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Compliance Manager - Financial Services

£32,000 - £35,000

This is a brand new role, working within this well-established company, you will be supporting the Commercial Director with all aspects of regulatory compliance. This is a full-time position and it  is essential that you have current experience working within the financial services sector with a minimum of 4 years compliance experience and CEMAP qualified.

Duties will include:

  • Case checking regulated mortgages, secured to let cases, buy to let mortgages, secured loans and life assurance
  • Report on compliance and quality matters, highlighting possible risks, making appropriate recommendations and implementing them
  • Provide advice, training and support to the senior management team and staff regarding all compliance matters
  • Investigate complaints independently, promptly, fairly and in accordance with company policy and within regulatory guidelines
  • Log and investigate internally generated suspicious activity reports to determine the need to escalate externally
  • Complete third party due diligence checks
  • Log, review and respond to customer data requests
  • Perform regulatory risk assessments to understand risk level, significance, scope and make recommendations for mitigation

Benefits include contributory pension, 25 days holiday, training will be provided.

If you are looking for a new challenge working in a professional, highly regulated environment, call us or apply today!




  • Sales Advisor
    £30000 - £30000

    Driven? Ambitious? This could be the job for you! 

    We have an exciting opportunity for an ambitious and target-driven Sales Advisor to join an established financial services company located in Watford. This telephone-based role will involve creating and building relationships with brokers, identifying new business opportunities, educating your accounts on the company’s products and services, in addition to managing your own extensive sales pipeline.

    This is a full time role, working Monday to Friday, 9am-6pm with the amazing potential to earn uncapped bonuses. 

    Along with the opportunity to build long term relationships and manage accounts, your key responsibilities will include:
    - Using effective questions to establish business mix, behaviours and goals
    - Creating and managing a panel of engaged and supportive intermediaries
    - Building and executing a contact strategy to maintain effective connections
    - Ensuring the intermediary has the correct product information and support them throughout the sales process
    - Working alongside colleagues to ensure business objectives are met
    - Helping to drive the commercial success of the business

    This is a great position for someone who enjoys sales so if you’re looking for a role where you can build relationships whilst earning uncapped bonuses please apply today!

  • Mortgage Underwriter
    £26000 - £30000

    Are you an experienced Mortgage Underwriter, working within regulated the first and second charge market? Are you CeMAP qualified or equivalent and do you enjoy advising, underwriting and processing mortgage applications to find the right outcome for the customer? We are currently recruiting for a new role due to company expansion within a well established financial services company. The organisation is looking for committed individuals and in return will review your salary on successful completion of your probation.

    As an Underwriter you will:

    - Ensure clients receive the very best advice possible for their circumstances
    - Process applications
    - Build and maintain relationships with third parties to ensure applications are completed on time
    - Respond to incoming customer telephone calls, identifying and meeting customer requirements
    - Complete all related underwriting and administration activities including chasing required documentation in order to complete customer applications
    - Carry out Credit Reference checks when required on all applicants 
    - Ensure compliance including complying with Money Laundering/Fraud Prevention/Data Protection/FCA regulations and individual compliance with the company’s TCF policy.

    You will have previous mortgage underwriting experience and be part or fully CeMAP qualified (or equivalent). You will have experience of handling queries with excellent communication and administration skills. This is a busy role and offers the opportunity to take ownership of cases and see applications through from initial enquiry to completion. 

    Benefits include private healthcare, pension, salary reviews and free parking. If you would like to join a growing organisation who already has a huge amount of experience in their sector, apply today!

  • Tax Associate - Accountancy Practice
    £30000 - £35000


    A leading firm of Chartered Accountants with clients in various sectors are looking to recruit a Tax Associate to work within their accounts team. 

    There is excellent scope for career development, as well as having the opportunity to make a real difference to the organisation with your recommendations. The company offer a range of benefits including various discounts and incentives.

    The Tax Associate will assist in the preparation of corporate & personal tax returns and all necessary reporting documents, supporting the Tax Manager in all aspects of work with our diverse range of tax clients.
    You will be able to show:

    Excellent numerical ability: 

    Able to communicate clearly and effectively with colleagues

    Strong interpersonal skills: 

    Excellent eye for detail: 

    We are looking for confident and driven candidates with at least 2 years’ experience in personal tax.  Qualified or part qualified candidates will have an advantage, but this is not essential.

    If you have a passion to develop your career within accounting, call us or apply today!

  • Tax Senior - Accountancy Practice
    £40000 - £45000

    Are you looking to work for a busy and professional accountancy practice? Are you keen to find a company which offers excellent progression where you can really make a difference to the team and your clients?

    We are recruiting for a Tax Senior to assist the tax consultancy team with developing, marketing and implementing tax planning strategies.  They will be responsible for day to day administrative functions for the tax consultancy department including maintaining internal statistics and reports.   Duties will include:

    • Supporting the consultancy team in development and marketing of tax products
    • Assist with the developing tax planning strategies
    • Management of the WIP and debtors.  Keeping records upto date
    • Support with identifying new business opportunities
    • Research detailed technical matters and report thereon.

    If you have the following skills and experience, please call or apply today:

    • The Tax Senior will be either ATT/CTA qualified or qualified by experience
    • Experience of both personal and corporate tax is essential plus experience of research and development tax relief would be advantage


    If you are looking for a supportive environment in a firm with real career prospects and an excellent work/life balance, this may be the career move for you.


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