Compliance Officer

4 weeks ago

St Albans Hertfordshire, United Kingdom Recruit Wealth Ltd Full time

Recruit Wealth are delighted to be representing one of our very best Financial Planning clients in Hertfordshire for a Compliance Officer, to oversee compliance, T&C and AML, whilst working closely with the senior leadership team. Overview of the opportunity To support the SMF16 and SMF17 functions. Responsible for ensuring that the company operates within the guidelines of the Financial Conduct Authority by implementing and overseeing compliance policies and procedures. To coordinate the training & competence requirements of the advisory staff and organise training where required to ensure that the team are monitored and supported, Compliance

  • Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules and Statements of Principle & Code of Practice and any relevant correspondence from the FCA at all times
  • Dealing with the regulator in an open and cooperative way when required and disclosing anything relating to the firm of which the FCA would reasonably expect notice.
  • Making sure appropriate ethical standards exist within the firm at all times
  • Keeping up to date with relevant regulatory, product, legislative, technical requirements
  • Making sure appropriate systems and controls are in place covering all areas of the firm’s business activities and these are reviewed on a regular basis
  • Making sure the firm maintains accurate, detailed and up to date compliance records across all areas of the firm’s business activities
  • Reporting to the firm’s Leadership team on a monthly basis on all relevant compliance issues
  • Reporting, on an ad-hoc basis to the management body where significant compliance risks are identified
  • Ensure quality of advice maintained & monitored via pre-sale checks of a selection of advice files and post-sale checks.
  • Carry out product due diligence when required
  • Review & sign-off financial promotions
Training & Competency
  • Assess adviser conduct metrics against a pre-defined set of KPI's
  • Monitor adviser development plans
  • Carry out observed meetings/role plays
  • Assist with quarterly adviser T&C meetings
  • Monitor and adapt the company T&C scheme to changing regulatory requirements
  • Ensure all staff have and passed the relevant annual testing and carry out fit and proper assessments
  • Arrange training for regulatory changes
AML & Data Protection
  • Assisting the SMF17 to make sure the firm’s financial crime and anti-money laundering procedures are kept up to date at all times and staff notified of any changes
  • Making sure all staff are aware of and appropriately trained on the firm’s anti-money laundering and financial crime procedures
  • Assisting the SMF17 to make sure the firm has adequate data security policies and procedures in place and that these are implemented properly
This is a stand out role for any individual who possess excellent Financial Services compliance background. Financial Planning/Wealth Management compliance experience is essential to be considered further. The company has excellent staff retention, you’ll be adding great value to the business in this post, alongside being respected as a more senior member of the team. An excellent salary, benefits, company bonus, hybrid working is all being offered, alongside working in an extremely collaborative and professional working culture. The company is looking to interview immediately and we welcome applications as soon as possible. Please apply to us here at Recruit Wealth for an immediate response

  • Senior Compliance Officer

    4 weeks ago

    Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Senior Compliance ExecutiveJob Summary:We are seeking a highly skilled Senior Compliance Executive to join our proactive team at AJ FOX COMPLIANCE. As a key member of our risk and compliance department, you will work closely with the Head of Risk and Compliance to embed a strong compliance culture and provide expert guidance on regulatory and risk...

  • Senior Compliance Officer

    3 weeks ago

    Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Senior Compliance Executive to join our proactive team at AJ FOX COMPLIANCE. In this role, you will work closely with the Head of Risk and Compliance, collaborating across the business to embed a strong compliance culture while providing expert guidance on a range of regulatory and risk issues.Key Responsibilities:Collaborate with senior...

  • Head of Risk

    7 days ago

    Hertfordshire, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...

  • Head of Risk

    5 days ago

    Hertfordshire, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure that the companies have the correct level of FCA regulatory oversight and that the...

  • Head of Risk

    7 days ago

    Hertfordshire, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...

  • Assistant Compliance Officer

    6 months ago

    St Albans, United Kingdom Outsourced Professional Administration Ltd Full time

    To provide Compliance assistance to the Head of Risk Compliance Officer. To support and contribute to the provision of a professional compliance interface between OPAL and its clients and maintain effective regulatory controls within the firm. Ensure all relevant regulatory requirements are met including the FCA’s Conduct Rules and Principles. Minimum 2...

  • Head of Risk

    7 days ago

    Hertfordshire, UK, Eastern England, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...

  • Assistant Compliance Officer

    5 months ago

    St Albans, United Kingdom National Pharmacy Association Full time

    Job Advert **Assistant Compliance Officer - Permanent, Full Time** Do you have 3-5 years experience of working in a compliance role? Are you someone who has detailed and current knowledge of the PRA/FCA and other rules and guidance? Are you someone who has good working knowledge of the financial services industry with an emphasis on insurance and...

  • Legal Risk and Compliance Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Recruit Wealth Ltd Full time

    Recruit Wealth are delighted to be representing one of our very best Financial Planning clients in Hertfordshire for a Compliance Officer, to oversee compliance, T&C and AML, whilst working closely with the senior leadership team. Responsible for ensuring that the company operates within the guidelines of the Financial Conduct Authority by implementing and...

  • Compliance and Risk Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

    Job Mission:To provide a Compliance and Risk service to the Directors and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements.Lead and manage the Compliance team to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business.Ensure all...

  • Compliance Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom NLB Solutions Full time

    NLB Solutions is seeking a seasoned Compliance Manager to join their team. As a key member of the organization, you will report directly to the CFO and lead a small team responsible for ensuring the company's compliance with regulatory requirements.The ideal candidate will have at least 5 years of experience in Financial Services, preferably in the...

  • Compliance Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

    Job DescriptionAs a Compliance Manager at Outsourced Professional Administration Limited (OPAL), you will play a critical role in ensuring the firm's compliance with regulatory requirements. Your primary responsibility will be to provide a Compliance and Risk service to the firm and its employees, ensuring all relevant activities adhere to appropriate...

  • Compliance Officer

    3 weeks ago

    St. Albans, United Kingdom Outsourced Professional Administration Limited Full time

    As a key member of our team at Outsourced Professional Administration Limited, we are seeking a Compliance Manager to join our Compliance department. The successful candidate will play a vital role in ensuring that our business operations adhere to relevant regulatory requirements and industry standards.Key Responsibilities:Provide comprehensive Compliance...

  • Compliance Administrator

    5 months ago

    St. Asaph, United Kingdom Retrofit Compliance Services Full time

    Retrofit Compliance Services is a growing organisation with offices in the North East of England and North Wales. We are looking for a new member of the team as we begin to grow who is diligent and looking to begin a new career in a thriving industry. We provide Assessment, Coordination and Design services for companies who operate within the ECO Industry as...

  • Compliance Administrator

    5 months ago

    St. Asaph, United Kingdom Retrofit Compliance Services Full time

    Retrofit Compliance Services is a growing organisation with offices in the North East of England and North Wales. We are looking for a new member of the team as we begin to grow who is diligent and looking to begin a new career in a thriving industry. We provide Assessment, Coordination and Design services for companies who operate within the ECO Industry as...

  • Compliance Officer

    1 week ago

    St Albans, United Kingdom Recruit Wealth Ltd Full time

    Recruit Wealth are delighted to be representing one of our very best Financial Planning clients in Hertfordshire for a Compliance Officer, to oversee compliance, T&C and AML, whilst working closely with the senior leadership team.Overview of the opportunityTo support the SMF16 and SMF17 functions. Responsible for ensuring that the company operates within the...

  • Senior Legal Compliance Officer

    3 weeks ago

    St Albans, Hertfordshire, United Kingdom Michael Page (UK) Full time

    About Our ClientMichael Page (UK) is proud to partner with a well-respected professional services firm in St Albans, employing over 200 employees. With a solid reputation in the market, the firm provides a variety of services across sectors, continuously striving to exceed client expectations.Job SummaryWe are seeking a Senior Legal Compliance Officer to...

  • Compliance and Risk Management Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

    Job MissionTo provide a Compliance and Risk service to the Directors and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements.Lead and manage the Compliance team to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business.Ensure all...

  • Senior Risk Compliance Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Recruit Wealth Ltd Full time

    Recruit Wealth Ltd is seeking a highly skilled Compliance Officer to oversee compliance, T&C, and AML, working closely with the senior leadership team.Key responsibilities include ensuring the company operates within the guidelines of the Financial Conduct Authority by implementing and overseeing compliance policies and procedures.Compliance:Comply with the...

  • Chief Compliance Officer

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Barclay Meade Full time

    Barclay Meade is currently recruiting for a Head of Trade Compliance / Export Compliance role based in Hertfordshire. The successful candidate will be responsible for leading the trade compliance function and ensuring that all export activities are conducted in compliance with relevant laws and regulations. Key responsibilities include developing and...