Senior Compliance Monitoring

4 weeks ago


Bromley Greater London, United Kingdom Finitas Full time

Head of Compliance | Life Insurance | Bromley | £90 - 110,000 (doe) Finitas are delighted to be exclusively partnering with an established life insurance company in their search for a Head of Compliance to join the team.
Reporting into the Chief Risk Officer, you will have a team of 12 with 3 direct reports and this role will work across complaints, compliance monitoring & compliance advice & guidance.
They are a collaborative business that are going through positive growth & development to enhance & modernise their ways of working, so there will be plenty of opportunity for autonomy and putting together best practice.
Maintain and develop a robust compliance framework.
Oversee the compliance monitoring plan and framework.
Lead the development of any new Compliance policies and procedures required as well as oversee the updating of existing policies.
Oversee the handling of customer complaints.
Prepare and deliver reports to the Audit and Compliance Committee.
Prepare regular Compliance reports and MI for the Executive Team.
Provide compliance advice and support when it comes to new strategies / embedding new regulation.
Grow the capability and knowledge of the Compliance Team.
Minimum 10 years compliance experience.
Strong understanding of relevant regulatory compliance (COBS, SYSC etc)
Please note that you will be required to work in their Bromley office twice a week.
This is a brilliant role that will give you unparalleled exposure across traditional compliance as well as compliance operations and complaints. Along with this you will be able to work at a senior level and have influence over the strategic side of compliance and help shape the team going forward.



  • Greater Manchester, United Kingdom MERJE Full time

    Our client, a leading engineering service provider in the fast-growing utilities space, are looking for a Head of Compliance to join the team on a permanent basis. As Head of Compliance you will be responsible for developing, implementing, and overseeing the compliance framework within the firm. This role involves ensuring that all business operations...


  • London, United Kingdom Barclay Simpson Full time

    Compliance Monitoring Officer - 12 Month Contract Location: London Salary: Competitive Overview: We are seeking a motivated and detail-oriented Compliance Monitoring Officer to join a dynamic compliance team. This role is integral to ensuring that the business operates within the framework of regulatory requirements, primarily those set by the...


  • London, United Kingdom Bruin Full time

    Job Title: Head of Compliance Location: Flexible / Hybrid Working Available Our client is an expanding Managing General Agent (MGA) with a strong track record of delivering innovative insurance solutions. As they continue to grow, they are seeking a talented and experienced individual to join their leadership team as Head of Compliance. This is a...


  • London, United Kingdom Coopman Search and Selection | B Corp™ Full time

    We're partnering with a multi-asset Prime Broker, as they look to bring in a new Head of Compliance to the UK business. The role would lead the UK Compliance function, assuming the SMF16 responsibility and report directly to the CEO/COO. You will oversee the firm’s compliance framework, identifying regulatory risks and ensuring the implementation of a...


  • Greater London, United Kingdom Black Swan Group Full time

    A leading brokerage is seeking a Compliance Monitoring Analyst to join its growing Compliance Team. This opportunity is a growth hire aimed at supporting the Head of Compliance and the wider team as the firm continues to bolster its compliance function.ResponsibilitiesConduct monitoring reviews on specific thematic topics where compliance or regulatory risks...

  • Compliance Monitoring

    4 weeks ago


    London, United Kingdom Barclay Simpson Full time

    Compliance Monitoring Officer - 12 Month ContractLocation: LondonSalary: CompetitiveOverview:We are seeking a motivated and detail-oriented Compliance Monitoring Officer to join a dynamic compliance team. This role is integral to ensuring that the business operates within the framework of regulatory requirements, primarily those set by the Prudential...

  • Compliance Monitoring

    4 weeks ago


    London, United Kingdom Barclay Simpson Full time

    Compliance Monitoring Officer - 12 Month Contract Location: London Salary: Competitive Overview: We are seeking a motivated and detail-oriented Compliance Monitoring Officer to join a dynamic compliance team. This role is integral to ensuring that the business operates within the framework of regulatory requirements, primarily those set by the...


  • London, United Kingdom SEI Investments Company Full time

    Summary:The SEI Group is a leading global provider of asset management and investment technology solutions. SIEL’s Compliance department is seeking a Senior Compliance Monitoring Officer with demonstrable compliance monitoring experience to join its growing team. Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will...


  • Bromley, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are recruiting for a Junior Risk and Compliance Officer to join a well-respected Regional Law Firm’s office in Bromley. Within this role, you will provide general support to the existing compliance team. You will also offer guidance to wider teams regarding regulatory and compliance issues where necessary. The ideal candidate demonstrates a keen...

  • Compliance Manager

    3 weeks ago


    Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the...

  • Compliance Monitoring

    4 weeks ago


    London Area, United Kingdom Barclay Simpson Full time

    Compliance Monitoring Officer - 12 Month ContractLocation: LondonSalary: CompetitiveOverview:We are seeking a motivated and detail-oriented Compliance Monitoring Officer to join a dynamic compliance team. This role is integral to ensuring that the business operates within the framework of regulatory requirements, primarily those set by the Prudential...

  • Compliance Monitoring

    4 weeks ago


    London Area, United Kingdom Barclay Simpson Full time

    Compliance Monitoring Officer - 12 Month ContractLocation: LondonSalary: CompetitiveOverview:We are seeking a motivated and detail-oriented Compliance Monitoring Officer to join a dynamic compliance team. This role is integral to ensuring that the business operates within the framework of regulatory requirements, primarily those set by the Prudential...


  • Bromley, United Kingdom AJ FOX COMPLIANCE Full time

    We are recruiting for a Junior Risk and Compliance Officer to join a well-respected Regional Law Firm’s office in Bromley. Within this role, you will provide general support to the existing compliance team. You will also offer guidance to wider teams regarding regulatory and compliance issues where necessary.The ideal candidate demonstrates a keen...


  • Bromley, United Kingdom AJ FOX COMPLIANCE Full time

    We are recruiting for a Junior Risk and Compliance Officer to join a well-respected Regional Law Firm’s office in Bromley. Within this role, you will provide general support to the existing compliance team. You will also offer guidance to wider teams regarding regulatory and compliance issues where necessary.The ideal candidate demonstrates a keen...


  • Bromley, United Kingdom AJ FOX COMPLIANCE Full time

    We are recruiting for a Junior Risk and Compliance Officer to join a well-respected Regional Law Firm’s office in Bromley. Within this role, you will provide general support to the existing compliance team. You will also offer guidance to wider teams regarding regulatory and compliance issues where necessary.The ideal candidate demonstrates a keen...


  • Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are currently recruiting for a Senior Compliance Officer to join a Prominent UK Law Firm in London.In this role, you will be a key component to the firm’s risk management across all areas of the business. You'll be actively involved in AML and anti-bribery processes, ensuring firmwide compliance in all areas. You’ll provide expert guidance on...


  • Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you passionate about navigating complex risk and regulatory challenges? Looking for an opportunity where your expertise in risk and compliance will be valued and make a difference?If you're a proactive problem solver with a passion for risk management, we want to hear from you!An innovative, forward-thinking law firm is seeking a Senior Compliance...


  • Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you passionate about navigating complex risk and regulatory challenges? Looking for an opportunity where your expertise in risk and compliance will be valued and make a difference?If you're a proactive problem solver with a passion for risk management, we want to hear from you!An innovative, forward-thinking law firm is seeking a Senior Compliance...


  • Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you passionate about navigating complex risk and regulatory challenges? Looking for an opportunity where your expertise in risk and compliance will be valued and make a difference?If you're a proactive problem solver with a passion for risk management, we want to hear from you!An innovative, forward-thinking law firm is seeking a Senior Compliance...

  • Compliance Manager

    3 weeks ago


    Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client, a prestigious law firm based in London, is seeking an experienced Compliance Manager to lead their new risk and compliance team. This is a fantastic opportunity for a compliance professional with a passion for financial crime prevention, client onboarding, and team leadership.As the Compliance & Risk Manager, you’ll be responsible for...