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.
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...
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.