Compliance and Training Manager
1 week ago
Job Summary: We are looking for a highly motivated Compliance and Training Manager to support the individuals holding senior compliance functions at an established wealth management and asset management firm.
Job Description:
The successful candidate will be responsible for maintaining and overseeing compliance frameworks and procedures, managing staff training and competency requirements, and promoting and upholding ethical standards throughout the organization.
Key Responsibilities:
- Ensure the business adheres to the standards set by the Financial Conduct Authority (FCA) by implementing and maintaining compliance frameworks and procedures.
- Evaluate advisor performance using a defined set of key performance indicators (KPIs).
- Conduct ad hoc reporting to decision-makers when critical compliance challenges arise.
Requirements:
- Strong understanding of FCA guidance, including COBS.
- Ability to work effectively as part of a team while achieving independent goals.
- Focused, motivated, and driven to maintain high standards.
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Compliance Manager
4 weeks ago
Hertfordshire, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the...
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Compliance Manager
1 month ago
Hertfordshire, United Kingdom Compliance Professionals Full timeJob Description THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring...
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Compliance Manager
1 month ago
Hertfordshire, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the...
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Compliance Risk Manager
1 week ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeAt AJ FOX COMPLIANCE, we are seeking a highly skilled Risk Compliance Manager to join our proactive team.Job Description:The successful candidate 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 issues.Key...
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Compliance Risk Manager
1 week ago
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Regulatory Compliance Manager
2 weeks ago
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Compliance Risk Manager
1 week ago
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Compliance Specialist
2 weeks ago
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Compliance Oversight Manager
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Compliance Risk Management Specialist
1 week ago
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Compliance Manager
1 month ago
Hertfordshire, UK, Eastern England, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the...
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Compliance Risk Management Specialist
1 week ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeJob OverviewAJ FOX COMPLIANCE seeks a seasoned Risk Compliance Manager to spearhead our compliance initiatives.This is an excellent opportunity for a professional with expertise in risk management, regulatory affairs, and compliance governance to drive business growth while ensuring high standards are maintained.The successful candidate will work closely...
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Risk and Compliance Program Manager
1 week ago
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Compliance Risk Management Specialist
1 week ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeAt AJ Fox Compliance, we're seeking a seasoned Risk Compliance Manager to join our proactive team. In this role, you'll 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 issues.The successful candidate will have a proven...
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Compliance Operations Manager
1 week ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX Compliance is seeking a skilled Compliance Operations Manager to join its team.The ideal candidate will have strong analytical skills, excellent communication abilities, and a proven track record of delivering results.Salary: £75,000 per annum, depending on experience. A competitive salary package including benefits and opportunities for professional...
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Compliance Expert
1 week ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionAn innovative, forward-thinking law firm, AJ Fox Compliance, is seeking a seasoned Risk & Compliance Manager to join their proactive team.This role involves collaborating closely with the Head of Risk and Compliance to embed a strong compliance culture and provide expert guidance on regulatory and risk issues.Key Responsibilities:Collaborate...
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Compliance Director
1 week ago
Hertfordshire, United Kingdom Compliance Professionals Full timeJob OverviewWe are seeking a highly experienced Compliance Director to lead our Compliance and AML teams at Compliance Professionals. As the SMF 16 and SMF 17, you will drive a culture of accountability and excellence.ResponsibilitiesLead and manage the Compliance and AML teams.Ensure compliance with all relevant laws and regulations.Liaise with regulatory...
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Chief Compliance Officer
2 weeks ago
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Compliance Expert
1 week ago
Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full timeAre you passionate about navigating complex risk and regulatory challenges? We're seeking a seasoned Compliance Expert to join our team at AJ FOX COMPLIANCE.About the RoleIn this critical role, you'll work closely with our Head of Risk and Compliance to drive compliance initiatives across the organization. Your expertise will be invaluable in providing...
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Financial Services Compliance Expert
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Hertfordshire, United Kingdom Compliance Professionals Full timeJob Summary: We are seeking a skilled Compliance and Risk Manager to join our team on a permanent basis. The successful candidate will be responsible for managing our compliance and risk framework, ensuring that our business remains compliant with all relevant regulatory requirements.About Us: Compliance Professionals is a boutique financial services firm...