a strong flexible working approach, hybrid working, family-friendly employment initiatives and an annual leave package starting with 28 days leave plus public holidays. We have an inclusive, engaged culture, everyone has a voice, everyone is valued for their contribution and understands the role they play in delivering our strategic priorities. Each voice is heard, each contribution valued. We embrace diversity in our workforce and recognise it is critical to our success. We support an inclusive culture that champions differences and nurtures a sense of belonging. We encourage people from diverse backgrounds, who share our values and our commitment to inclusion to apply for roles with us. We want you to be your best at work, we create the conditions to help you thrive and we mirror this in our recruitment process. If you'd like us to do anything differently during the recruitment process to make it barrier-free and as accessible as possible, please contact <a href="mailto:recruitment@wirral.gov.uk" target="_blank">recruitment@wirral.gov.uk</a> Please note that in accordance with the Council's policy, employees who are in a formal redeployment situation will be considered in the first instance for all vacancies. It is Council policy not to re-appoint any employee who has left under the terms of the Council's Early Voluntary Retirement (EVR) scheme or who have left with a voluntary severance (VS) package, unless in exceptional circumstances. Applications will be accepted until midnight on the closing date. We reserve the right to close this vacancy earlier than the specified date should we receive sufficient applications. Applications can only be accepted through the Jobs page following registration. Forms received via the post will not be processed. All applicants invited to interview must evidence their right to work in the UK. Details of required documents can be found by clicking the link at the bottom of the Jobs page. The job description and other supporting documents will not be accessible once the vacancy closing date has passed so if a copy is required you should download it now. We do not accept applications or CV's from recruitment agencies, unless otherwise stated. Therefore, any candidates submitted via a recruitment agency will not be considered for this role. How to apply Please apply online by clicking the link below

Regulatory Compliance Officer (Alcohol)

Job Description About the Role: This position mandates the individual to hold FCA approval for carrying out SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions. It's a part-time position that requires working 2 days/week. SMF16 - Compliance Oversight function: <ul><li>Assume responsibility for overseeing and managing the firm's Compliance and Governance frameworks, encompassing all aspects of a fully operational compliance function. This includes oversight of fund promotion and distribution, regulatory facets, and monitoring.</li><li>Develop regular monitoring practices and procedures to evaluate the adequacy and efficacy of the firm's control systems.</li><li>Collaborate with operational departments to formulate risk-based policies and procedures, tailored to minimize the risk of regulatory breaches.</li><li>Engage in regulatory monitoring and management, addressing emerging risks, potential non-compliance areas, and advising on suitable mitigative actions.</li><li>Implement any necessary FCA rules and regulations pertinent to the UK business.</li><li>Dispense regulatory counsel and guidance across the organization, coupled with training sessions for staff on compliance matters.</li><li>Effectively handle both real and potential conflicts of interest.</li><li>Stay abreast of relevant regulatory changes, ensuring adherence to SM16/17 obligations.</li></ul>SMF17 - Money Laundering Reporting Officer function: <ul><li>Evaluate and approve client onboarding processes.</li><li>Report any potentially suspicious activities or transactions.</li><li>Oversee the application of up-to-date AML/CTF (Anti-Money Laundering/Counter-Terrorism Financing) policies and procedures.</li><li>Respond to requests for information from the FCA, other regulators, law enforcement agencies, or clients, regarding regulatory or law enforcement inquiries.</li><li>Conduct an annual money laundering risk assessment in relation to the company's business.</li><li>Ensure regular training for staff on anti-money laundering practices.</li><li>Provide at least an annual report to the firm's governing body on the firm's anti-money laundering systems and controls.</li></ul>Requirements <ul><li>Demonstrated exposure to Compliance and Risk functions within Financial Institutions.</li><li>Proficiency as a capable leader, possessing robust technical knowledge, analytical acumen, and strategic thinking.</li><li>Familiarity with Alternative Investment Asset Classes and Fund operations.</li><li>Experience overseeing distribution compliance and governance, including assessing and ensuring the suitability of investors at various levels.</li><li>Confidence in collaborating with and interacting among senior management members across the organization.</li><li>Advanced stakeholder management prowess, encompassing dealings with regulators and external entities.</li><li>Profound familiarity with FCA regulations, particularly SM16/17 requirements.</li><li>Exceptional organizational skills, effective communication, and a meticulous eye for detail.</li></ul>

Compliance Officer & MLRO

Industry Sector: Financial Industry (Independent financial planning advice) Department: Compliance Job Specification - Main purpose/aim of the job: To work alongside the Compliance manager to support and assist with most aspects of ongoing compliance monitoring, in the York office, including the following tasks: • To provide a business friendly and approachable compliance service to management, staff and external parties; • Review and monitoring of client files to assess client 'Suitability'; • Carry out ongoing AML reviews; • Produce and maintain regulatory MI reports; • Assisting with the identification, resolution and recording of any errors and regulatory breaches; • Assisting with the investigation, resolution and recording of client complaints;; • Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications; • Assisting with the submission of FCA returns; • Helping to review and approve financial promotions as and when required; • Helping to monitor the training and competence (T&amp;C) for certified individuals (Financial Planners); • Review and update in-house Compliance policies and procedures; • Review and update client literature; • Liaise with the Compliance Manager regarding risk, regulatory changes and any other ongoing issues. Experience &amp; Other Requirements: • Demonstrate a desire or aptitude to work in compliance: • oCompliance-related work placements and understanding of suitability reports oRelevant Experience of working in a financial services firm of at least 2 years • Genuine interest in pursuing a career in compliance • Highly ethical • Appropriate professional examinations are not a requirement but desirable Person Specification: • Ability to engage with the full range of business functions particularly in order to carry out the monitoring work • Ability to challenge in a constructive way • Investigative skills Job Title: Compliance Assistant (part time) Location: York Industry Sector: Financial Industry (Independent financial planning advice) Department: Compliance Job Specification - Main purpose/aim of the job: To work alongside the Compliance manager to support and assist with most aspects of ongoing compliance monitoring, in the York office, including the following tasks: <ul><li>To provide a business friendly and approachable compliance service to management, staff and external parties.</li><li>Review and monitoring of client files to assess client 'Suitability';</li><li>Carry out ongoing AML reviews;</li><li>Produce and maintain regulatory MI reports;</li><li>Assisting with the identification, resolution and recording of any errors and regulatory breaches;</li><li>Assisting with the investigation, resolution and recording of client complaints;;</li><li>Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications;</li><li>Assisting with the submission of FCA returns;</li><li>Helping to review and approve financial promotions as and when required;</li><li>Helping to monitor the training and competence (T&amp;C) for certified individuals (Financial Planners);</li><li>Review and update in-house Compliance policies and procedures;</li><li>Review and update client literature;</li><li>Liaise with the Compliance Manager regarding risk, regulatory changes and any other ongoing issues.</li></ul>Experience &amp; Other Requirements: <ul><li>Demonstrate a desire or aptitude to work in compliance:</li></ul><ul><ul><li>Compliance-related work placements and understanding of suitability reports</li><li>Relevant Experience of working in a financial services firm of at least 2 years</li></ul><li>Genuine interest in pursuing a career in compliance</li><li>Highly ethical</li><li>Appropriate professional examinations are not a requirement but desirable</li></ul>Person Specification: <ul><li>Ability to engage with the full range of business functions particularly in order to carry out the monitoring work</li><li>Ability to challenge in a constructive way</li><li>Investigative skills</li><li>Analytical and methodical approach</li><li>Self-starter and highly motivated</li><li>Results oriented</li><li>Organised</li><li>Numerate</li><li>Observant and resourceful</li><li>Problem solving abilities</li><li>Detail orientated</li></ul>Reporting to: <ul><li>Compliance Manager</li></ul>• Compliance ManageDate: Jan 2025

Compliance Assistant

Job Title: Compliance Assistant (part time) Location: York Industry Sector: Financial Industry (Independent financial planning advice) Department: Compliance Job Specification - Main purpose/aim of the job: To work alongside the Compliance manager to support and assist with most aspects of ongoing compliance monitoring, in the York office, including the following tasks: <ul><li>To provide a business friendly and approachable compliance service to management, staff and external parties;</li><li>Review and monitoring of client files to assess client 'Suitability';</li><li>Carry out ongoing AML reviews;</li><li>Produce and maintain regulatory MI reports;</li><li>Assisting with the identification, resolution and recording of any errors and regulatory breaches;</li><li>Assisting with the investigation, resolution and recording of client complaints;;</li><li>Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications;</li><li>Assisting with the submission of FCA returns;</li><li>Helping to review and approve financial promotions as and when required; </li><li>Helping to monitor the training and competence (T&amp;C) for certified individuals (Financial Planners);</li><li>Review and update in-house Compliance policies and procedures;</li><li>Review and update client literature;</li><li>Liaise with the Compliance Manager regarding risk, regulatory changes and any other ongoing issues.</li></ul>Experience &amp; Other Requirements: <ul><li>Demonstrate a desire or aptitude to work in compliance:</li></ul><ul><li><ul><li>Compliance-related work placements and understanding of suitability reports</li><li>Relevant Experience of working in a financial services firm of at least 2 years</li></ul></li><li>Genuine interest in pursuing a career in compliance </li><li>Highly ethical</li><li>Appropriate professional examinations are not a requirement but desirable</li></ul>Person Specification: <ul><li>Ability to engage with the full range of business functions particularly in order to carry out the monitoring work</li><li>Ability to challenge in a constructive way</li><li>Investigative skills</li><li>Analytical and methodical approach</li><li>Self-starter and highly motivated</li><li>Results oriented</li><li>Organised</li><li>Numerate</li><li>Observant and resourceful</li><li>Problem solving abilities </li><li>Detail orientated</li></ul>Reporting to: <ul><li>Compliance Manager</li></ul>Date: Jan 2025

7 Part Time Jobs in United Kingdom