The Compliance Officer is responsible for preparing and submitting mandatory reports to clients and regulatory authorities across various jurisdictions.
This role includes making statutory disclosures, establishing a strong control environment, and updating processes based on regulatory changes.
Key Responsibilities
Submit timely and accurate reports to global regulatory authorities (e.g., SEC Form PF, SEC Schedule 13, FCA Gabriel reporting).
A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.
Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly competitive package is on offer with a comprehensive benefits package.
KHR are pleased to be partnered with a leading manufacturer with an excellent reputation for high-quality goods, who is recruiting a Compliance Officer to join their team on a permanent contract.
£25,000pa - £30,000pa Bonus, Healthcare, 24 days holiday BH, Pension
Our client a well-established law firm in the Top Legal 500 based in Colchester, are actively recruiting for an experienced Compliance Officer to join their Operations team to support the Head of Client Services.
This is an excellent opportunity for someone looking to develop their career and experience a broad range of compliance and risk related issues impacting a UK regulated law firm.
The role
Monitor, manage, review, advise and report on compliance and /or risk related issues across the firm.
Working for a leading foreign bank in Central London the Compliance Officer role will assist theHead of Compliance and MLRO to ensure that the Bank identifiesand adheres to all regulations in its defence against the risk of terroristfinancing and money laundering.
Compliance Officer (Banking) - Central London
The Role
You will play an important role in setting policy for the prevention of financial crime and in particular provide guidance on AML, CFT, sanctions and ABC risk assessments and the CDD and EDD requirements for specific client relationships.
We're looking for a dynamic and a highly motivated individual to join a new role in the Compliance and Data Protection team.
This is a remote working role and applications from individuals who are seeking flexible working options are welcomed.
Benefits: 25 days' annual leave plus bank holidays (this will increase with service up to 30 days, full time equivalent) cashback and discount scheme, employee assistance programme, learning and development, pension scheme, Life Assurance, Eye Care vouchers, Long Service Award, Tax-free childcare, Health Cash Plan, Working Pattern Agreement, flexible working opportunities available.