Compliance Risk Manager

3 weeks ago


Bristol, Bristol, United Kingdom Broadgate Search Ltd Full time

The Senior Compliance Advisory Manager role at Broadgate Search Ltd involves ensuring the company adheres to all relevant laws, regulations, and internal policies. This position requires providing guidance and support to business units to ensure compliance with applicable rules and regulations, as well as identifying and mitigating compliance risks.

Key Responsibilities

  • Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials, and remuneration.
  • Support the SMCR Regime by closely working with HR and submitting FCA Connect forms and Directory Persons as required.
  • Conduct compliance-themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks.
  • Maintain a Regulatory development log and provide business impact assessments and regulatory updates in a timely manner.
  • Support ongoing regulatory and change programs by acting as the FCA compliance expert.

Requirements

  • Experience of working in a 2nd line compliance role, from a Wealth & Investments background.
  • Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks.
  • Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance issues to non-compliance professionals.
  • Ability to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer.
  • Ability to create and deliver specific compliance training on a face-to-face basis for employees to enable compliance to be embedded in the business.
  • Ability to maintain the FCA Reg Data and FCA Connect requirements for the firm's reporting, notifications, and SMCR requirements.


  • Bristol, Bristol, United Kingdom AJ Fox Compliance Full time

    A top UK law firm is seeking a Risk Lawyer to join their team in Bristol. The main purpose of this role is to ensure legal and regulatory compliance, particularly regarding contract management.This role is best suited to someone with prior experience within a law firm, ideally within a risk management role. Equally, someone with experience in a commercial...


  • Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Risk and Compliance SolicitorAbout the Role:We are seeking a qualified lawyer with a strong interest in compliance to join our dynamic team in Bristol. The successful candidate will have a minimum of 4 years of post-qualification experience and a proven track record of working within a risk/commercial legal environment.Key Responsibilities:Deliver...

  • Compliance Manager

    3 weeks ago


    Bristol, Bristol, United Kingdom AJ Fox Compliance Full time

    Job Title: AML Compliance ManagerWe have an exciting opportunity for an experienced AML Compliance Manager to join our team at AJ Fox Compliance in Bristol. This role will support the Compliance Department in strengthening their existing resources, delivering a high-quality service to the firm's management and lawyers, and supporting the business in...

  • Interim Solicitor

    4 weeks ago


    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a highly skilled and experienced Interim Solicitor to join our team at AJ FOX COMPLIANCE. As a key member of our risk and compliance department, you will play a crucial role in ensuring firm-wide compliance with regulatory requirements.Some of your key responsibilities will include:Liaising with stakeholders regarding risk-related...


  • Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking an experienced AML Compliance Manager to join our team at AJ FOX COMPLIANCE. In this role, you will support the Compliance Department to strengthen their existing resources in this area, deliver a highly efficient, top-quality service to the firm's management and lawyers, and to support the business in providing exceptional service to its...


  • Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking an experienced AML Compliance Manager to join our team at AJ FOX COMPLIANCE. In this role, you will support the Compliance Department to strengthen their existing resources in this area, deliver a highly efficient, top-quality service to the firm's management and lawyers, and to support the business in providing exceptional service to its...


  • Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionWe are seeking an experienced AML Compliance Manager to join our team at AJ FOX COMPLIANCE. In this role, you will support the Compliance Department to strengthen their existing resources in this area, deliver a highly efficient, top-quality service to the firm's management and lawyers, and to support the business in providing exceptional...

  • Compliance Lawyer

    4 weeks ago


    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionAJ FOX COMPLIANCE is seeking a highly skilled Compliance Lawyer to join their team in Bristol.The ideal candidate will have a strong background in risk management and compliance, with a focus on contract review and negotiation.Responsibilities will include:Delivering comprehensive regulatory risk trainingMaintaining up-to-date knowledge of...


  • Bristol, Bristol, United Kingdom Broadgate Search Ltd Full time

    The Senior Compliance Advisory Manager is responsible for ensuring that the company complies with all relevant laws, regulations, and internal policies. They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.Key ResponsibilitiesProvide guidance...


  • Bristol, Bristol, United Kingdom Chadwick Nott Full time

    Compliance Manager OpportunityChadwick Nott is seeking a highly skilled Compliance Manager to join their Risk & Compliance team in Bristol. The ideal candidate will have at least three years of experience working in a regulated environment within the compliance function.Key Responsibilities:Support the Head of Compliance with strategic and critical...


  • Bristol, Bristol, United Kingdom TLT LLP Full time

    We are seeking a highly skilled Compliance Risk Manager to join our Can I Act team.Job SummaryThis role involves managing and implementing assessments of high and medium risk clients, working closely with Client Relationship Partners (CRPs) to ensure AML reviews are consistent and compliant. The successful candidate will have excellent research and...


  • Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Job OverviewA forward-thinking solicitor with experience in risk, regulation or professional liability is sought for a law firm risk and compliance role at AJ FOX COMPLIANCE.

  • AML Compliance Lead

    3 weeks ago


    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a highly skilled AML Compliance Lead to join our team at AJ FOX COMPLIANCE. This exciting opportunity will involve supporting the Compliance Department to strengthen their existing resources in the area of Anti-Money Laundering (AML).Key responsibilities include:Leading the team and overseeing AML Customer Due Diligence (CDD), risk...


  • Bristol, Bristol, United Kingdom RAC Full time

    About the RoleRAC is seeking a Compliance Advisory Manager to join our Governance, Risk and Compliance function. As a key member of the Compliance Advisory Team, you will provide expert advice, challenge, and input to our business divisions to ensure conduct and regulatory risks are appropriately evaluated and escalated.As a compliance business partner, you...


  • Bristol, Bristol, United Kingdom PGI - Protection Group International Ltd Full time

    Job SummaryPGI is a global consultancy that helps organisations build digital resilience. Our vision is a world resilient to digital threats and online harm.The Head of Risk and Compliance is a leadership role within PGI. You will be accountable to the CFO and responsible for all aspects of Risk, Compliance, Governance and Environment that support PGI's...


  • Bristol, Bristol, United Kingdom LHH Recruitment Full time

    Job Title: Risk and Compliance AssociateLocation: BristolContract Details: Permanent, Full TimeSalary: £60,000-£65,000 DOEAbout Our Client:We are recruiting a new Risk and Compliance Associate on behalf of our client, a leading organisation in the legal industry. They provide commercially-savvy legal advice and services, delivering exceptional risk and...


  • Bristol, Bristol, United Kingdom CV-Library Full time

    We are seeking a highly skilled Compliance and Risk Management Professional to join our team at CV-Library in Bristol. This is an exciting opportunity for an individual with commercial law expertise and experience in data protection law.Job Description:The ideal candidate will have a background in non-contentious commercial/contracting/procurement work and...


  • Bristol, Bristol, United Kingdom LHH Recruitment Full time £60,000 - £65,000

    Job Title: Risk and Compliance SpecialistLocation: Not specifiedContract Details: Permanent, Full TimeSalary: £60,000-£65,000 DOEAbout Our Client:We are recruiting a Risk and Compliance Specialist on behalf of our client, a leading organisation in the legal industry. Our client provides commercially-savvy legal advice and services, and they are committed...


  • Bristol, Bristol, United Kingdom CV-Library Full time

    About the Role:We are seeking a highly skilled Risk and Compliance Associate to join our team at CV-Library. As a key member of our in-house risk and compliance team, you will play a crucial role in managing data protection, contracting matters, and internal risk management.Key Responsibilities:Work closely with the Data Protection Officer and procurement...


  • Bristol, Bristol, United Kingdom TLT LLP Full time

    Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team, responsible for managing and implementing assessments of high and medium risk clients, ensuring compliance with anti-money laundering regulations.Key ResponsibilitiesManage and implement assessments of high and medium risk clients, ensuring compliance with anti-money laundering...