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 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...
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
Reed Finance is working with our client to hire a Senior Compliance Officer (fixed term contract) position that opens to candidates within the brokerage, FX, trading, capital market and investment space.
The company offers fantastic work culture and flexible working arrangement.
Responsibilities
prepare and review documentation for high-risk clients and escalate to MLRO if any issue arise.
Human Capital Partners are partnering with a high growth Fintech business to recruit their Senior Compliance Associate.
The focus of this role is to oversee the embedding and ongoing development of the risk management framework and supporting processes within the first line of defence, with a particular focus on regulatory risk and assurance and providing an appropriate balance of support, guidance, and challenge to achieve regulatory compliance and good customer outcomes.
Our clients risk department is organised around five principal risks (Regulatory Risk, Operational Risk, Financial Crime, Data Protection, and Legal) and is led by the Chief Risk Officer (SMF16/17).
As a senior member of the team, you should demonstrate proactivity, hands-on engagement, a keenness for learning and progression, and a strong grasp of FS business models and regulatory landscapes.
MERJE has partnered with an international law firm and we're on the lookout for an experienced Compliance professional to join their growing Financial Regulation Compliance team in London.
Some of your responsibilities will include
Offering advisory compliance technical assistance to key clients within the financial services sector, while also aiding new market participants and mid-tier clients.
My client is a hugely well respected and successful Financial Services Partner who is looking for a skilled and qualified Compliance Officer to assist them in their current and ongoing period of growth.