Compliance and Minor Works Manager

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...

We are seeking a skilled Compliance Risk Manager 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.

Job Mission:Provide Regulatory Compliance Service: Ensure all relevant activities adhere to appropriate regulatory requirements, providing a Compliance and Risk service to the firm and employees.Contribute to Compliance Team: Work with the Head of Compliance and Risk to ensure procedures and services delivered adhere to relevant regulations, contributing to...

A friendly and professional Financial Services company based in St Albans are looking for a Compliance Manager. They are looking for Financial Services experience, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector. What’s in it for you: · Salary: up to £65k with some possible...

A friendly and professional Financial Services company based in St Albans are looking for a Compliance Manager.They are looking for Financial Services experience, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector.What’s in it for you:· Salary: up to £65k with some possible flexibility for the right...

Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

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...

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...

Achieva Group Limited is a leading company in the industry, and we are seeking a highly skilled Regulatory Affairs Manager to join our team. The ideal candidate will have a strong background in GMP, Quality and Regulatory requirements, as well as excellent communication skills.About the RoleThis position is responsible for post-approval changes of Marketing...

Compliance DirectorJoin OPAL (Outsourced Professional Administration Limited) in Saint Albans, Hertfordshire, as a key member of our Compliance team. We are seeking an experienced Compliance Director to ensure our company adheres to all relevant regulatory requirements.Responsibilities:Provide a Compliance and Risk service to the firm and employees to ensure...

Head of Compliance (SMF16/17) – Wealth ManagementLondon / HertfordshireHybridCirca £150k Plus Bonus and BenefitsAbout the FirmA well-established and growing wealth management and advisory firm, with headquarters in the Southeast UK and multiple offices, is recognised as one of the leading companies in the industry. Over the past decade, the firm has...

JOB- Quality & Compliance Engineer / Quality Manager LOCATION- Hertfordshire TERM- Permanent SALARY- £42,000 - £55,000 per annum (dependant on experience) My client works within the engineering manufacturing sector and they are looking to take on an experienced Quality Engineer / Compliance Engineer who is keen to work in, or move into a...

Compliance Officer - Wealth Management Hertfordshire Hybrid Circa £50k-£60k Purpose of the Role Support the individuals holding senior compliance functions (equivalent to SMF16 and SMF17) at an established wealth management and asset management firm.Ensure the business adheres to the standards set by the Financial Conduct Authority (FCA) by maintaining and...

Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

Compliance Officer - Wealth ManagementHertfordshireHybridCirca £50k-£60k Purpose of the RoleSupport the individuals holding senior compliance functions (equivalent to SMF16 and SMF17) at an established wealth management and asset management firm. Ensure the business adheres to the standards set by the Financial Conduct Authority (FCA) by maintaining and...

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...

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...

Job SummaryThe Compliance Manager will provide a critical function in ensuring that all relevant activities adhere to regulatory requirements. This includes collaborating with the Head of Compliance and Risk to ensure procedures and services delivered meet regulatory standards.Key ResponsibilitiesProvide Compliance and Risk oversight, including Data...