Compliance Officer
7 days ago
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
- 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
- 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
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Senior Compliance Officer
5 days ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeJob 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...
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Senior Compliance Officer
4 days ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeWe 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...
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Assistant Compliance Officer
5 months ago
St Albans, United Kingdom Outsourced Professional Administration Ltd Full timeTo 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...
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Assistant Compliance Officer
5 months ago
St Albans, United Kingdom National Pharmacy Association Full timeJob 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...
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Aircraft Compliance Officer
3 weeks ago
St Albans, Hertfordshire, United Kingdom NLB Solutions Full timeCompliance Manager Job DescriptionNLB Solutions is seeking a seasoned Compliance Manager to join our team. As a key member of our organization, you will be responsible for ensuring our financial services business adheres to all relevant regulatory requirements.Key Responsibilities:Develop and implement effective compliance procedures to mitigate regulatory...
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Aircraft Compliance Officer
3 weeks ago
St Albans, Hertfordshire, United Kingdom NLB Solutions Full timeCompliance Manager Job DescriptionNLB Solutions is seeking a seasoned Compliance Manager to join our team. As a key member of our organization, you will be responsible for ensuring our financial services business adheres to all relevant regulatory requirements.Key Responsibilities:Develop and implement effective compliance procedures to mitigate regulatory...
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Legal Risk and Compliance Officer
7 days ago
St Albans, Hertfordshire, United Kingdom Recruit Wealth Ltd Full timeRecruit 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...
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Compliance Officer
4 weeks ago
St Albans, Hertfordshire, United Kingdom Abacus Consulting Full timeCompliance ManagerAbacus Consulting is seeking a highly skilled Compliance Manager to join our team in St Albans. As a Compliance Manager, you will play a critical role in ensuring our business meets all regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and anti-money laundering measures.Key Responsibilities:Develop and...
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Compliance Officer
1 month ago
St Albans, United Kingdom NLB Solutions Full timeCompliance Manager RoleNLB Solutions is seeking a seasoned Compliance Manager to join their team. As a key member of the organization, you will be responsible for ensuring the company's compliance with regulatory requirements and maintaining a strong risk management framework.Key Responsibilities:Develop and implement effective compliance procedures to...
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Compliance Officer
1 month ago
St Albans, United Kingdom NLB Solutions Full timeCompliance Manager RoleNLB Solutions is seeking a seasoned Compliance Manager to join their team. As a key member of the organization, you will be responsible for ensuring the company's compliance with regulatory requirements and maintaining a strong risk management framework.Key Responsibilities:Develop and implement effective compliance procedures to...
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Compliance and Risk Officer
7 days ago
St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full timeJob 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...
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Compliance Officer
4 weeks ago
St Albans, Hertfordshire, United Kingdom Abacus Consulting Full timeCompliance Manager Abacus Consulting is seeking a highly skilled Compliance Manager to join our team in St Albans. As a Compliance Manager, you will play a critical role in ensuring our business meets all regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and anti-money laundering. The successful candidate will be...
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Compliance Officer
4 weeks ago
St Albans, Hertfordshire, United Kingdom Abacus Consulting Full timeCompliance Manager Abacus Consulting is seeking a highly skilled Compliance Manager to join our team in St Albans. As a Compliance Manager, you will play a critical role in ensuring our business meets all regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and anti-money laundering. The successful candidate will be...
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Compliance Officer
3 weeks ago
St Albans, United Kingdom Abacus Consulting Full timeCompliance ManagerAbacus Consulting is seeking a highly skilled Compliance Manager to join our team in St Albans. As a Compliance Manager, you will play a critical role in ensuring our business meets all regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and anti-money laundering.Key Responsibilities:Develop and implement...
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Compliance Officer
3 weeks ago
St Albans, United Kingdom Abacus Consulting Full timeCompliance ManagerAbacus Consulting is seeking a highly skilled Compliance Manager to join our team in St Albans. As a Compliance Manager, you will play a critical role in ensuring our business meets all regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and anti-money laundering.Key Responsibilities:Develop and implement...
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Compliance Officer
4 weeks ago
St Albans, Hertfordshire, United Kingdom NLB Solutions Full timeCompliance Manager Job DescriptionNLB Solutions is seeking a highly skilled Compliance Manager to join our team. As a key member of our organization, you will be responsible for ensuring that our financial services business operates in compliance with all relevant regulatory requirements.Key Responsibilities:Develop and implement effective compliance...
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Compliance Officer
4 weeks ago
St Albans, Hertfordshire, United Kingdom NLB Solutions Full timeCompliance Manager Job DescriptionNLB Solutions is seeking a highly skilled Compliance Manager to join our team. As a key member of our organization, you will be responsible for ensuring that our financial services business operates in compliance with all relevant regulatory requirements.Key Responsibilities:Develop and implement effective compliance...
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Compliance Officer
6 days ago
St Albans, Hertfordshire, United Kingdom NLB Solutions Full timeNLB 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...
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Compliance Officer
5 days ago
St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full timeJob 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...
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Compliance Officer
17 hours ago
St. Albans, United Kingdom Outsourced Professional Administration Limited Full timeAs 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...