Senior Compliance Officer

5 days ago


Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

Job Title: Senior Compliance Executive

Job Summary:

We are seeking a highly skilled Senior Compliance Executive to join our proactive team at AJ FOX COMPLIANCE. As a key member of our risk and compliance department, you will work closely with the Head of Risk and Compliance to embed a strong compliance culture and provide expert guidance on regulatory and risk issues.

Key Responsibilities:

  • Collaborate with senior leadership and various departments to ensure compliance with 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 compliance.
  • Assist in reviewing and managing AML and counter-terrorism financing measures.
  • Supervise 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.

About the Role:

This is an exciting opportunity to work collaboratively with a supportive team, drive meaningful change, and ensure the highest standards are maintained. You will thrive in an environment where your expertise is valued, and your input has a direct impact on the firm's success.

Requirements:

To be successful in this role, you will need to have a sharp eye for detail, a proactive approach to identifying risks, and a commitment to maintaining the highest ethical standards.

What We Offer:

We offer a competitive salary and benefits package, as well as opportunities for professional development and growth.

How to Apply:

Please submit your CV for consideration. We look forward to hearing from you.



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