Financial Services Compliance Manager

4 days ago


St Albans, Hertfordshire, United Kingdom CV Library Full time

About Us:

NLB Solutions is a well-established business that offers great commercial ties with large businesses and an excellent reputation. Our offices provide a supportive environment, and we offer hybrid working patterns.

We are looking for a Financial Services Compliance Manager to join our team. This pivotal role is responsible for providing a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements.

A minimum salary of £60,000 - £80,000 per annum is offered based on location and industry standards.

Your Responsibilities:

  1. Manage a small team to ensure the Compliance function has appropriate regulatory engagement, procedures, and monitoring activity.
  2. Provide Compliance and AML oversight and Data Protection advice and guidance.
  3. Contribute to regulatory returns being completed accurately and in a timely manner.
  4. Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
  5. Act as a second line of defense to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business.
  6. Provide ad hoc compliance training and coaching.
  7. Contribute to the Compliance Monitoring Plan in order to analyze the company's compliance with regulatory requirements.


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