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