Compliance Distribution Specialist

2 weeks ago


United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is a large international investment company, with $ trillions in AUM.

They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.

THE RESPONSIBILITIES:

  • Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
  • Support the development of new compliance standards.
  • Serve as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
  • Manage regulatory visits and inspections.
  • Prepare written inspection and assessment reports and provides recommendations for improvement.
  • Provide guidance to mitigate compliance risks and control gaps.
  • Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
  • Support the development of new compliance standards.
  • Identify and implement corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
  • Manage operational efficiency. Set measurable goals leveraging internal and external resources accordingly.
  • Report on the results of compliance and ethics initiatives of the business.
  • Follow approved investigation procedures and report on corrective actions.
  • Maintain a deep knowledge and awareness of the investment industry with particular focus on multi-asset solutions.
  • Stay abreast of current market, regulatory and industry relevant news. Serve as an expert on compliance related issues. Act as a liaison to regulatory agencies.
  • Participate in special projects and perform other duties as assigned.

EXPERIENCE REQUIRED:

  • Minimum of five years related work experience, with solid knowledge of distribution compliance
  • Ability to stay on top of compliance policies and advise senior management and other stakeholders.
  • Attention to detail and commitment to high quality and timely delivery.
  • Ability to work with a high degree of autonomy and show initiative.

For further information please contact Duncan Jeffery



  • United Kingdom PerkinElmer Full time

    Check out this exciting opportunity for a Quality & Compliance Specialist based on at our customer site in Ware, UK. Job responsibilities: Designs, implements and maintains quality assurance protocols and methods for processing materials into partially finished or finished products. Responsible for planning, implementing and managing compliance of...


  • United Kingdom Menzies Distribution Full time

    Owner Driver Contractor Multiple routes available! - 5T van and above at our Newbridge depot (just outside Edinburgh)  5-tonne vehicle (Transit or similar) you must be in a financial position to be able to lease or purchase one. Are you a self-motivated contractor that has access to a well maintained and service fleet of 3.5T vans or a current...


  • United Kingdom SonicWall Full time

    Distribution Account Manager – North Regio n SonicWall is currently seeking a Distribution Account Manager (DAM) to join the organization and serve as part of our Distribution Account Team. As a member of the team, you will be responsible for helping drive sales through our Distributors. Driving revenue growth – Manage Sales In and Sales Out through...


  • United Kingdom Menzies Distribution Full time

    Owner Driver Contractor Multiple routes available! - 3.5T van and above at our Newbridge depot (just outside Edinburgh)  PLEASE NOTE If you do not currently own or have access to a 3.5-tonne vehicle (Transit or similar) you must be in a financial position to be able to lease or purchase one. You will also need to have all insurances (Goods in Transit,...


  • United Kingdom SonicWall Full time

    Distribution Account Manager – North Regio n SonicWall is currently seeking a Distribution Account Manager (DAM) to join the organization and serve as part of our Distribution Account Team. As a member of the team, you will be responsible for helping drive sales through our Distributors. Among other responsibilities, position objectives entail close...


  • United Kingdom Meet Recruitment Limited Full time

    Regulatory Affairs Custom Device Team Lead / Senior Regulatory Affairs Custom Device Associate Main Purpose of Job and Objectives: Perform Regulatory tasks to ensure compliance with regulations. Prepare regulatory documentation and submissions for product approvals. Develop regulatory plans/strategies for new products and changes to existing products. ...

  • Analysis specialist

    2 weeks ago


    United Kingdom Multitask Personnel Ltd Full time

    Our client is on a mission to revolutionise the UK's renewable energy sector. As an emerging player in the market, they are committed to driving the nation towards NetZero by pioneering innovative solutions in solar power generation, energy trading, and Power Purchase Agreements. With a collaborative and forward-thinking approach, they are poised to make a...


  • United Kingdom ECS Resource Group Full time

    Data Compliance Specialist Permanent Remote – United Kingdom £I am currently work with one of the world’s leading manufacturing businesses and their brand new Health Care business as a Data Compliance Specialist. This is a fully home based role with very occasional travel (circa once a quarter) for team meetings. This is an ideal opportunity for...

  • Data Protection Compliance Specialist

    Found in: Jooble UK C2 - 1 day ago


    United Kingdom ECS Resource Group Full time

    Data Compliance Specialist Permanent Remote – United Kingdom £I am currently work with one of the world’s leading manufacturing businesses and their brand new Health Care business as a Data Compliance Specialist. This is a fully home based role with very occasional travel (circa once a quarter) for team meetings. This is an ideal opportunity for...

  • Mixed Tax Compliance

    2 weeks ago


    United Kingdom Kenton Black Ltd Full time

    Mixed Tax Compliance & Advisory specialist Kenton Black are delighted to be working with a reputable firm of chartered accountants and business advisors in the Staffordshire region currently looking for an experienced Mixed Tax Compliance and Advisory specialist with a full practice background that can help complete their existing team and cement the gap...

  • Compliance Specialist

    2 weeks ago


    United Kingdom Viasat Full time

    About Us One team. Global challenges. Infinite opportunities. At Viasat, we’re on a mission to deliver connections with the capacity to change the world. For more than 35 years, Viasat has helped shape how consumers, businesses, governments and militaries around the globe communicate. We’re looking for people who think big, act fearlessly, and create...

  • Compliance Specialist

    Found in: Jooble UK C2 - 2 weeks ago


    United Kingdom Viasat Full time

    About Us One team. Global challenges. Infinite opportunities. At Viasat, we’re on a mission to deliver connections with the capacity to change the world. For more than 35 years, Viasat has helped shape how consumers, businesses, governments and militaries around the globe communicate. We’re looking for people who think big, act fearlessly, and create...

  • Compliance Specialist

    3 weeks ago


    United Kingdom ProductIP B.V. Full time

    We ondersteunen bedrijven om hun succes te bouwen op de in- en verkoop van verantwoorde producten. Daar zijn we in 2009 mee gestart, en we zijn niet gestopt met ontwikkelen. Middels ons web-based platform maken wij van toepassing zijnde product eisen toegankelijk, begrijpelijk en uitvoerbaar. Zo helpen wij bedrijven daadwerkelijk om hun risico's te...


  • United Kingdom Menzies Distribution Full time

    Trainee Transport Planner Menzies Distribution are looking for an Trainee Transport Planner to join us, providing a first class service with our team in Coalville. We are looking for a motivated, enthusiastic individual to train on how to Transport Plan for a busy 3PL company solely working with Class 1 vehicles, using various different systems The...


  • United Kingdom Meet Recruitment Limited Full time

    Regulatory Affairs Custom Device Team Lead / Senior Regulatory Affairs Custom Device Associate Main Purpose of Job and Objectives: Perform Regulatory tasks to ensure compliance with regulations. Prepare regulatory documentation and submissions for product approvals. Develop regulatory plans/strategies for new products and changes to existing products. ...


  • United Kingdom Menzies Distribution Full time

    Menzies Distribution are looking for an experienced Maintenance Controller to join our business. Reporting to the Head of Fleet, this role will support the business and the Fleet & Engineering Managers (to whom there will be a dotted reporting line), by controlling and authorising aspects of maintenance and damage spend dependent on its location within an...

  • Transport Planner

    1 week ago


    United Kingdom Menzies Distribution Full time

    Menzies Distribution are currently recruiting for a Transport Planner to join our team in Carrington, Greaater Manchester, M31. The Details Full-time, 1 Year Fixed term contract - rotating shifts Salary: £29,080.54 Per Annum  Location: Carrington, M31 Shift Pattern: 2 weeks on Shift 1: Monday 04:00-13:00 & Tuesday to Friday 05:00-14:00 then 2 weeks on...


  • United Kingdom Menzies Distribution Full time

    Trainee Transport Planner Menzies Distribution are looking for an Trainee Transport Planner to join us, providing a first class service with our team in Coalville. We are looking for a motivated, enthusiastic individual to train on how to Transport Plan for a busy 3PL company solely working with Class 1 vehicles, using various different systems The...

  • Logistics Specialist

    2 weeks ago


    United Kingdom eTeam Full time

    Job Title: Logistics Specialist Contract: 2 Months with Possibility of extension Location: Aberdeen, (Portlethen) As a Personnel Logistic Operator, you will be responsible for the logistics of operational personnel, communicating to assigned personnel, coordination of travel and assignments under the direction of the personnel Coordinator. As a Personnel...

  • Logistics Specialist

    Found in: Jooble UK C2 - 2 weeks ago


    United Kingdom eTeam Full time

    Job Title: Logistics Specialist Contract: 2 Months with Possibility of extension Location: Aberdeen, (Portlethen) As a Personnel Logistic Operator, you will be responsible for the logistics of operational personnel, communicating to assigned personnel, coordination of travel and assignments under the direction of the personnel Coordinator. As a Personnel...