Regional Compliance Officer
4 weeks ago
This is an exciting opportunity to join a well-established corporate finance organisation based in Slough, as a Regional Compliance Manager. As a key member of the compliance team, you will be responsible for ensuring the company's compliance framework is robust and effective.
Key Responsibilities:- Verify that regulatory requirements for onboarding new customers are met, and address any compliance issues that arise.
- Conduct on-site compliance audits on a risk-based approach, reviewing management information, customer files, systems, policies, and procedures.
- Draft compliance audit reports, including checks performed, outcomes, analysis, and action plans.
- Discuss final reports with the National Oversight Manager and share with the Group Compliance Manager and other parties.
- Perform follow-up activities on the execution of action plans and monitor completion of regulatory training.
- Support the National Oversight Manager in reviewing mystery shopping and analysing data to inform oversight visit plans.
- Liaise with sales teams during compliance audits and suggest updates to the Intermediary Oversight Policy and Onboarding Procedure.
- Educated to at least A-level standard or equivalent.
- In-depth knowledge of retail and contract hire finance products ideal.
- Good knowledge of regulatory regimes and requirements, including the Financial Conduct Authority and Information Commissioner's Office.
- Ability to translate knowledge into suggestions and recommendations.
- Good working knowledge of Microsoft Excel, PowerPoint, Word, and G-suite.
- Ability to train groups of staff and handle high-conflict situations.
- Previous experience in Compliance or Internal Audit roles is a must.
Bucks and Berks Recruitment PLC is an equal opportunities employer and welcomes applications from a diverse range of backgrounds. We are committed to creating a diverse and inclusive workplace and encourage suitably qualified applicants to apply.
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager Job DescriptionThis is an exciting opportunity to join a well-established corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework.Key Responsibilities:Verify that regulatory...
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager Job DescriptionThis is an exciting opportunity to join a well-established corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework.Key Responsibilities:Verify that regulatory...
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Regional Compliance Officer
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Slough, Slough, United Kingdom Hamlin Knight Full timeJob OverviewHamlin Knight is seeking a skilled Regional Compliance Manager to join its compliance team. The successful candidate will be responsible for ensuring intermediary oversight obligations are met and products are being sold appropriately.The Regional Compliance Manager will spend the majority of their time visiting retailers in the field to conduct...
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Hamlin Knight Full timeJob OverviewHamlin Knight is seeking a skilled Regional Compliance Manager to join its compliance team. The successful candidate will be responsible for ensuring intermediary oversight obligations are met and products are being sold appropriately.The Regional Compliance Manager will spend the majority of their time visiting retailers in the field to conduct...
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks and Berks Recruitment Full timeRegional Compliance Manager Job DescriptionThis is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this...
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks and Berks Recruitment Full timeRegional Compliance Manager Job DescriptionThis is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this...
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager OpportunityThis is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this...
-
Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager OpportunityThis is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this...
-
Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager OpportunityThis is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this...
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Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager OpportunityThis is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this...
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Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance ManagerThis is a fantastic opportunity to work with a well-established corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this position. You...
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Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance ManagerThis is a fantastic opportunity to work with a well-established corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this position. You...
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Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager Job DescriptionThis is an exciting opportunity to join a well-established corporate finance organisation based in Slough, as a Regional Compliance Manager. As a key member of the team, you will be responsible for ensuring compliance with regulatory requirements and providing oversight activities within the business.Key...
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Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeRegional Compliance Manager Job DescriptionThis is an exciting opportunity to join a well-established corporate finance organisation based in Slough, as a Regional Compliance Manager. As a key member of the team, you will be responsible for ensuring compliance with regulatory requirements and providing oversight activities within the business.Key...
-
Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Hamlin Knight Full timeJob OverviewHamlin Knight is seeking a skilled Regional Compliance Manager to join its compliance team. The successful candidate will be responsible for ensuring intermediary oversight obligations are met and products are being sold appropriately.The Regional Compliance Manager will spend the majority of their time visiting retailers in the field to conduct...
-
Regional Compliance Officer
4 weeks ago
Slough, Slough, United Kingdom Hamlin Knight Full timeJob OverviewHamlin Knight is seeking a skilled Regional Compliance Manager to join its compliance team. The successful candidate will be responsible for ensuring intermediary oversight obligations are met and products are being sold appropriately.The Regional Compliance Manager will spend the majority of their time visiting retailers in the field to conduct...
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Regional Compliance Officer
2 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeJob Opportunity: Regional Compliance ManagerThis is an exciting opportunity to join a well-established, corporate finance organisation based in the UK.As a Regional Compliance Manager, you will be responsible for:Conducting regular compliance audits to ensure adherence to regulatory requirementsProviding oversight and guidance to the business to ensure...
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Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeJob Opportunity: Regional Compliance ManagerThis is an exciting opportunity to work with a well-established corporate finance organisation based in the UK.As a Regional Compliance Manager, you will be responsible for:Conducting regular compliance audits to ensure adherence to regulatory requirementsProviding oversight and guidance to the business to ensure...
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Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full timeJob Opportunity: Regional Compliance ManagerThis is an exciting opportunity to work with a well-established corporate finance organisation based in the UK.As a Regional Compliance Manager, you will be responsible for:Conducting regular compliance audits to ensure adherence to regulatory requirementsProviding oversight and guidance to the business to ensure...
-
Regional Compliance Officer
3 weeks ago
Slough, Slough, United Kingdom Bucks and Berks Recruitment Full timeRegional Compliance ManagerThis is a fantastic opportunity to work with a well-established corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this position. You...