Regulatory Compliance Professional

3 days ago


Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

AJ Fox Compliance seeks a seasoned Compliance Officer with expertise in risk management to fill a challenging position. As part of the firm's compliance team, you will collaborate with senior leaders to develop and implement effective compliance strategies.

You will need to stay up-to-date with evolving regulations and laws, applying your knowledge to advise on complex compliance matters. You will also oversee policy updates, deliver compliance training, and lead the firm's customer service excellence accreditation program.

Responsibilities include:

  • Ensure the firm adheres to all relevant laws and regulations through collaboration with senior leadership and various departments.
  • Offer authoritative guidance on regulatory, legal, and ethical issues.
  • Regularly review and update the firm's policies and procedures, reflecting the latest compliance legislation.
  • Design and deliver comprehensive training programs focused on risk and compliance.
  • Contribute to the evaluation and management of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) initiatives, performing independent audits when necessary.
  • Monitor the firm's file review processes, pinpoint areas for enhancement, and implement corrective actions.
  • Analyse incidents, manage complaints, and detect emerging trends to avert future problems.
  • Promote and supervise the Customer Service Focus Group and manage the firm's Customer Service Excellence Accreditation.
  • Direct and mentor Compliance professionals, fostering their growth and development.

The estimated salary for this role is approximately £58,000 - £68,000 per year, taking into account your experience and the current market conditions.



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