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We are currently working with a Commodities Firm who are seeking a Compliance Manager to join their team. 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. Responsibilities: Develop and implement a robust legal compliance program in collaboration with the Head of Compliance. Draft and revise company policies to ensure alignment with legal requirements and industry standards. Proactively audit processes, practices, and documents to identify and address compliance gaps. Evaluate business activities to assess potential compliance risks and provide recommendations to mitigate them. Collaborate with external auditors and HR to address compliance matters related to onboarding new employees. Develop crisis management plans for compliance issues and handle violations promptly and effectively. Conduct training sessions to educate employees on regulations and industry practices. Stay updated with internal policies and business objectives to ensure alignment between compliance efforts and organizational goals. Requirements : Proven experience in client onboarding, KYC/KYB risk assessments, and familiarity with risk management principles. Some experience in a legal field/sector, dealing with contractual matters and legal advice. Knowledge of legal requirements and controls such as Anti-Money Laundering (AML) regulations. Excellent communication skills with high integrity and professional ethics. Strong business acumen, ability to understand business operations and objectives, and analytical mindset. Collaborative mindset with excellent attention to detail. Qualifications related to law, finance, business administration, or a related field. Experience with SharePoint, Excel, and other Microsoft packages is preferred.
Compliance Manager Droitwich/Gloucester Up to £50,000 per annum DOE Do you have compliance experience within an IFA, Financial Planning or Wealth Management firm? My client, a growing financial planning and wealth management firm is recruiting for an experienced Compliance Manager to join their business during an exciting period of change. This is a great opportunity to step into a rapidly expanding firm - one where you will play a pivotal role in their regulatory and risk framework, ensure systems and procedures are in place to meet both regulatory and internal requirements for all markets in which they operate, and update all stakeholders on regulatory change and risk-related matters. Key duties and responsibilities; Delivering a sustainable risk-based compliance programme and taking responsibility for sustaining standards of regulatory compliance Identifying compliance process improvements/weaknesses and presenting solutions where appropriate Managing annual compliance diary to ensure key business and regulatory timescales are met Monitoring and maintaining regulatory registers to identify relevant risks Working with external file check support to ensure robust and compliant advice files and identifying ongoing improvements Drafting compliance policies and procedures and reviewing these annually Providing guidance to stakeholders on regulatory changes and overseeing staff training and ongoing competence Managing day-to-day compliance activities and managing complaints through to resolution Ensuring continual embedding and implementation of Consumer Duty within the firm Being the main point of contact to the FCA and responding to any requests Due to the nature of this Compliance Manager role, previous experience in a similar regulatory environment is required alongside strong working knowledge of the FCA Code of Conduct and a certificate in financial planning or equivalent. Please note, that this role will be covering offices in Droitwich and Gloucester and will be office-based initially with some flexibility for hybrid-working thereafter. If this role is of interest, then please get in touch to discuss further or apply today!
Your new company A progressive and innovative financial services company specialising in the financial and payments sector is seeking an experienced compliance manager to join its team. Its commitment to integrity, regulatory compliance, and ethical practices drives the organisation's success. As they expand, they seek a professional to ensure the company operates within legal and ethical boundaries. Your new role As a Compliance Manager, you will ensure the organisation adheres to legal standards, industry regulations, and internal policies. Your expertise will help maintain trust with international clients, partners, and stakeholders. Key responsibilities include: Developing and implementing compliance policies, procedures, and controls. Monitoring regulatory changes and assessing their impact on our operations. Conducting risk assessments and internal audits. Training employees on compliance matters. Investigating and addressing compliance violations. Collaborate with legal, risk management, and business units. Prepare reports for senior management and regulatory authorities. What you'll need to succeed Minimum of 5 years of experience in financial services compliance. In-depth knowledge of relevant regulations (e.g., FCA, GDPR). Strong analytical skills and attention to detail. Excellent communication and interpersonal abilities. Professional certifications (e.g., ICA, CISI) are advantageous. What you'll get in return Salary up to £80,000 based on experience Paid annual holidays of 25 days per annum birthday holiday if falls on a workday / Company Pension Scheme / Life Insurance scheme / Private medical insurance offering additional perks / Assistance with parking/travel costs / Ad hoc catering and office treats / Office events, including a Christmas Party. What you need to do now If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion of your career. Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk