Senior Compliance Officer
4 days ago
We are seeking a highly skilled Senior Compliance Officer to join our team in an investment business with financial compliance skills.
Key Responsibilities:- Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme.
- Advise employees on all applicable regulatory obligations, including advising on developments and on procedures required to ensure compliance with the obligations.
- Suggest changes to the scope of reviews or focus on areas where new risks are identified.
- Ensure employees receive training in complaint handling procedures.
- Monitor all aspects of the business to identify actual or potential weaknesses.
- Act as Compliance Officer in identifying, investigating and rectifying rule breaches, and fulfil associated reporting requirements.
- Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance.
- Ability to manage own workload and work within a team.
- Knowledge of business processes, standards, policies and procedures.
- Experience within the Financial Services Industry.
- Exceptional communication skills at all levels.
- Excellent organisational skills.
- Knowledge of Microsoft Word, Excel, Outlook and ideally Intelligent Office, Volume, Imago and Pulse dealing system.
We are a leading job board platform, and we are committed to providing our users with the best possible experience. If you are a motivated and experienced Senior Compliance Officer looking for a new challenge, please apply for this role.
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Senior Compliance Officer
5 days ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance OfficerReed is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring our business operates within the regulatory framework.Key Responsibilities:Comply with the FCA's Consumer Duty requirements and other regulatory...
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Senior Compliance Officer
5 days ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance OfficerReed is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring our business operates within the regulatory framework.Key Responsibilities:Comply with the FCA's Consumer Duty requirements and other regulatory...
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Senior Compliance Officer
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance OfficerReed is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Implement and maintain effective compliance systems...
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Senior Compliance Officer
2 weeks ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance OfficerReed is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Implement and maintain effective compliance systems...
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Senior Compliance Officer
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeSenior Compliance OfficerFabulous news - A Senior Compliance role linked to Highly skilled working at a similar level with the Head of Compliance in the Company - 100% office based 9am - 5pm. High salary.Key Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.Maintain records in accordance...
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Senior Compliance Officer
2 weeks ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeSenior Compliance OfficerFabulous news - A Senior Compliance role linked to Highly skilled working at a similar level with the Head of Compliance in the Company - 100% office based 9am - 5pm. High salary.Key Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.Maintain records in accordance...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Ensure compliance with the FCA's Consumer Duty requirements, and other requirements in the...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Ensure compliance with the FCA's Consumer Duty requirements, and other requirements in the...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual &...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual &...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Ensure compliance with the FCA's Consumer Duty requirements, and other requirements in the...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Ensure compliance with the FCA's Consumer Duty requirements, and other requirements in the...
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full timeJob DescriptionWe are seeking a highly skilled Senior Compliance Officer to join our UK Product Compliance Advisory team in Henley-on-Thames.As a key member of our compliance team, you will be responsible for advising on the application of UK regulatory rules pertaining to product, fund administration, fund accounting, and distribution services. You will...
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full timeJob DescriptionWe are seeking a highly skilled Senior Compliance Officer to join our UK Product Compliance Advisory team in Henley-on-Thames.As a key member of our compliance team, you will be responsible for advising on the application of UK regulatory rules pertaining to product, fund administration, fund accounting, and distribution services. You will...
