Senior Compliance Specialist

1 week ago


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

We are seeking a highly skilled Senior Compliance Executive to join our proactive team at AJ FOX COMPLIANCE. 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 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.

This is an excellent opportunity to work collaboratively with a supportive team, drive meaningful change, and ensure the highest standards are maintained.



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