As the Regulatory and Compliance Manager you will be responsible for managing and running the businesses operational compliance and play a part in implementing new plans and strategies for future compliance.
Our client is looking for an experienced Regulatory and Compliance Manager to help ensure that the business adheres to all the relevant laws and regulations.
The ideal Regulatory and Compliance Manager Regulatory and Compliance Manager will be diligent and possess strong communication and leadership skills.
We are seeking a diligent and experienced Compliance & Risk Manager to ensure our firm adheres to all relevant laws, regulations, and internal policies, minimizing risk and maintaining our reputation for excellence.
The role involves managing the firm's operational compliance functions and contributing to the strategy and plans for compliance moving forward.
Day to Day of the role
Set plans and objectives for the compliance function and actively participate in strategy development.
Our client, a leading financial planning and wealth management firm are looking for a Compliance Monitoring Officer to join the function on a permanent basis.
As Compliance Monitoring Officer you will be responsible for undertaking the risk based second line monitoring function.
Role Responsibilities
To undertake second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business.
Monitoring the compliance with policies, procedures and requirements, governing the implementing of the TPRM Framework and policies including ones relating to onboarding and offboarding, whilst also supporting the development of exit plans for the potential needs in cases of contract termination.
Undertaking thorough risk assessments and checks on third-party vendors and suppliers and identifying potential data privacy, cybersecurity or financial health related risks and determine the impact of these risks on the business.
While in this position your duties may include but will not be limited to:.
Posted by TEC PARTNERS LIMITED • £65K/yr to £90K/yr
About Us
As we continue to evolve, we're seeking a Security & Compliance Officer to lead and manage our security and compliance efforts across the portfolio.
Our focus on maintaining the integrity, confidentiality, and availability of information assets requires a comprehensive approach to security and compliance.
We are a dynamic and growing portfolio of companies, each with unique challenges across diverse industries.