Financial adviser Work, Jobs in Taplow, Bkm (with Salaries)

Compliance Officer
CBCX Group Limited —London
- £70,000 - £120,000 a year
- Full-time
- Analysis skills
- Bachelor's degree
- Organisational skills
Quick apply
Protection Adviser
LetsGoCover —Farnborough
- £35,000 a year
- Full-time
- Sales
- In-person
- Communication skills
- Health & wellbeing programme
- Gym membership
Quick apply
12d
Trainee Mortgage Adviser / Paraplanner
Loans Warehouse —Watford
- £23,500 - £25,000 a year
- Overtime
- Microsoft Word
- CRM software
- Microsoft Excel
- Free parking
- Life insurance
Quick apply
14d
Client Services Administrator
AFH Financial Group —Cookham
- Full-time
- Hybrid work
Retention Team Leader
LetsGoCover —Farnborough
- £30,000 - £35,000 a year
- Full-time
- Management
- Sales
- English
- Health & wellbeing programme
- Gym membership
Quick apply
12d
Senior Accountant - 6 month FTC
Castle Trust Bank —Basingstoke
- Hybrid work
- Microsoft Excel
- Organisational skills
- Employee assistance programme
- Employee discount
Quick apply
Financial Controller
Garden Trends Limited —Watlington
- £55,000 - £65,000 a year
- Full-time
- Microsoft Excel
- Management
- Analysis skills
- Free parking
Quick apply
2d
Independent Financial Adviser
Price Ferguson Limited —Guildford
- Up to £70,000 a year
- Full-time
- Analysis skills
- Organisational skills
- Financial services
- Free parking
- Life insurance
Quick apply
10d
Compliance Coach
Loans Warehouse —Watford
- £30,000 - £35,000 a year
- Full-time
- Sales
- Human resources
- Financial services
- Free parking
- Annual leave
Quick apply
10d
Intern
European Bank for Reconstruction and Development —London
- Microsoft Powerpoint
- Microsoft Excel
- Data analysis skills
3d
Wealth Manager
Moneyfarm —London
- Full-time
- Hybrid work
- Bachelor's degree
- Financial services
- Communication skills
Quick apply
13d
Financial Administrator
Financial Divisions —Leatherhead
- £30,000 - £32,000 a year
- Tax experience
3d
Debt Adviser/Caseworker
Citizens Advice —Dacorum District
- £22,380 - £23,992 a year
- Organisational skills
- Communication skills
Mortgage Adviser
Knight Frank —London
- Full-time
- Hybrid work
- In-person
Client Services Administrator
AFH Wealth Management Cookham —Maidenhead
- £24,420 - £32,000 a year
- Full-time
- Hybrid work
- Analysis skills
- Organisational skills
- Financial services
- Free parking
- Work from home
Quick apply
Independent Non Executive Director
Police Federation of England and Wales —Leatherhead
- Hybrid work
- Leadership
- Communication skills
Quick apply
Financial Planning Associate
Atomos —London
- Hybrid work
- CRM software
- Microsoft Excel
- Organisational skills
11d
Financial Adviser (Stokenchurch)
Perspective Financial Group —Stokenchurch
- Monday to Friday
- Analysis skills
- Communication skills
- Time management
- Referral programme
6d
Secured Loan Packager / Case Manager
Loans Warehouse —Watford
- £35,000 - £40,000 a year
- Full-time
- Basic maths
- Financial services
- In-person
- Free parking
- Life insurance
Quick apply
14d
Experienced Personal Assistant (PA) – Mortgage & Financial Services
Custom Mortgages & Finance —Windsor
- £18,200 a year
- Part-time
- Organisational skills
- Financial services
- In-person
- Free parking
Quick apply
5d

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Compliance Officer

CBCX Group Limited
London

Quick apply

Job details

Full-time
£70,000 - £120,000 a year

Qualifications

Law
Analysis skills
Bachelor's degree
Organisational skills
Financial services
Business
Communication skills

Full job description

Job Summary
We are seeking an experienced Compliance Officer to support the firm’s compliance and regulatory obligations, with a primary focus on compliance with the requirements of the Financial Conduct Authority (“FCA”).

The successful candidate will assist in the implementation and maintenance of the compliance framework, provide day-to-day regulatory compliance support to the business, and contribute to ensuring the firm operates in accordance with applicable regulatory requirements and internal policies.

Candidates with experience in any international regulatory environments, will be viewed favourably.

Key Responsibilities:

Regulatory Compliance:

Support the maintenance and enhancement of the firm’s compliance framework in accordance with FCA regulatory requirements.
Provide day-to-day compliance advice to business and operational teams.
Assist in ensuring compliance with relevant FCA Handbook requirements, including: SYSC, COBS, PRIN, SMCR, AML and financial crime obligations
Monitor regulatory developments and assist in implementing regulatory changes where required.
Maintain compliance policies, procedures, registers, and internal controls.

Compliance Monitoring:

Monitor the execution of the Compliance Monitoring Programme (“CMP”).
Conduct compliance reviews, testing, and monitoring activities.
Identify compliance gaps and support remediation actions.
Prepare compliance monitoring reports and management information for senior management and governance committees.
Maintain records relating to breaches, incidents, complaints, conflicts of interest, and regulatory matters.

Financial Crime & AML:

Support the firm’s AML, sanctions, anti-bribery and corruption, and financial crime compliance obligations.
Conduct compliance reviews relating to onboarding, KYC, and customer due diligence processes.
Assist with periodic reviews and ongoing monitoring activities.

Regulatory Reporting & Governance：

Support regulatory filings and reporting obligations where applicable.
Assist with responses to regulatory requests, audits, and internal reviews.
Participate in governance and compliance committee processes.
Deliver compliance training and awareness sessions to staff where required.

International Compliance Exposure：

Support compliance matters involving overseas entities and cross-border activities where applicable.
Coordinate with internal stakeholders and external advisers across multiple jurisdictions.

Qualifications & Experience

Essential

Bachelor’s degree in Law, Finance, Business, Risk, or related discipline.
Relevant compliance experience within an FCA-regulated financial services environment.
Good understanding of FCA regulatory expectations and compliance frameworks.
Experience in compliance monitoring, advisory, or regulatory support functions.
Knowledge of AML and financial crime regulatory requirements.
Strong analytical, organisational, and communication skills.
Ability to manage multiple priorities and work independently.

Preferred

Experience within international financial services businesses or group structures.
Relevant professional qualifications, such as: ICA，CISI，ACAMS，Exposure to SMCR governance frameworks.

Personal Attributes

Strong attention to detail
Professional and ethical approach
Good stakeholder management skills
Practical and solution-oriented mindset
Ability to work collaboratively across teams and jurisdictions

Preferred Industry Background

Experience in one or more of the following sectors would be advantageous:

CFDs broker
Securities / broker-dealer
International financial services

Job Type: Full-time

Pay: £70,000.00-£120,000.00 per year

Application question(s):

How many years of experience in CFD industry

Licence/Certification:

Barrister or solicitor qualification (preferred)

Work Location: In person

Quick apply

Refine Your Search

financial adviser jobs in taplow, bkm

Compliance Officer

Protection Adviser

Trainee Mortgage Adviser / Paraplanner

Client Services Administrator

Retention Team Leader

Senior Accountant - 6 month FTC

Financial Controller

Independent Financial Adviser

Compliance Coach

Intern

Wealth Manager

Financial Administrator

Debt Adviser/Caseworker

Mortgage Adviser

Client Services Administrator

Independent Non Executive Director

Financial Planning Associate

Financial Adviser (Stokenchurch)

Secured Loan Packager / Case Manager

Experienced Personal Assistant (PA) – Mortgage & Financial Services

I want to receive the latest job alerts for financial adviser in taplow, bkm

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