Regulatory Compliance Specialist
6 days ago
AJ FOX COMPLIANCE is seeking a highly motivated and ambitious Senior Compliance Analyst to join their dynamic team in London. This role primarily supports the conflicts team, alongside senior staff and wider departments. Within this role, you will maintain a high standard of service for clients, manage all regulatory aspects relative to the firm's smooth operation and ensure best practices are followed.
Key Responsibilities:- Conduct thorough conflict checks for new and existing clients/client matters to ensure compliance with regulatory requirements.
- Maintain accurate and up-to-date client/matter files to facilitate efficient record-keeping and reporting.
- Review and respond to firm-wide conflict/AML-related enquiries from a quality and control perspective, providing expert guidance and support.
- Evaluate and escalate conflict issues where necessary, ensuring timely resolution and minimizing risk.
- Collaborate with firm-wide staff to ensure seamless communication and coordination.
- Assist in delegating tasks and responsibilities to junior team members, providing guidance and support as needed.
- Provide training, support, and guidance to junior team members to enhance their skills and knowledge.
- Offer feedback on team targets and process improvements/developments to drive continuous improvement.
This role is ideal for someone with a genuine interest in risk and compliance, supported by at least 3 years of experience within a legal environment. Prior experience handling conflict searches, AML enquiries, and CDD would be highly beneficial to this role. A good understanding of the SRA Standards and Regulations would also prove advantageous but not essential.
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Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeABOUT THE ORGANIZATION:Our client is a forward-thinking investment platform operating within the Fintech sector, poised for significant expansion. They are in search of a Regulatory Compliance Specialist to enhance their team.KEY RESPONSIBILITIES:Oversee daily financial promotion approvals, address complaints, conduct transaction assessments, and manage...
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Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX COMPLIANCE is a prestigious law firm in the UK, currently looking for a Regulatory Compliance Specialist to join our team. This position is crucial in upholding the firm's ethical standards and ensuring compliance with various regulations, including SRA, ICO, and Lexcel.Key Responsibilities:Assist legal professionals with inquiries regarding...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timePosition OverviewABOUT THE ORGANIZATION:Compliance Professionals is a dedicated firm specializing in compliance solutions for investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance...
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Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timePosition OverviewABOUT THE ORGANIZATION: Compliance Professionals is a dedicated firm specializing in investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance controls.Conduct daily compliance...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeABOUT THE ORGANIZATION:Our client is a prominent investment-focused fund management entity, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily...
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Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our organization is a dedicated, investment-focused fund management firm, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily compliance...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...
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Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client operates as a prominent global investment management firm, with its headquarters situated in Europe. Their expertise encompasses secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Delivering management...
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Regulatory Affairs Specialist
1 day ago
London, Greater London, United Kingdom VRS Regulatory Full timeJob DescriptionA rare opportunity for an aspiring regulatory affairs professional to join the regulatory team at a global chemical products business:Work under the supervision of an experienced regulatory managerProvide regulatory support to a wide range of chemical productsOngoing and comprehensive trainingAn excellent opportunity to start and establish...
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Regulatory Affairs Specialist
1 day ago
London, Greater London, United Kingdom VRS Regulatory Full timeJob DescriptionA rare opportunity for an aspiring regulatory affairs professional to join the regulatory team at a global chemical products business:Work under the supervision of an experienced regulatory managerProvide regulatory support to a wide range of chemical productsOngoing and comprehensive trainingAn excellent opportunity to start and establish...
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Regulatory Compliance Specialist
7 days ago
London, Greater London, United Kingdom Hays Specialist Recruitment Limited Full timeAbout the CompanyHays Specialist Recruitment Limited is a leading recruitment agency that specializes in placing professionals in various industries, including finance and insurance.About the RoleWe are currently seeking a highly skilled Risk and Compliance Manager to join our client's team in London. As a key member of the team, you will be responsible for...
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Regulatory Affairs Specialist
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionWe are seeking a highly skilled Regulatory Affairs Specialist to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring that our client's business operations are in line with regulatory requirements.Key Responsibilities:Front Office System Oversight and Management: Ensure...
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Regulatory Affairs Specialist
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionWe are seeking a highly skilled Regulatory Affairs Specialist to join our team at Compliance Professionals. As a key member of our compliance team, you will play a critical role in ensuring that our client's business operations are in line with regulatory requirements.Key Responsibilities:Front Office System Oversight and Management: Ensure...
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Tax Compliance Specialist
5 days ago
London, Greater London, United Kingdom Sovos Compliance Full timeAbout the RoleSovos Compliance is seeking a highly skilled Regulatory Liaison Counsel to join our team. As a key member of our Regulatory Analysis and Design Department, you will play a critical role in supporting and growing our global ISV ecosystem and revenue stream.Key ResponsibilitiesBridge the Gap between Regulatory Expertise and Strategic...
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Tax Compliance Specialist
7 days ago
London, Greater London, United Kingdom Sovos Compliance Full timeAbout the RoleSovos Compliance is seeking a highly skilled Regulatory Liaison Counsel to join our team. As a key member of our Regulatory Analysis and Design Department, you will play a critical role in supporting and growing our global ISV ecosystem and revenue stream.Key ResponsibilitiesBridge the Gap between Regulatory Expertise and Strategic...
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Regulatory Compliance Consultant
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct reviews, audits, and investigations as requested by Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance, along with various...
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Regulatory Compliance Consultant
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct reviews, audits, and investigations in response to requests from Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance; engage...
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Regulatory Compliance Consultant
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct audits and investigations in response to requests from Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance, along with various...
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Compliance Specialist
5 days ago
London, Greater London, United Kingdom British Compliance Institute Full timeJob SummaryWe are seeking a highly skilled and experienced Compliance Specialist to join our team at the British Compliance Institute. As a Compliance Specialist, you will play a critical role in ensuring that our organization adheres to all relevant regulatory requirements and industry standards.Key ResponsibilitiesDevelop and implement compliance programs...
