Regulatory Compliance Specialist

7 days ago


Hertfordshire, United Kingdom FS Talent Group Full time

Job Title: Regulatory Compliance Specialist

Location: Hertfordshire

Salary: £55,000 - £65,000 per annum

The FS Talent Group is seeking a skilled Regulatory Compliance Specialist to join their team. As a key member of the compliance function, you will play a vital role in ensuring the firm adheres to the standards set by the Financial Conduct Authority (FCA).

Key Responsibilities:

  • Maintain open and transparent communication with the regulator, providing disclosures as required.
  • Promote and uphold ethical standards throughout the organization.
  • Stay informed about changes in regulatory, technical, legislative, and product-related updates.
  • Implement robust systems and controls for all business operations, ensuring regular reviews.
  • Provide monthly compliance reports to senior management, highlighting key issues and risks.

Requirements:

  • Strong understanding of FCA guidance, including COBS.
  • Excellent organizational skills and computer proficiency.
  • Professional demeanour and excellent interpersonal skills.


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    As a Risk Governance Specialist, you will play a critical role in ensuring the firm's compliance with regulatory requirements and developing strategies to mitigate potential risks.About the Firm:AJ FOX COMPLIANCE is a leading law firm with a reputation for excellence in compliance and risk management.Responsibilities:Risk Assessment: Conduct thorough risk...


  • Hertfordshire, United Kingdom Compliance Professionals Full time

    Job Title: Regulatory Affairs SpecialistAbout Us: Compliance Professionals is a boutique financial services firm based in St Albans. We are seeking a Regulatory Affairs Specialist on a permanent basis.Responsibilities:Ensure regulatory compliance: Monitor, analyse and report on regulatory changes to ensure the business remains compliant.Provide guidance:...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Regulatory Affairs SpecialistEstimated Salary: £55,000 - £75,000 per annumCompany Overview:AJ FOX COMPLIANCE is a forward-thinking law firm seeking a Regulatory Affairs Specialist to join their 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.Key...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Regulatory Compliance ExpertWe are seeking a highly skilled and experienced Regulatory Compliance Expert to join our team at AJ Fox Compliance.The ideal candidate will possess a strong understanding of regulatory requirements and be able to effectively navigate complex legal challenges.About the Role:Collaborate with senior leadership and...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    AJ FOX COMPLIANCE requires an experienced Regulatory Affairs Specialist to oversee and implement effective regulatory strategies. You will work closely with internal stakeholders to ensure compliance with regulatory requirements and provide expert guidance on complex issues.Responsibilities:Develop and implement regulatory strategies to ensure compliance...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    About the Role: AJ FOX COMPLIANCE is seeking a highly skilled Senior Compliance Executive to join our proactive team. This is an exciting opportunity for a fee-earner looking to transition into risk and compliance.">Job Description: We're looking for someone who is passionate about navigating complex risk and regulatory challenges. As a Senior Compliance...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    At AJ FOX COMPLIANCE, we're seeking a skilled Regulatory Risk Specialist to join our team. As a key member of our compliance department, you'll play a vital role in ensuring our firm operates within the boundaries of regulatory requirements.About the RoleIn this role, you'll work closely with our Head of Risk and Compliance to embed a strong compliance...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job OverviewAJ Fox Compliance is a forward-thinking law firm seeking a highly skilled Risk & Compliance Manager to join their proactive team.This role involves working closely with the Head of Risk and Compliance to develop and implement effective risk management strategies.Key Responsibilities:Collaborate with senior leadership and various departments to...

  • Compliance Specialist

    2 weeks ago


    Hertfordshire, United Kingdom Compliance Professionals Full time

    Job OverviewThe Compliance Professionals are seeking a highly skilled Compliance Manager to join their team in St Albans. This is an excellent opportunity for a qualified professional to work in a boutique financial services firm.This role presents a unique chance to contribute to the Compliance function and ensure it is adequately supported. The successful...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    About AJ Fox ComplianceWe are a forward-thinking law firm committed to excellence in risk management and compliance. We are seeking a highly skilled Risk & Compliance Manager to join our team and contribute to our success.Key Responsibilities:Collaborate with senior leadership and various departments to maintain a strong compliance culture.Provide expert...


  • 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...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionWe are seeking a seasoned Compliance Risk Specialist to join our proactive team at AJ FOX COMPLIANCE. As a key member of the risk management function, you will work closely with senior leadership and various departments to ensure that the firm complies with all relevant legal, regulatory, and professional standards.The ideal candidate will...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Compliance Risk Management SpecialistWe are seeking an expert in risk management to join our law firm as a Compliance Risk Management Specialist.The ideal candidate will have a strong understanding of regulatory requirements and be able to navigate complex legal challenges with ease.About the Role:Collaborate with senior leadership and departments...

  • Compliance Officer

    1 week ago


    Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    AJ Fox Compliance is looking for a highly skilled Regulatory Compliance Professional to join their team. As a key member of the compliance function, you will play a vital role in ensuring the firm's compliance with all relevant laws and regulations.The ideal candidate will have excellent analytical and problem-solving skills, with the ability to identify and...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Risk Management Specialist OpportunityAJ FOX COMPLIANCE is looking for a highly skilled Risk Management Specialist to join our team. The successful candidate will work closely with the Head of Risk and Compliance, providing expert guidance on regulatory and risk issues.Key Responsibilities:Collaborate with senior leadership and other departments to ensure...


  • Hertfordshire, United Kingdom FS Talent Group Full time

    Job Title: Regulatory Compliance Specialist - Wealth ManagementOur FS Talent Group is seeking a highly skilled Regulatory Compliance Specialist to support senior compliance functions at an established wealth management and asset management firm. The successful candidate will be responsible for ensuring the business adheres to the standards set by the...


  • Hertfordshire, United Kingdom X4 Life Sciences Full time

    About the RoleThis position is a fantastic opportunity for an experienced Regulatory Affairs Specialist to join X4 Life Sciences in Hertfordshire, UK. As a key member of our team, you will be responsible for overseeing all aspects of the lifecycle maintenance for registered Marketing Authorizations (MAs).Key Responsibilities:Maintain and update regulatory...


  • Hertfordshire, United Kingdom Compliance Professionals Full time

    **Job Title:** Compliance Manager**Location:** St AlbansWe are a leading provider of Compliance services in the UK, seeking a highly experienced Compliance Manager to join our team in St Albans.The successful candidate will have a minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors, and will be...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    AJ FOX Compliance is a dynamic and growing organization seeking a Regulatory Affairs Director to lead our compliance efforts.The successful candidate will have a deep understanding of regulatory requirements and be able to communicate complex information to stakeholders.Salary: £80,000 per annum, depending on experience. A competitive salary package...

  • Compliance Manager

    4 weeks ago


    Hertfordshire, United Kingdom Compliance Professionals Full time

    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 activity adequately support the...