Senior Governance and Compliance Advisor

5 days ago


London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

We're seeking a highly experienced Senior Governance and Compliance Advisor to join our team at AJ FOX COMPLIANCE. As a key member of our governance function, you'll play a critical role in ensuring our business operates with the highest standards of ethics and compliance.

Your expertise in governance and compliance will be invaluable in helping us navigate complex risk and regulatory challenges. 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.

Key Responsibilities:

  • Collaborate with senior leadership and various departments to ensure that the firm complies with all relevant legal, regulatory, and professional standards.
  • Offer advice on legal, ethical, and regulatory matters.
  • Oversee and regularly update the firm's policies and procedures, according to up-to-date compliance legislation.
  • Deliver training programs focused on risk and compliance.
  • Assist in reviewing and managing AML and counter-terrorism financing measures, including acting as an independent auditor for these processes.
  • Supervise the firm's file review systems, identifying areas for improvement and managing corrective actions.
  • Investigate incidents, manage complaints, and analyse trends to prevent future issues.
  • Lead the Customer Service Focus Group and manage the firm's Customer Service Excellence Accreditation.
  • Supervise Compliance professionals, guiding their work and development.

As a Senior Governance and Compliance Advisor, you'll have a deep understanding of regulatory requirements and a proven track record of implementing effective governance practices. We estimate the salary for this position to be around £70,000 - £90,000 per annum, depending on experience.



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