Senior Compliance Officer

6 days ago

Henley on Thames, Oxfordshire, United Kingdom Reed Full time
Senior Compliance Analyst, Investment Monitoring

Reed is seeking a highly skilled Senior Compliance Analyst to join our team in a 100% office-based role. As a Senior Compliance Analyst, you will be responsible for ensuring compliance with regulatory requirements and maintaining effective systems and controls across the organization.

Key Responsibilities:
  • Comply with the FCA's Consumer Duty requirements and other regulatory obligations.
  • Maintain accurate records in accordance with company compliance requirements.
  • Work in accordance with the Data Protection policy and ensure compliance with relevant regulations.
Main Role Purpose:
  • Hold the SMF 16 function (Compliance oversight function) and provide effective systems and controls framework across the organization.
  • Ensure compliance with all regulatory regimes under which the business operates, including FCA compliance, Data Protection Act, and Proceeds of Crime Acts.
  • Undertake and monitor reviews to demonstrate compliance and assist in the development and maintenance of effective systems and processes.
  • Provide leadership and guidance to the team and ensure that employees receive training in complaint handling procedures.
Requirements:
  • Relevant qualifications, such as CISI Level 6 Diploma in Financial Compliance.
  • Ability to manage own workload and work within a team.
  • Knowledge of business processes, standards, policies, and procedures.
  • Experience within the Financial Services Industry and exceptional communication skills at all levels.
  • Excellent organizational skills and ability to work under pressure.
Plus Responsibilities and Limits of Authority:
  • Assist the Heads of other departments in any tasks relating to the development of business.
  • Other duties which may reasonably be expected and which fall within your capabilities or general area of responsibility.

  • Senior Compliance Officer

    5 days ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job Title: Senior Compliance OfficerReed is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring our business operates within the regulatory framework.Key Responsibilities:Comply with the FCA's Consumer Duty requirements and other regulatory...

  • Senior Compliance Officer

    5 days ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job Title: Senior Compliance OfficerReed is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring our business operates within the regulatory framework.Key Responsibilities:Comply with the FCA's Consumer Duty requirements and other regulatory...

  • Senior Compliance Officer

    2 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job Title: Senior Compliance OfficerReed is 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 operations are in line with regulatory requirements and industry standards.Key Responsibilities:Implement and maintain effective compliance systems...

  • Senior Compliance Officer

    2 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job Title: Senior Compliance OfficerReed is 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 operations are in line with regulatory requirements and industry standards.Key Responsibilities:Implement and maintain effective compliance systems...

  • Senior Compliance Officer

    2 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Senior Compliance OfficerFabulous 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 salary.Key Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.Maintain records in accordance...

  • Senior Compliance Officer

    2 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Senior Compliance OfficerFabulous 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 salary.Key Responsibilities:Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.Maintain records in accordance...

  • Senior Compliance Officer

    1 week ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Senior Compliance Analyst, Investment MonitoringWe are seeking a highly skilled Senior Compliance Analyst to join our team in an Investment Monitoring role. As a key member of our Compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Comply...

  • Senior Compliance Officer

    1 week ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Senior Compliance Analyst, Investment MonitoringWe are seeking a highly skilled Senior Compliance Analyst to join our team in an Investment Monitoring role. As a key member of our Compliance function, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Comply...

  • Senior Compliance Officer

    3 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full time

    Job Title: Senior Compliance OfficerWe 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...

  • Senior Compliance Officer

    3 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full time

    Job Title: Senior Compliance OfficerWe 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...

  • Senior Compliance Officer Linked to Head of Compliance

    6 days ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job 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...

  • Senior Compliance Officer Linked to Head of Compliance

    6 days ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job 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...

  • Senior Compliance Officer Linked to Head of Compliance

    4 days ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job 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 &...

  • Senior Compliance Officer Linked to Head of Compliance

    4 days ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job 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 &...

  • Senior Compliance Officer Linked to Head of Compliance

    17 hours ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job 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...

  • Senior Compliance Officer Linked to Head of Compliance

    13 hours ago

    Henley on Thames, Oxfordshire, United Kingdom Reed Full time

    Job 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...

  • Senior Compliance Officer

    3 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full time

    Job DescriptionWe 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...

  • Senior Compliance Officer

    3 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full time

    Job DescriptionWe 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...

  • Senior Compliance Officer

    4 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full time

    Job DescriptionWe 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...

  • Senior Compliance Officer

    4 weeks ago

    Henley on Thames, Oxfordshire, United Kingdom ENGINEERINGUK Full time

    Job DescriptionWe 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...