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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual &...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeFabulous Great news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYSenior Compliance Officer:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.Maintain records in accordance with company...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Ensure compliance with the FCA's Consumer Duty requirements, and other requirements in the...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked to Head of ComplianceFabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARYMain Responsibilities:Ensure compliance with the FCA's Consumer Duty requirements, and other requirements in the...
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer Linked To The Head Of ComplianceFabulous opportunity to work in a senior compliance role linked to the Head of Compliance in a reputable company. This is a 100% office-based position with a high salary and a 9am-5pm schedule.Key Responsibilities:Comply with the FCA's Consumer Duty requirements and other regulatory...
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Senior Compliance Officer
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Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer - Financial ServicesWe are seeking a highly skilled Senior Compliance Officer to join our team in an investment business with financial compliance skills.Key Responsibilities:Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme.Advise employees on all applicable regulatory...
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer - Financial ServicesWe are seeking a highly skilled Senior Compliance Officer to join our team in an investment business with financial compliance skills.Key Responsibilities:Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme.Advise employees on all applicable regulatory...
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer - Financial ServicesWe are seeking a highly skilled Senior Compliance Officer to join our team in an investment business. The successful candidate will be responsible for ensuring compliance with all regulatory regimes under which the business operates.Main Responsibilities:Hold the SMF 16 function (Compliance oversight...
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob Title: Senior Compliance Officer - Financial ServicesWe are seeking a highly skilled Senior Compliance Officer to join our team in an investment business. The successful candidate will be responsible for ensuring compliance with all regulatory regimes under which the business operates.Main Responsibilities:Hold the SMF 16 function (Compliance oversight...
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeJob DescriptionWe are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames.About the RoleAs a Senior Compliance Executive, you will be responsible for advising on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services....
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Senior Compliance Officer
2 months ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeJob DescriptionWe are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames.About the RoleAs a Senior Compliance Executive, you will be responsible for advising on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services....
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Senior Compliance Officer
4 weeks ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeJob DescriptionWe are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames.About the RoleAs a Senior Compliance Executive, you will be responsible for advising on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services....
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Senior Compliance Officer
2 months ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeJob DescriptionWe are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames.About the RoleAs a Senior Compliance Executive, you will be responsible for advising on the application of UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting, and Distribution Services....
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Senior Compliance Officer
3 weeks ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeAbout the Role:We are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames.As a key member of our team, you will be responsible for advising on the application of UK regulatory rules pertaining to product, fund administration, fund accounting, and distribution services.You will also be the...
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Senior Compliance Officer
3 weeks ago
Henley on Thames, Oxfordshire, United Kingdom Reed Full timeJob SummaryWe are seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring that our business operates in accordance with all relevant regulatory requirements.Key ResponsibilitiesComply with the FCA's Consumer Duty requirements and other regulatory...
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Senior Compliance Officer
3 weeks ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames. As a key member of our team, you will play a critical role in ensuring that our business operations are in compliance with relevant regulations and laws.Key ResponsibilitiesAdvise on the application of UK regulatory...
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Senior Compliance Officer
3 weeks ago
Henley on Thames, Oxfordshire, United Kingdom OppenheimerFunds Distributor, Inc Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Executive to join our UK Product Compliance Advisory team in Henley-on-Thames. As a key member of our team, you will play a critical role in ensuring that our business operations are compliant with relevant regulations and laws.Key ResponsibilitiesAdvise on the application of UK regulatory rules...
Senior Compliance Officer
2 months ago
We are seeking a highly skilled Senior Compliance Officer to join our UK Product Compliance Advisory team in Henley-on-Thames.
As a key member of our compliance team, you will be responsible for advising on the application of UK regulatory rules pertaining to product, fund administration, fund accounting, and distribution services. You will also be the compliance relationship manager for these areas and represent compliance on governance committees, including the UK Dilution Committee.
Key responsibilities include:
- Advising on compliance regulations, rules, and standards, and keeping stakeholders informed of regulatory developments.
- Inputting to written guidance for partners implementing compliance regulations, rules, and standards through policies and procedures.
- Encouraging a good compliance culture and effective conflicts of interest management and fair treatment of customers.
- Developing mutually supportive and collegiate working relationships with the wider Compliance team, Legal, and Risk counterparts.
Requirements:
- Meaningful experience in Compliance, within asset management or financial services.
- A good understanding of the rules within COBS/COLL/DISP/ESG/FUND/PRIN/PROD/SYSC.
- Ability to build positive relationships with excellent communication skills.
- Strong eye for detail and good organisational skills.
We are an equal opportunities employer and are committed to creating a diverse and inclusive workplace. If you are passionate about compliance and have the skills and experience we are looking for, please apply.
