Compliance Risk Manager

5 days ago


Hertfordshire, United Kingdom FS Talent Group Full time
About this role:

We're looking for a highly skilled Compliance Risk Manager to join our team at FS Talent Group. As a Compliance Risk Manager, you'll play a crucial role in ensuring that our client's business adheres to the standards set by the Financial Conduct Authority (FCA). This involves maintaining and overseeing compliance frameworks and procedures, as well as staying up-to-date with changes in regulatory, technical, legislative, and product-related updates.

Your Key Responsibilities will include:
- Maintaining open and transparent communication with the regulator, providing disclosures as required.
- Promoting and upholding ethical standards throughout the organization.
- Implementing robust systems and controls for all business operations, ensuring regular reviews.
- Providing monthly compliance reports to senior management, highlighting key issues and risks.
- Conducting ad hoc reporting to decision-makers when critical compliance challenges arise.
- Monitoring advice quality through pre-sale and post-sale file checks.
- Reviewing and approving financial promotions and carrying out product due diligence as necessary.

You'll also be responsible for evaluating advisor performance using a defined set of key performance indicators (KPIs), overseeing development plans for advisors, and facilitating quarterly review sessions to monitor progress.

As a Compliance Risk Manager, you'll be expected to have a strong understanding of FCA guidance, including COBS, and excellent organizational skills and computer proficiency. You'll also need to have professional demeanor and excellent interpersonal skills, as well as high levels of energy and initiative.

Salary: Circa £50k-£60k.

This role is based in Hertfordshire and offers a hybrid working arrangement.

  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Compliance Risk ManagerEstimated Salary: £60,000 - £80,000 per annumCompany Overview:AJ FOX COMPLIANCE is a leading law firm seeking an experienced Compliance Risk Manager to join their proactive team.This innovative firm offers a collaborative and dynamic work environment where your expertise in risk management will be valued and make a...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    At 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...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    **Job Title:** Compliance Risk ManagerAJ FOX COMPLIANCE is seeking a proactive Compliance Risk Manager to join their team. In this role, you'll collaborate with senior leadership and various departments to ensure the firm complies with all relevant legal, regulatory, and professional standards.Key Responsibilities:Collaborate with senior leadership and...

  • Head of Risk

    1 month ago


    Hertfordshire, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure that the companies have the correct level of FCA regulatory oversight and that the...

  • Head of Risk

    1 month ago


    Hertfordshire, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...

  • Head of Risk

    1 month ago


    Hertfordshire, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...


  • 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...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job 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...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    At 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...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    About This OpportunityWe are excited to offer an experienced Risk & Compliance Manager the opportunity to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a vital role in ensuring our firm remains compliant with all relevant legal, regulatory, and professional standards.Key Responsibilities:Work closely with the Head...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance and Risk Professional RoleAJ FOX COMPLIANCE is seeking an experienced Compliance and Risk Professional to join our dynamic team. In this role, you will collaborate with senior leadership and other departments to ensure that our firm complies with relevant legal, regulatory, and professional standards.Responsibilities:Provide expert guidance on...

  • Compliance Officer

    18 hours ago


    Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    AJ FOX COMPLIANCE is seeking a highly skilled Risk & Compliance Manager to join our 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.As a Risk & Compliance Manager, you will be responsible...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    About AJ FOX COMPLIANCE:We are a forward-thinking law firm seeking an exceptional Risk & Compliance Manager to join our proactive team.This is a unique opportunity for someone passionate about risk management and regulatory challenges. You will work closely with the Head of Risk and Compliance, collaborating across the business to embed a strong compliance...


  • 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

    About AJ Fox ComplianceWe are a forward-thinking law firm seeking a skilled Risk & Compliance Manager to join our proactive team. In this role, you 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...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    AJ Fox Compliance is looking for a talented Compliance and Risk Professional to drive meaningful change within our organization. In this role, you will oversee the firm's policies and procedures, deliver training programs, and assist in reviewing AML measures.The estimated salary for this position is $95,000 - $125,000 per annum, based on industry standards...

  • Head of Risk

    1 month ago


    Hertfordshire, UK, Eastern England, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Risk Governance and Compliance LeadA leading law firm committed to excellence and innovation seeks a seasoned risk management professional to fill the role of Risk Governance and Compliance Lead.The successful candidate will possess a deep understanding of regulatory requirements and be able to effectively communicate complex information to...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    Key ResponsibilitiesCollaborate with senior leaders and departments to ensure the firm complies with all relevant legal, regulatory, and professional standards.Offer advice on legal, ethical, and regulatory matters.Oversee and regularly update policies and procedures according to up-to-date compliance legislation.Deliver training programs focused on risk and...


  • Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    About AJ Fox ComplianceAJ Fox Compliance is an innovative law firm seeking a highly skilled Risk & Compliance Manager to join our team. As a key member of our team, you will play a vital role in ensuring the firm remains compliant with all relevant regulations and laws.Job Description:Collaborate with senior leaders and departments to maintain a strong...