Compliance Professional

3 weeks ago


High Wycombe, Buckinghamshire, United Kingdom AJ FOX COMPLIANCE Full time
About AJ FOX COMPLIANCE

We are seeking a highly skilled Compliance Manager to join our team in Buckinghamshire. As a Compliance Manager, you will be responsible for ensuring that our firm maintains the highest standards of compliance with relevant regulations and legislation.

Key Responsibilities:
  • Handle client complaints and liaise with regulatory bodies as necessary
  • Achieve and maintain industry-recognized standards such as Lexcel
  • Support the Money Laundering Reporting Officer (MLRO) and Compliance Officer for Finance and Administration (COFA)
  • Develop and implement risk management policies, procedures, and internal audits
  • Manage conflicts of interest and ensure adherence to regulatory requirements
  • Provide support to the HR function and deliver firm-wide training on compliance-related matters
  • Oversee the Customer Due Diligence (CDD) process and ensure accurate record-keeping
Requirements:
  • Strong knowledge of relevant regulations and legislation, including Money Laundering Regulations 2017, SRA Standards and Regulations, Legal Ombudsman Scheme Rules, legal aid, Data Protection Act 2018, Proceeds of Crime Act 2002, and the Lexcel Standard
  • Excellent communication and organizational skills, with the ability to work under pressure and manage changing priorities
  • Strong drafting skills, attention to detail, and IT skills
Estimated Salary:

£55,000 - £65,000 per annum, depending on experience



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