The Senior Compliance Advisory Manager is responsible for ensuring that the the business Group complies with all relevant laws, regulations, and internal policies.
They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
The Senior Compliance Officer will report directly to the Head of Risk & Compliance.
The Senior 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 by the Head of Risk & Compliance and/or COLP.
The Senior Compliance Officer will be responsible for managing portfolios across all jurisdictions and will take the lead on Northern Ireland and Scotland activities.
The Senior Compliance Advisory Manager is responsible for ensuring the Group complies with all relevant laws, regulations and internal policies.
Wealth management client is looking for a Senior Compliance Advisory Manager to be based in Bath 2 days a week.
This full-time wealth management role comes with a salary of up to £75k and excellent benefits (bonus, 34 days holiday, 7% pension, life assurance, private medical, encouraged professional development)
Do you have Senior Compliance Officer experience in Wealth Management / Financial Planning sector, and are you seeking a new hybrid job?
As a Senior Compliance Officer, you will work closely with other departments to support our business objectives, manage risk, and promote a culture of compliance across the organisation.
Our client is looking for a Senior Compliance Officer (Investment Mgt / Financial Services background) in either Sittingbourne or London Mayfair, and the remote role comes with an attractive salary package £90k-£100k package including Bonus, Share options, Pension etc...
With support from the wider Compliance team, you will become the primary point of contact for assigned clients, developing a broad level of technical compliance knowledge with a particular focus on clients with conduct risk-related requirements.
The successful candidate will play a crucial role in providing day-to-day advisory and oversight activities, assisting in the delivery of the compliance plan, and managing compliance relationships with assigned managed clients.
Sterling Williams have a fantastic opportunity for a Senior Compliance Manager who will support the Head of Compliance (SMF16), deputising when necessary, in providing a proactive and timely delivery of compliance activities across an international Bank.
The candidate will help provide regulatory advice, monitoring, reporting, training and other compliance outputs as required.
My Investment Management client is looking for a Senior Compliance Manager to provide advice and guidance to the business on internal compliance matters.
Issue resolution on compliance matters
Manage trading restrictions and related activities
RecruitAbility has an excellent opportunity for a Senior Compliance Executive to join a well-established accountancy and taxation practice who are dedicated to providing an excellent service to their clients believing in innovation, continuous improvement, and investing in their people.
The role of Senior Compliance Executive
As a Senior Compliance Executive, you will be at the forefront of this exciting role, making a significant impact on the firm's and their clients' business compliance.
You will be responsible for
Updating, maintaining, and safeguarding company registers.