Compliance Advisor
6 days ago
About SEI Investments Company
">As a leading global provider of asset management and investment technology solutions, SEI Investments Company is dedicated to delivering innovative solutions to our clients. Our company is built on a foundation of courage, integrity, collaboration, inclusion, connection, and fun.
">Job Overview
">We are seeking a seasoned Senior Regulatory Compliance Officer to join our team in the Compliance department. This role offers an exciting opportunity to leverage your expertise in regulatory compliance to shape our business activities and ensure we remain at the forefront of industry best practices.
">Main Responsibilities
">- You will serve as a trusted advisor to our Asset Management business unit, providing expert regulatory guidance and support to ensure compliance with MiFID and FCA Handbook requirements.
- You will spearhead research initiatives to identify and mitigate potential risks associated with emerging regulatory developments.
- You will collaborate closely with cross-functional teams to develop comprehensive compliance strategies and policies.
- You will play a key role in shaping our compliance framework, identifying areas for improvement, and implementing changes to enhance our overall risk posture.
Key Qualifications
">To excel in this role, you will possess:
">- A minimum of 5 years' experience in financial services compliance, with a proven track record of success in a similar role.
- A deep understanding of FCA rules and guidance, including Consumer Duty, and a passion for staying up-to-date on regulatory developments.
- In-depth knowledge of MiFID regulations, fund products, particularly UCITS, regulatory frameworks systems and controls, SMCR, and Market Abuse Regulations.
- Exceptional communication and interpersonal skills, with the ability to build strong relationships with senior stakeholders.
Salary and Benefits Package
">The estimated salary for this role is £65,000-£85,000 per annum, depending on experience. In addition to a competitive salary, we offer a comprehensive benefits package, including comprehensive care for your physical and mental well-being, a strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge, and be there for the people you care about.
-
Senior Governance and Compliance Advisor
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeWe're seeking a highly experienced Senior Governance and Compliance Advisor to join our team at AJ FOX COMPLIANCE. As a key member of our governance function, you'll play a critical role in ensuring our business operates with the highest standards of ethics and compliance.Your expertise in governance and compliance will be invaluable in helping us navigate...
-
Compliance Policy Advisor
3 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAbout the JobAJ FOX COMPLIANCE is seeking an experienced AML and Conflicts Advisor to join their team in London. The successful candidate will have strong analytical and interpersonal skills, with a keen eye for detail and proficiency in Microsoft Office. Key responsibilities include assessing CDD information relative to new and existing clients/matters,...
-
Compliance Training Specialist
5 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Wealth Management Risk AdvisorAbout the Role:The Compliance Professionals are seeking a skilled and experienced Wealth Management Risk Advisor to join their team. As a key member of the organization, you will play a vital role in ensuring the highest standards of compliance and risk management across all aspects of wealth management services.Key...
-
Compliance Expert
1 month ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeA compliance expert with PWM/advisor/buy side experience is sought to join a growing UK and US Compliance Consulting Firm.Job DescriptionThe successful candidate will work autonomously as part of a collegiate and technically competent team, reporting to the Managing Director. Key responsibilities include:Supervising junior members of the AR Platform...
-
Financial Conduct Authority Advisor
10 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Financial Conduct Authority AdvisorEstimated Salary: £65,000 - £85,000 per annum.About the Role:We are seeking a highly experienced Financial Conduct Authority Advisor to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for providing advice on regulatory matters related to our...
-
Compliance Expert Advisor
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX COMPLIANCE is a forward-thinking law firm seeking a highly skilled Senior Compliance Executive to join their proactive team.Job Description:In this role, you will work closely with the Head of Risk and Compliance, collaborating across the business to embed a strong compliance culture while providing expert guidance on a range of regulatory and risk...
-
Senior Risk and Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAbout AJ FOX COMPLIANCEWe are a dynamic international law firm seeking an experienced Conflicts and AML Advisor to join our team of analysts in London.
-
Wealth Management Risk Advisor
5 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Description: Wealth Management Risk AdvisorAbout Us:The Compliance Professionals is a UK-based firm providing top-quality wealth management services to retail and professional clients. Our goal is to deliver exceptional client experiences while maintaining the highest standards of compliance and risk management.Your Role:You will be responsible for...
-
AML Risk Advisor
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX COMPLIANCE is an international law firm seeking an experienced AML Risk Advisor to join our team in London.The successful candidate will have exceptional analytical and interpersonal skills, with a keen eye for detail and proficiency in Microsoft Office. They will be responsible for managing complex conflicts and AML-related issues, collaborating with...
-
Compliance Risk Manager
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAt AJ FOX COMPLIANCE, we're seeking a seasoned compliance professional to drive our risk management initiatives forward. As our Senior Governance Advisor, you'll collaborate closely with our leadership team to embed a strong compliance culture, providing expert guidance on regulatory and risk issues. Your expertise will be invaluable in ensuring our firm...
-
Senior Compliance Advisor
3 days ago
London, Greater London, United Kingdom Ventures Lab Full timeSenior Compliance AdvisorVentures Lab is seeking a Senior Compliance Advisor to join our team. This role will provide support in various legal matters, including contract drafting and review, regulatory compliance, corporate governance, and risk management.About the Role:This is an excellent opportunity for a talented professional to work with a dynamic team...
-
AML Compliance Specialist
11 hours ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX COMPLIANCEWe are seeking an experienced Conflicts and AML Advisor to ensure high standards of compliance policies, processes, and systems are implemented within our international law firm in London.This role suits someone with a genuine interest in risk and compliance, backed by experience gained within a legal environment. Extensive experience...
-
In-House Legal Advisor for Risk Management
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionAJ FOX COMPLIANCE is seeking an In-House Legal Advisor for Risk Management to join their office in London. The ideal candidate will have experience in providing legal advice to senior management and ensuring the firm's compliance with relevant laws and regulations.The estimated annual salary for this role is £130,000 - £160,000.Key...
-
AML Compliance Expert Lead
3 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAbout the RoleA talented individual is sought after by AJ FOX COMPLIANCE to fill the position of AML and Conflicts Advisor in London. This key role requires a person who can ensure that all compliance policies and procedures are met to a high standard.The job involves working closely with senior staff to supervise, train, and mentor junior team members. As...
-
Construction Compliance Advisor
2 days ago
London, Greater London, United Kingdom Carrington West Full timeWe are seeking a skilled HSEQ Advisor to join our team at Carrington West.Role Overview:As the HSEQ Advisor, you'll be responsible for ensuring safety, environmental compliance, and quality standards on both highways and street lighting projects.Requirements:Proven HSEQ Advisor experience in construction, particularly in highways and street lighting.NEBOSH...
-
Senior Compliance Officer
1 month ago
London, Greater London, United Kingdom financial-advisor Full timeOverviewSMBR seeks a trusted partner for long-term growth in financial advisory. As a Senior Compliance Officer, you will play a key role in providing advice and guidance on financial crime compliance, managing service provision, and supporting the development of regional strategies.
-
Accommodation and Compliance Advisor
3 days ago
London, Greater London, United Kingdom The Oyster Partnership Full timeAccommodation and Compliance Advisor VacancyWe are seeking a skilled Accommodation and Compliance Advisor to join our team at The Oyster Partnership. As a Housing Enforcement Officer, you will play a key role in ensuring that privately rented properties in London comply with all relevant legislation and standards.Key Tasks:Undertake regular inspections of...
-
Compliance Risk Advisor
3 days ago
London, Greater London, United Kingdom Taylor Root Careers Full timeCompliance Risk Advisor RoleTaylor Root Careers is delighted to partner with a prestigious international bank to recruit a skilled Compliance Risk Advisor to join its Internal Audit team.In this exciting opportunity, you will play a key role in ensuring the bank's compliance with regulatory requirements and internal policies, driving business growth through...
-
Financial Compliance Advisor
4 weeks ago
London, Greater London, United Kingdom SGS Société Générale de Surveillance SA Full timeKey ResponsibilitiesThe successful candidate will assume the role of Financial Compliance Advisor and be responsible for providing guidance on financial products, including derivatives, stock loans, and borrows/repo activities. You will also contribute to the development of compliance policies and procedures.
-
Compliance Legal Advisor
4 weeks ago
London, Greater London, United Kingdom Accutrainee Full timeKey Responsibilities:The Compliance Legal Advisor will be responsible for drafting and reviewing contracts, overseeing vendor agreements, and managing relationships with key stakeholders. Additionally, you will contribute to risk management and compliance projects, supporting cross-functional teams to address complex issues.