Job Title - Compliance & Operations Manager
Contract - Permanent
Salary - £55,000
Location - Hertfordshire
OVERVIEW
We are looking for a dedicated Compliance & Operations Manager to oversee all compliance and operational functions within our clients successful brokerage. The ideal candidate will ensure that the company operates in a legal and ethical manner while meeting business objectives. Hybrid working available.
RESPONSIBILITIES
- Develop and implement compliance policies and procedures
- Oversee operational processes to ensure efficiency and productivity
- Conduct regular audits to monitor compliance with legal and internal regulations
- Collaborate with departmental managers to develop strategies for improving operational efficiencies
- Keep abreast of regulatory requirements and industry best practices to advise on compliance issues
- Lead the training and development of employees on compliance and operational processes
- Prepare and present reports to senior management on compliance and operational performance
EXPERIENCE
- Responsibility for delivery of a robust First Line of Defence (1LOD) framework, working with the Operations Directors & Managing Directors.
- Proven experience in compliance and operations management
- Strong understanding of regulatory requirements and industry standards
- Excellent analytical and problem-solving skills
- Effective communication and leadership abilities
- Industry certifications (e.g., Certified Compliance & Ethics Professional) is a plus
- Reviewing and updating compliance policies and procedures
- Analysing operational processes to identify areas for improvement
- Collaborating with departmental managers to address compliance and operational issues
- Conducting compliance training sessions for employees
- Monitoring operational metrics and preparing performance reports for management
If you have the relevant experience or know someone that does please contact us now on or email us at
To view all Current Vacancies or for more information on our Refer a Friend scheme contact one of our consultants or visit our website www.lawesgroup.co.uk
Please Note: Due to the sheer volume of applications we receive we will only contact successful applications. Therefore if you have not heard from us within 10 working days, please deem your application as unsuccessful.