As a Compliance Manager, you will be responsible for overseeing adherence to legal and internal regulations, playing a pivotal role in maintaining ethical standards while supporting business objectives.
We are currently working with a Commodities Firm who are seeking a Compliance Manager to join their team.
Responsibilities
Develop and implement a robust legal compliance program in collaboration with the Head of Compliance.
The Compliance Monitoring Officer will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with the clients.
The role of the Compliance Monitoring Officer is to provide a file review service to the clients.
The file reviews will mainly be for medium to large financial services businesses.
The Compliance Officer shall be responsible for ensuring the smooth and effective operation of all aligned portfolios, working in unison with the COLP, Head of Risk & Compliance and other members across the Risk & Compliance Team.
The Compliance Officer will be responsible for the day-to-day management of a diverse and complex portfolio of issues that fall within the remit of the Risk & Compliance function, as allocated from by the Head of Risk & Compliance and/or COLP.
The Compliance Officer will also be required to support the wider Davies UK&I business area.
Contributing to specific initiatives/projects that delve into metrics and data across the business
MERJE has collaborated with a leading Insurance Broker, and we are actively seeking a Compliance Monitoring Officer to join the Central Compliance team.
Portfolio are proud to be working with our client, a well-established Insurance provider who offer legal expenses insurance to small and medium sized businesses.
In 2021, they took the exciting decision to share their expertise with the wider Insurance market.
They have provided over 30 years' support, underwriting legal expenses risk for UK SMEs through the Peninsula Group.
The role is to ensure the continious designing and delivering a compliance monitoring programme to provide assurance to the business in relation to regulatory compliance and conduct risk, aswell as ensuring fair and consistent outcomes for customers.
My client an established highly reputable stockbrokers are seeking a Compliance Monitoring Analyst.
General
Compliance Monitoring Analyst / Stockbrokers / Hybrid / Tunbridge Wells / Up to £80,000 bonus