Compliance Officer

3 days ago


Liverpool, Liverpool, United Kingdom Broster Buchanan Full time

Key Responsibilities

Regulatory Compliance

  • Monitor, interpret, and implement regulatory requirements applicable to wealth and investment management (e.g. FCA/SEC/ASIC or relevant local regulator).
  • Assist in maintaining the firm's compliance policies, procedures, and compliance manual.
  • Ensure regulatory changes are identified, assessed, and embedded into business processes in a timely manner.

Advisory & Oversight

  • Provide day-to-day compliance advice and guidance to investment managers, advisers, and other business units.
  • Review and approve marketing materials, client communications, and financial promotions.
  • Support new product launches and business initiatives from a compliance perspective.

Monitoring & Surveillance

  • Conduct compliance monitoring and thematic reviews in line with the annual compliance monitoring plan.
  • Review client files, suitability assessments, and investment recommendations to ensure regulatory standards are met.
  • Monitor conflicts of interest, personal account dealing, gifts and hospitality, and other conduct-related matters.

Risk Management & Controls

  • Assist with identifying, assessing, and mitigating compliance and regulatory risks.
  • Support the maintenance of the firm's risk register and compliance reporting framework.
  • Contribute to internal audits and regulatory examinations.

Reporting & Regulatory Interaction

  • Prepare compliance reports and management information for senior management and committees.
  • Assist with regulatory filings, notifications, and responses to regulator queries.
  • Support the investigation and resolution of compliance breaches and incidents.


  • Liverpool, Liverpool, United Kingdom Liverpool Hope University Full time

    Liverpool Hope University is seeking to appoint two International Student Compliance Officers – one specialising in Pre-Arrival and one in On-Course international student compliance – to join the Admissions Department and the Student Enrolment and Administration team.The University continues to welcome international students across all levels, including...


  • Liverpool, Liverpool, United Kingdom E-Sign Full time

    About useSign is a secure document management contract automation company trusted by nations, governments and businesses globally. Our core product incorporates electronic signatures, document management, translation automation and ID verification. We are experts in building platforms, assisting governments with frameworks, policies and regulation around...


  • Liverpool, Liverpool, United Kingdom Pinnacle Group Limited Full time £25,000 - £40,000 per year

    Pinnacle Group is seeking a Contract Compliance & Assurance Officer to join our Homes Team within Pinnacle Service Families. This role is key to ensuring our services meet the highest standards of quality and contractual compliance, supporting regional teams and working closely with delivery partners to uphold our commitment to putting customers at the...


  • Liverpool, Liverpool, United Kingdom Fletchers Solicitors Full time

    Compliance ExecutiveSouthport or Liverpool Hybrid WorkingOffice Locations: Manchester, Liverpool, Leeds, Bolton, Southport, Newcastle, Reading, Birmingham, Northampton, and CambridgeHybrid working available with the flexibility to work from home and collaborate in-office when needed. We believe we offer our colleagues the best hybrid and flexible working...


  • Liverpool, Liverpool, United Kingdom Fletchers Group Full time

    Southport or Liverpool – Hybrid WorkingOffice Locations:Manchester, Liverpool, Leeds, Bolton, Southport, Newcastle, Reading, Birmingham, Northampton, and CambridgeHybrid working available– with the flexibility to work from home and collaborate in-office when needed. We believe we offer our colleagues the best hybrid and flexible working practices,...

  • Compliance Handler

    1 week ago


    Liverpool, Liverpool, United Kingdom Bond Turner Full time

    Bond Turner is a leading law firm, proudly recognised by both Legal 500 and Chambers & Partners. We are committed to ensuring access to justice for our clients and their families, providing expert legal services with a client-centered approach.With offices in Liverpool and Bolton, we offer nationwide legal advice across a wide range of sectors.Our areas of...


  • Liverpool, Liverpool, United Kingdom Home Bargains Full time

    Competitive salary depending on experienceBased on site at our Liverpool Head OfficeEmployee BenefitsFull-time employees receive 28 days of annual leave (inclusive of bank holidays), increasing to 33 days after 5 years of service. Annual leave is pro-rated for part-time or alternative working arrangements.Contributable company pension scheme10% store...


  • Liverpool, Liverpool, United Kingdom Dobson Welch Full time

    Compliance/KYC Analyst – Global Law FirmLocation: Liverpool Salary: Competitive Contract: 12-Month Fixed Term Contract (FTC)Step into a world-class legal environment with this exceptional opportunity.Dobson Welch is proud to partner with a prestigious global law firm, a true leader in serving the world's most innovative people and businesses. We are...


  • Liverpool, Liverpool, United Kingdom Brackenberry Full time

    Job Description: We are working closely alongside a Local Authority in Liverpool to assist with the appointment of an Accounts Payable Officer, on a 14.5-month contract, highly likely to be extended at clients discretion. Please apply with your CV for immediate consideration.Rate of Pay: £ £21.70 per hourSummary:The Accounts Payable Officer will work...


  • Liverpool, Liverpool, United Kingdom Vitaflo Full time

    Job DescriptionWe are part of Nestlé Health Science and continue to expand our global footprint with a worldwide presence in Clinical Nutrition. Behind our pioneering company are people who drive breakthroughs in research and development, creating innovative impact.Our employees are at the heart of what we stand for with 96% saying they are proud to work...