Compliance Manager

11 hours ago


Aston End, United Kingdom Compliance Professionals Full time

Job Description THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis.
This is a great opportunity for someone to work locally in a close-knit team.
THE RESPONSIBILITIES: Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements Provide Compliance and AML oversight and Data Protection advice and guidance Contribute to regulatory returns being completed accurately and in a timely manner Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.


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