Our client, a leading law firm in the heart of Newcastle, is looking to recruit a Compliance Officer to join their growing compliance team.
Working alongside the Head of Risk and Compliance, you will be responsible for:
The role would suit a Compliance Officer or Compliance Assistant, with upwards of 2 years' compliance experience gained either in a legal or professional services environment.
Posted by FOX MORRIS GROUP LTD • £30K/yr to £40K/yr
Our client, a dynamic and growing full-service law firm with a £10m turnover, is looking for a dedicated and proactive Compliance Officer.
The successful candidate will manage the full spectrum of the firm's compliance activities, working directly with the Chief Executive, who serves as the COLP (Compliance Officer for Legal Practice), MLRO (Money Laundering Reporting Officer), and COFA (Compliance Officer for Finance and Administration).
Job Location: Cradley Heath (with flexible working options available)
Posted by CooperGrey Recruitment Ltd • £35K/yr to £42K/yr
The role
Compliance Officer is the point of contact for the business to provide support on all compliance matters including regulatory developments, regulatory change projects, financial promotions & delivery of Compliance Monitoring Plan.
The role of Compliance Officer reports to Head of Compliance.
A successful financial services business focused on supporting customers for the past 30 years with excellent customer service is now seeking to appoint a Compliance Officer.
The Compliance Officer will be responsible for ensuring that the company operates in full compliance with all relevant regulations set forth by the Financial Conduct Authority (FCA) and other applicable regulatory bodies.
The Compliance Officer will develop, implement, and oversee compliance policies and procedures to mitigate regulatory risks and ensure that the company's operations adhere to all regulatory requirements.
Our client, a well-established Insurance Managing General Underwriter, are looking to recruit a Compliance Officer to support the Company Secretary in managing corporate governance including SMCR, making company filings, preparing agendas and collating materials for Board and sub-committee meetings.
Candidates must have experience working in a regulated firm's risk and/or compliance environment, preferably Insurance, as well as a good understanding of the FCA GI regulatory environment.
You will be responsible for minute-taking and following up any open actions, as required as well as assisting with the monitoring of risks within the risk register, reporting risk incidents, assessing the operation of stated control environments to manage and mitigate risks and preparing the necessary management information and reporting of risk KPIs to the Board.
Our client is seeking a dynamic Chief Compliance Officer to lead a small, but busy, compliance team.
Duties will include ensuring that the firm adheres to all applicable laws, regulations, and policies, and encouraging a culture of compliance throughout the organisation.
Based in central London, our client is an FCA regulated sell-side firm and the role is to work across the business and with senior leaders in ensuring the firm has a first-rate compliance team.