Senior Compliance Officer

4 weeks ago

United Kingdom ETRA Talent Full time

To assist and work with the Head of Compliance to implement risk assessments, compliance policies and procedures. Undertaking specified checks and controls to ensure that all departments are compliant with the appropriate regulations and procedures.

Be responsible for and support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators. Ensure compliance with related legislation.

Undertake checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.

  • Assist with the monitoring of regulatory breaches and manage the resolution of potential and actual incidents to achieve the optimum outcome for the business and the customer at all times, escalating as appropriate to the Head of Compliance.
  • Log receipt of FCA notices and good practice guidance, review to determine applicability and assist in advising procedural amendments required to managers responsible throughout the firm, while ensuring they are implemented.
  • In liaison with the Head of Compliance, ensure that clients’ complaints are reviewed, and appropriate action taken depending on whether they are indicative of procedural weakness or failure of internal controls.

Working with the Head of Compliance, assist in developing and increasing staff awareness and training of compliance policies and procedures.

  • Assist the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects.
  • Assist in the preparation of regulatory submissions.
  • Assist with ad hoc projects, not limited to but including new regulatory guidance, introduction and implementation.
  • Provide guidance and technical advice on compliance processes and systems to team members and assist with resolving problems where possible.
  • Provide regular updates to the Head of Compliance on levels of workload in the team, identifying potential areas of risk or a shortfall in performance. Deputise for the Head of Compliance when required and assist where possible, with any workload bottlenecks and emerging problems through continual reassessment of any changing circumstances, find resolution or escalate to Head of Compliance.
  • Actively maintain and update technical and regulatory knowledge to ensure ongoing compliance of processes and procedures for the company.
  • Promote a culture whereby the Consumer Duty principles and policies are diligently adhered to and observed. Provide guidance and training to the team to ensure they pro-actively act to deliver good outcomes for customers. Challenge the team and individuals to ensure their actions are compatible with delivering good customer outcomes and provide opportunity for feedback to identify and mitigate where good customer outcomes are not being delivered.
  • Knowledge and understanding of FCA regulations and procedures as well as awareness of best practice guidance within the financial services industry.
  • Proven experience in compliance or risk management
  • Proven experience in either compliance or financial industry with a good understanding of FCA & regulations governing investment/stockbroking business.
  • Experience/awareness of risk and controls procedures.
  • Excellent written and verbal communication skills.
  • Able to work quickly and accurately under pressure.
  • Able to prioritise and manage own workload with minimal supervision.
  • Good attention to detail with a logical mindset and a methodical approach to work.
  • Confident in the use of Microsoft office packages, Word & Excel.
  • Proven experience to mentor and manage junior members of staff.

  • Legal and Compliance Lawyer

    2 days ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Our client is a leading national law firm looking for a qualified lawyer with prior experience in risk & compliance or within a private practice to join their lovely and supportive team. This role would be well-suited for someone already with law firm Risk & Compliance experience, a fee earner looking to transition into compliance, or perhaps someone...

  • Compliance Officer

    7 days ago

    United Kingdom Compliance Professionals Full time

    Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence, client screening, risk assessments, policies and procedures. They will be heavily involved in the delivery of the...

  • Risk & Compliance Lawyer

    2 days ago

    United Kingdom AJ FOX COMPLIANCE Full time

    We have a great, new opportunity for a lawyer interested in a role with flexibility, minimal pressure and many opportunities to learn. Our client is a leading national law firm looking for a qualified lawyer with prior experience in risk & compliance or within a private practice to join their lovely and supportive team. This role would be well-suited for...

  • Senior Compliance Officer

    13 hours ago

    United Kingdom Dnevo Partners Limited Full time

    Sign in to save Senior Core Compliance Officer, Crypto at dnevo Partners . Enabling organisations to overcome Compliance, Risk & Reg. Our client, an exciting & leading Crypto Exchange are looking to add a key hire to their London Office. As a Senior Core Compliance Officer your role will be to support the business and day to day operations by...

  • Compliance Officer

    3 days ago

    United Kingdom IDEX Consulting Ltd Full time

    Idex are working with an Insurance client in Manchester who are looking for a Compliance Officer / Business Partner. This is a great 'second role' for a Compliance professional who wants to broaden their experience in an international business. This is a small team meaning you will get exposure across all areas of Compliance. The client are...

  • Compliance Distribution Specialist

    4 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...

  • Senior Compliance Analyst

    4 weeks ago

    United Kingdom AJ FOX COMPLIANCE Full time

    Do you have experience in KYC and CDD? Are you looking for a new law firm compliance opportunity? Our client is an international law firm seeking a Compliance Analyst to join their growing team in Newcastle. This is a really exciting opportunity for someone looking for a new compliance opportunity with a global law firm. To apply for this role, you must...

  • Compliance Officer- Generalist

    4 weeks ago

    United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of developments...

  • Senior Regulatory Compliance Officer

    3 weeks ago

    United Kingdom Hyper Recruitment Solutions Full time

    We are currently looking for a Senior Regulatory Affairs Officer to join a leading Pharmaceutical company based in the Kent area. As the Regulatory Affairs Manager, you will play a pivotal role in managing the life cycle and post-authorisation changes for products within the UK, focusing on CMC, clinical, safety, and product information modifications. Your...

  • Senior Regulatory Compliance Officer

    3 weeks ago

    United Kingdom Hyper Recruitment Solutions Full time

    We are currently looking for a Senior Regulatory Affairs Officer to join a leading Pharmaceutical company based in the Kent area. As the Regulatory Affairs Manager, you will play a pivotal role in managing the life cycle and post-authorisation changes for products within the UK, focusing on CMC, clinical, safety, and product information modifications. Your...

  • Senior Core Compliance Officer, Crypto

    13 hours ago

    United Kingdom Dnevo Partners Limited Full time

    Save this job with your existing LinkedIn profile, or create a new one. Save this job with your existing LinkedIn profile, or create a new one. Your job seeking activity is only visible to you. Email Welcome back Sign in to save Senior Core Compliance Officer, Crypto at dnevo Partners . This range is provided by dnevo Partners. Your actual pay will...

  • Compliance Monitoring Officer

    7 days ago

    United Kingdom Eames Consulting Full time

    Eames is working with Lloyd’s of London Insurance Broker on a Compliance Monitoring Officer appointment that offers very flexible hybrid working. The individual will work within the compliance team and develop a unified view of regulatory risk. Core Responsibilities: to the Chief Compliance Officer and Senior Management. and review data. in...

  • Senior Compliance Officer

    4 weeks ago

    United Kingdom Heatcare Oil & Gas Ltd Full time

    Heatcare Oil & Gas Ltd are looking to recruit an Audit and Compliance Officer, This role will ensure Heatcare Oil & Gas Ltd continue to comply with all Heath & Safety requirements along with maintaining and improving quality throughout the business. Responsibilities & Areas Preparing and conducting internal and external audits and inspections Follow up...

  • Senior Compliance Officer

    4 weeks ago

    United Kingdom Welwyn Hatfield Full time

    Compliance Officer (Gas and Water Hygiene) 98% gas safety compliance rate – but we can always do better. If you are passionate about making a difference and driving service improvements through effective and robust contract management, we would like to hear from you. As our Compliance Officer (Gas and Water Hygiene), you will take a lead role in...

  • Junior Compliance Officer

    2 weeks ago

    , , United Kingdom Reed- UNLIMITED Full time

    XTB UK is looking for a junior level compliance officer to join its current compliance team. The role covers a variety of areas and working closely with the Head of Compliance and MLRO to ensure that the organisation conducts business in a compliant manner at all times in accordance with FCA(1) rules, company policies and procedures; especially with regards...

  • Legal Risk and Compliance Officer

    3 days ago

    United Kingdom IDEX Consulting Ltd Full time

    Idex are working with an Insurance client in Manchester who are looking for a Compliance Officer / Business Partner. This is a great 'second role' for a Compliance professional who wants to broaden their experience in an international business. This is a small team meaning you will get exposure across all areas of Compliance. The client are growing in...

  • Compliance Officer

    7 days ago

    United Kingdom Rutherford Full time

    Rutherford is currently partnered with an elite private equity firm that are looking to hire a Compliance Officer into the London team. Responsibilities : Provide expert regulatory advice to the investment/deal teams. Manage code-of-ethics and compliance monitoring related tasks. Support on global regulatory projects and help the firm prepare for...

  • Senior Compliance Analyst

    4 weeks ago

    United Kingdom Taylor Root Full time

    We have partnered with a top offshore law firm who are looking to bring in a Senior Compliance Analyst to their office in London. The work is principally focused on anti-money laundering (AML), counter terrorist financing ("CTF") and sanctions compliance for new entities. Whilst focusing on High-Risk Jurisdictions and interesting compliance work. ...

  • Senior Compliance Analyst

    4 weeks ago

    United Kingdom Taylor Root Full time

    We have partnered with a top offshore law firm who are looking to bring in a Senior Compliance Analyst to their office in London. The work is principally focused on anti-money laundering (AML), counter terrorist financing ("CTF") and sanctions compliance for new entities. Whilst focusing on High-Risk Jurisdictions and interesting compliance work. ...

  • Compliance Officer

    3 weeks ago

    United Kingdom Hawk 3 Talent Solutions Full time

    Compliance Officer Financial Services Hull East Riding GBP29,000 GBP31,500 per annum plus bonus Permanent office-based role working full time Monday to Friday. Hawk 3 Talent Solutions are working with a well-established company based in Hull East Riding who are looking for an experienced Compliance Officer to join their team. The Role You will be an...