Risk Management Professional

1 day ago


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 Overview: As a Senior Compliance Executive, you'll work closely with the Head of Risk and Compliance to ensure that the firm complies with all relevant legal, regulatory, and professional standards. You'll provide expert guidance on a range of regulatory and risk issues, collaborate with senior leadership and various departments, and oversee the firm's policies and procedures.

Main Responsibilities:

  1. Provide guidance on legal, ethical, and regulatory matters to the firm's senior leadership and employees.
  2. Oversee the firm's policies and procedures to ensure compliance with up-to-date legislation.
  3. Deliver training programs focused on risk and compliance to enhance the firm's knowledge and skills.
  4. Assist in reviewing and managing AML and counter-terrorism financing measures to mitigate potential risks.
  5. Supervise the firm's file review systems to identify areas for improvement and manage corrective actions.
  6. Investigate incidents, manage complaints, and analyse trends to prevent future issues.
  7. Lead the Customer Service Focus Group and manage the firm's Customer Service Excellence Accreditation.
  8. Supervise Compliance professionals, guiding their work and development.

About You: We're seeking someone who is passionate about risk management, has a sharp eye for detail, and is committed to maintaining the highest ethical standards. You'll need to be proactive in identifying risks and have a passion for solving complex challenges.

Salary Package: The successful candidate will receive a competitive salary package (£55,000 - £75,000 per annum), depending on experience. You'll also have opportunities for career growth and professional development in a supportive team environment.



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