Lead Compliance Specialist

3 weeks ago

London, Greater London, United Kingdom Handelsbanken Wealth & Asset Management Full time

Company Overview

Handelsbanken Wealth & Asset Management operates as a fully-owned subsidiary of the Handelsbanken Group, overseeing all wealth and investment management operations within the UK. Established in Sweden, Handelsbanken is recognized as one of the most robust banks globally, providing personalized relationship banking, expert advice, and investment management services to both individual and corporate clients through its expanding network across the UK. For over three decades, we have been a trusted partner for our clients, including industry leaders and discerning financial professionals, dedicated to managing their wealth with a singular focus on customer satisfaction.

Opportunity

This position presents a chance to become part of a thriving national organization while being integrated into a significant multinational group.

Handelsbanken Group is committed to fostering equality and diversity in all aspects of our operations, ensuring that Handelsbanken Wealth & Asset Management is an inclusive and inspiring workplace for everyone, irrespective of age, disability, pregnancy and/or parental status, ethnicity, religion, sex, gender reassignment, or sexual orientation.

Work Environment

We embrace a Hybrid Working Model, allowing employees to spend the majority of their working hours at the office while also providing the flexibility to work from home. This approach enables us to enjoy the benefits of hybrid working while nurturing our unique organizational culture.

Role Overview

We are seeking a Lead Compliance Specialist to join our London team. The ideal candidate will possess a solid understanding of the regulatory landscape, preferably with experience in the wealth management sector. You should be a proactive individual, focused on meeting deadlines, with the capability to prioritize tasks as demands evolve.

Main Responsibilities

  • Contribute to the execution of the annual compliance monitoring program by performing designated monitoring tasks to a high standard and delivering outcomes promptly.
  • Proactively identify control deficiencies and vulnerabilities, analyze root causes, and escalate issues while proposing effective solutions to mitigate identified risks.
  • Collaborate with the Senior Compliance Manager to establish action plans with the business based on monitoring outcomes, ensuring that identified risks are effectively addressed and documented.
  • Participate in the annual Compliance Risk Assessment Process to inform the compliance monitoring strategy and continuously review compliance risks.
  • Assist in generating relevant reports and management information to keep leadership informed about compliance risks and their status, including support for the Head of Compliance in preparing reports for various committees and groups.
  • Stay abreast of regulatory changes and maintain current knowledge of emerging issues and trends that may affect the company's risk profile.
  • Facilitate training and awareness initiatives for the business on pertinent compliance matters.
  • Collaborate with the Compliance Team to establish robust internal controls and compliance procedures, contributing to enhanced adherence to regulatory standards.
  • Ensure that departmental logs and the Compliance Monitoring Program are consistently updated and appropriately risk-rated.
  • Work autonomously while fostering strong relationships with business units.
  • Promote a positive compliance culture within HWAM, aiding the business in effectively managing compliance risks.
  • Maintain an objective perspective on internal practices while nurturing constructive relationships that allow for valuable feedback.
  • Develop connections with compliance functions across the broader Handelsbanken Group.

Candidate Profile

  1. Ability to convey technical information in an accessible manner.
  2. Proficient in interpreting FCA regulations.
  3. Self-motivated and proactive.
  4. Collaborative team player.
  5. Focused on customer outcomes.
  6. Exhibits a high degree of accuracy, integrity, and independence.

Qualifications

Possession of CISI IAQ / IOC, Investment Compliance Diploma, or other relevant compliance qualifications from the International Compliance Association (ICA) is advantageous.

Experience

  • At least two years of compliance monitoring experience, preferably gained within a Wealth Management Firm or Retail Financial Advice Firm.
  • Strong understanding of FCA regulations.
  • Experience with Suitability of Advice and/or CASS is beneficial.
  • Ability to articulate and simplify complex technical information for diverse audiences.
  • Self-starter with a sense of responsibility, capable of working independently and collaboratively.
  • Skilled in building and maintaining strong relationships, becoming a trusted partner to the business.
  • Demonstrates a commitment to accuracy, integrity, and independence, thriving in a small team environment while upholding a customer-centric culture.

  • Lead Compliance Oversight Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewOur client, a prominent international commercial banking institution, is seeking a Lead Compliance Oversight Specialist to oversee the compliance framework within their operations.Key ResponsibilitiesCompliance Framework Management: Develop and maintain the policies and procedures that constitute the compliance framework.Regulatory Review:...

  • Compliance Legal Specialist

    1 day ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading provider of compliance services to the financial industry, dedicated to helping our clients navigate the complex regulatory landscape.Job SummaryWe are seeking a highly organized and detail-oriented Compliance Legal Specialist to join our team. The successful candidate will be responsible for providing...

  • Compliance Legal Specialist

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading provider of compliance services to the financial industry, dedicated to helping our clients navigate the complex regulatory landscape.Job SummaryWe are seeking a highly organized and detail-oriented Compliance Legal Specialist to join our team. The successful candidate will be responsible for providing...

  • Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom British Compliance Institute Full time

    Job 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...

  • Compliance Specialist

    6 days ago

    London, Greater London, United Kingdom British Compliance Institute Full time

    Job 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...

  • AML Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled AML Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for implementing and maintaining effective anti-money laundering (AML) and compliance programs.Key Responsibilities:AML Risk Assessment and Compliance Monitoring: In conjunction with the Chief...

  • AML Compliance Specialist

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled AML Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for implementing and maintaining effective anti-money laundering (AML) and compliance programs.Key Responsibilities:AML Risk Assessment and Compliance Monitoring: In conjunction with the Chief...

  • Regulatory Compliance Specialist

    3 weeks ago

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

    AJ 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...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    ABOUT 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...

  • Validation and Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom British Compliance Institute Full time

    Job SummaryWe are seeking a highly skilled Validation and Compliance Specialist to join our team at the British Compliance Institute. As a key member of our team, you will be responsible for ensuring regulatory compliance through validation and qualification.Key ResponsibilitiesDevelop and implement a risk-based approach to determine processes requiring...

  • Validation and Compliance Specialist

    6 days ago

    London, Greater London, United Kingdom British Compliance Institute Full time

    Job SummaryWe are seeking a highly skilled Validation and Compliance Specialist to join our team at the British Compliance Institute. As a key member of our team, you will be responsible for ensuring regulatory compliance through validation and qualification.Key ResponsibilitiesDevelop and implement a risk-based approach to determine processes requiring...

  • Veterinary Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom HallMark Veterinary & Compliance Services Full time

    Job Title: Veterinary Compliance SpecialistJob Summary:We are seeking a dedicated and experienced Veterinary Compliance Specialist to play a crucial role in ensuring the safety and compliance of imported products of animal origin into the UK. As a key member of our team at HallMark Veterinary & Compliance Services, you will be responsible for implementing...

  • Veterinary Compliance Specialist

    5 days ago

    London, Greater London, United Kingdom HallMark Veterinary & Compliance Services Full time

    Job Title: Veterinary Compliance SpecialistJob Summary:We are seeking a dedicated and experienced Veterinary Compliance Specialist to play a crucial role in ensuring the safety and compliance of imported products of animal origin into the UK. As a key member of our team at HallMark Veterinary & Compliance Services, you will be responsible for implementing...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY 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...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position 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...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position 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...

  • Risk and Compliance Specialist

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionJob Title: Deputy Head of ComplianceCompany: Compliance ProfessionalsJob Type: Full-timeLocation: RemoteJob Category: ComplianceAbout Us:We are a leading provider of compliance solutions, dedicated to helping businesses navigate complex regulatory landscapes.Job Summary:We are seeking an experienced Compliance Executive to join our team as...

  • Compliance Reporting Specialist II

    5 days ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    About the RoleSovos Compliance is seeking a highly skilled Compliance Reporting Specialist II to join our team. As a key member of our compliance team, you will be responsible for providing support for the process of reporting bookings, as well as calculating, reporting on, and analyzing commissions.Key ResponsibilitiesProvide monthly recording and reporting...

  • Compliance Reporting Specialist II

    4 days ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    About the RoleSovos Compliance is seeking a highly skilled Compliance Reporting Specialist II to join our team. As a key member of our compliance team, you will be responsible for providing support for the process of reporting bookings, as well as calculating, reporting on, and analyzing commissions.Key ResponsibilitiesProvide monthly recording and reporting...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY 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...