3 jobs found

Compliance Monitoring Officer - Investment Advice Suitability ReviewsLondon / Leeds Hybrid£60,000 + Benefits We are seeking an experienced Compliance Monitoring professional with a strong background in Investment Advice Suitability Reviews to join a well-established wealth and investment management business. This is a second-line compliance role focused on reviewing the suitability and appropriiateness of investment advice, discretionary portfolio management activity, and client outcomes across a regulated investment environment. The successful candidate will work closely with Investment Managers, Portfolio Managers, and senior stakeholders to ensure FCA standards, Consumer Duty obligations, and internal suitability frameworks are consistently met. Key Responsibilities • Conduct detailed second-line suitability reviews across investment advice and discretionary portfolio management activities• Review client fact finds, risk profiling, attitude to risk assessments, capacity for loss, suitability reports, and investment rationale• Assess the appropriateness of portfolio construction, asset allocation, and investment recommendations• Identify conduct, suitability, and regulatory risks across wealth management and stockbroking activities• Produce high-quality monitoring reports with clear findings and remedial recommendations• Contribute to thematic reviews and risk-based compliance monitoring activity• Engage constructively with Investment Managers and Portfolio Managers, providing robust challenge where required• Support ongoing enhancement of the compliance monitoring framework in line with FCA expectations and Consumer Duty requirements Requirements • Level 4 Investment Advice Diploma (IAD) or equivalent investment-focused qualification is essential• Strong preference for CISI qualifications or qualifications with significant securities and investment advice content• Candidates holding only generic compliance qualifications (e.g. standalone ICA) are unlikely to meet the required criteria• At least 3 years' experience within Compliance Monitoring, QA, File Review, or Audit within: Wealth Management Investment Management Stockbroking Discretionary Investment Management environments Essential Experience • Investment Advice Suitability Reviews• Reviewing discretionary portfolio management activity• FCA COBS knowledge, particularly suitability and appropriateness requirements• Consumer Duty and client outcome assessments• Risk-based compliance monitoring methodologies• Challenging advisers and investment professionals constructively Ideal Background We are particularly interested in candidates who have operated within:• Wealth Management firms• Private Client Investment Management• Discretionary Fund Management• Stockbroking environments You will be a detail-oriented and commercially aware compliance professional with strong written reporting skills and the confidence to engage with senior investment stakeholders. London-based candidates are encouraged to apply. Applicants must be located and eligible to work in the UK without sponsorship. Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website. If you would like this job advertisement in an alternative format, please contact MERJE directly.

We're looking for a kind, compassionate and resilient Income Officer to join our Landlord and Customer Service team located in our Head Office in Islington. £36,000.00 per annum, working 35 hours per week. Want to feel in control of your career? You'll feel at home here. Making you feel at home here means helping you thrive in every way. That's why we offer a wide range of benefits, award-winning Learning & Development and a culture that welcomes all. These aren't token gestures - we've thought long and hard about how best to support our team. After all, our people are doing something amazing: helping to transform lives every day . Our benefits include: Annual leave increasing up to 30 days with length of service Free DBS A generous pension - we will contribute up to 8% and life assurance cover up to 3x Pensionable Salary (T&Cs apply) All applicants must be legally eligible to work in the UK by the start of employment as Look Ahead are not able to offer sponsorship. The Income Officer is responsible for delivering frontline income management activity across a defined patch of Look Ahead's supported housing services, including both commissioned services and housing for people with vulnerabilities living in the community. What you'll do: This is not an exhaustive list of all the duties and responsibilities that may be required from time to time and is subject to change in accordance with the needs of Look Ahead Rent Collection and Arrears Management Manage rent and service charge accounts across a defined patch, ensuring payments are Housing Benefit, Universal Credit and Income Stability Liaise with Housing Benefit, Universal Credit and Department for Work and Pensions teams to support claims, verify information and resolve delays or discrepancies affecting rent accounts. Court and Legal Process Support Prepare documentation and evidence for legal action in relation to rent arrears, under Cross-Team Working and Communication Work closely with Housing Operations, Income colleagues and Care and Support teams Record-Keeping, Compliance and Quality Maintain accurate, timely and auditable records for all income-related activity on the housing management system. This is not an exhaustive list of all the duties and responsibilities that may be required from time to time and is subject to change in accordance with the needs of Look Ahead. Income Manager and Income Team About you: Fair-minded and approachable, with the ability to build constructive working Skills and Abilities Ability to communicate clearly, professionally and sensitively with tenants, colleagues and partner agencies. What you'll bring: Essential: Experience of working in an income-related role within social housing, supported housing, or a similar environment is required. Desirable: Experience of working within supported housing, homelessness services or other settings supporting people with vulnerabilities. Look Ahead is committed to safeguarding and promoting the welfare of children and adults at risk, and expects all employees, workers and volunteers to share this commitment. If your application for this role is unsuccessful, but we feel that you would be suitable for another role, we may contact you to discuss alternative opportunities. If this occurs you would not need to submit another application for the alternative role. We reserve the right to close this advert early if we are able to appoint to the vacancy before the advertised closed date.

Audit Manager Cheltenham Full time £45,000 DOE Autograph are partnering with a leading, dynamic, and growing Accountancy Practice in Cheltenham. This is an exciting time for the practice, with plans to expand the team and strengthen their presence across a diverse client base. If you're looking to develop strong client relationships, work on varied and interesting audits, and grow your career in a supportive, progressive environment, this could be the perfect opportunity for you. You will: Lead and plan audits, acting as a first point of contact for clients Manage your own portfolio of clients while supporting Managers on larger engagements Work with a variety of clients, including international groups, corporate businesses, owner-managed companies, and not-for-profit organisations Collaborate closely with Audit Partners and your team to ensure audits are delivered to the highest standard Contribute to the growth and success of the audit team while benefiting from clear progression opportunities You are: ACA/ACCA qualified with proven audit experience Approachable, collaborative, and able to support and mentor junior team members Committed to delivering exceptional client service Ambitious, proactive, and motivated to continuously expand your knowledge and skills Next Steps If this sounds like the right role for you, click Apply to upload your CV for consideration. Alternatively, contact Valentina Williams on or email . We look forward to hearing from you.