Compliance Officer
2 weeks ago
Wright Hassall is seeking an experienced and highly motivated individual to join the Firm as a Senior Compliance Officer.
Key Responsibilities- Support the team and wider business with client due diligence (CDD) / know your client (KYC) to ensure compliance with Money Laundering Regulations and internal control documents.
- Support the team and wider business with file management to ensure files are opened, maintained, supervised, and closed in line with legal practice standards and internal control documents, which will include advising on and where applicable dealing with file-related issues (e.g. file management processes, compliance requirements, and high-risk file matters and individuals).
- Assist the Risk and Compliance Manager with risk management within the business to ensure risks are effectively identified, managed, and monitored as far as possible.
- Be responsible for the overall audit process within the business to ensure compliance with regulatory requirements and internal control documents, and to provide assurance of such to Approved Persons as required.
- Contribute to continuous improvement of the systems and controls in place for effective compliance to ensure they are up-to-date and relevant, and that the business complies with such.
- Handle internal incidents, and where necessary complaints, in accordance with regulatory requirements and internal control documents, to ensure timely resolution and to reduce reputational risk to the business.
- Respond to requests for information to ensure transparency and accountability, and to provide assurance of the business's management of risk and compliance with relevant regulatory requirements.
- Respond to complex/high risk internal compliance queries and escalate matters where required to the Risk and Compliance Manager, Practice Director and/or relevant Regulatory Role Holder, as appropriate to ensure issues are addressed and compliance is effectively undertaken by the business.
- Support with compliance training to ensure material is up-to-date and relevant and the business has an awareness and understanding of relevant legislation, regulation, best practice standards and internal controls to be able to effectively comply.
- Lead projects within the business to ensure compliance with regulatory requirements, as needed.
- Share knowledge, cross train and provide support to other team members.
- 5 or more years proven experience of working in a risk or compliance role within a regulatory environment at officer level or higher.
- Proven experience in the areas of anti-money laundering and data protection, including responding to subject access requests, dealing with complex matters, and making reports to the regulator.
- Applying, and assessing the impact on the business of, legislation, regulation and/or best practice standards.
- Assessing, monitoring and managing risks, including maintaining a risk register.
- Conducting audits and implementing continuous improvement, including development and review of internal systems and controls.
- Undertaking due diligence in complex and/or high-risk matters.
We offer a competitive salary and excellent benefits package, including 25 days annual leave (rising to 30 days), hybrid working, pension, bonus scheme, training and development, private medical insurance, life assurance, healthcare scheme, subsidised gym membership, on-site restaurant, and an active social committee.
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Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeJob Title: Compliance OfficerWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. As a Compliance Officer, you will play a crucial role in ensuring that our firm operates in accordance with relevant laws, regulations, and internal policies.Key Responsibilities:Support the Risk and Compliance Manager in the execution and...
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Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeJob Title: Compliance OfficerWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. As a Compliance Officer, you will play a crucial role in ensuring that our firm operates in accordance with relevant laws, regulations, and internal policies.Key Responsibilities:Support the Risk and Compliance Manager in the execution and...
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Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall Full timeSenior Compliance OfficerWright Hassall is seeking an experienced and highly motivated individual to join our team as a Senior Compliance Officer. This role is responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies,...
-
Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall Full timeSenior Compliance OfficerWright Hassall is seeking an experienced and highly motivated individual to join our team as a Senior Compliance Officer. This role is responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies,...
-
Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall Full timeSenior Compliance OfficerWright Hassall is seeking an experienced and highly motivated individual to join the Firm as a Senior Compliance Officer. This role is responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies,...
-
Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall Full timeSenior Compliance OfficerWright Hassall is seeking an experienced and highly motivated individual to join the Firm as a Senior Compliance Officer. This role is responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies,...
-
Compliance Officer
2 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall Full timeSenior Compliance OfficerWright Hassall is seeking an experienced and highly motivated individual to join the Firm as a Senior Compliance Officer.Key ResponsibilitiesClient Due Diligence and Know Your Client (KYC): Support the team and wider business with client due diligence and KYC to ensure compliance with Money Laundering Regulations and internal control...
-
Compliance Officer
2 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall Full timeSenior Compliance OfficerWright Hassall is seeking an experienced and highly motivated individual to join the Firm as a Senior Compliance Officer.Key ResponsibilitiesClient Due Diligence and Know Your Client (KYC): Support the team and wider business with client due diligence and KYC to ensure compliance with Money Laundering Regulations and internal control...
-
Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeSenior Compliance OfficerWright Hassall LLP is seeking an experienced and highly motivated individual to join our team as a Senior Compliance Officer.Key Responsibilities:Support the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies, processes,...
-
Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeSenior Compliance OfficerWright Hassall LLP is seeking an experienced and highly motivated individual to join our team as a Senior Compliance Officer.Key Responsibilities:Support the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies, processes,...
-
Compliance Officer
3 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. As a key member of our Risk and Compliance function, you will play a critical role in ensuring the Firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Client Due Diligence and Know Your Client (KYC):...
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Compliance Officer
3 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. As a key member of our Risk and Compliance function, you will play a critical role in ensuring the Firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Client Due Diligence and Know Your Client (KYC):...
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Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeJob Title: Compliance OfficerWe are seeking an experienced and determined professional to join our team as a Compliance Officer. This role is responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management, as well as compliance with regulatory requirements and internal policies, processes,...
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Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeJob Title: Compliance OfficerWe are seeking an experienced and determined professional to join our team as a Compliance Officer. This role is responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management, as well as compliance with regulatory requirements and internal policies, processes,...
-
Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. As a key member of our Risk and Compliance function, you will play a vital role in ensuring the firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Support the business with client due diligence and...
-
Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. As a key member of our Risk and Compliance function, you will play a vital role in ensuring the firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Support the business with client due diligence and...
-
Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. The successful candidate will be responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies,...
-
Compliance Officer
4 weeks ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeCompliance Officer Job DescriptionWe are seeking an experienced Compliance Officer to join our team at Wright Hassall LLP. The successful candidate will be responsible for supporting the execution and continuous improvement of the Compliance Function to ensure effective risk management and compliance with regulatory requirements and internal policies,...
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Senior Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeJob Title: Senior Compliance OfficerJob Summary:Wright Hassall LLP is seeking a highly motivated and experienced Senior Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring the firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Support the Risk and...
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Senior Compliance Officer
1 month ago
Leamington Spa, Warwickshire, United Kingdom Wright Hassall LLP Full timeJob Title: Senior Compliance OfficerWright Hassall LLP is seeking a highly motivated and experienced Senior Compliance Officer to join their team. As a key member of the Risk and Compliance department, you will play a crucial role in ensuring the firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Support the Risk and...
