An excellent opportunity within a financial services organisation based in the West Midlands is available. The organisation is currently seeking a Compliance Manager who can carry out strategic oversight of the compliance risk assessment processes and maintain and update the key compliance logs. This is also a part time, hybrid working role.
Oversight of the organisation's strategic compliance with the regulatory system.
Proactive establishment, implementation and maintenance of adequate policies and procedures sufficient to ensure compliance with the organisations obligations under the regulatory system and for countering the risk that the company might be used to further financial crime.
Oversight of employee training on compliance matters: including internal policies and procedures, the application of standards and guidelines, and relevant laws and regulatory requirements.
Carry out dip testing on a regular basis for AML, policy adherence and due diligence purposes, and document findings in a report.
Maintaining effective working relationship with colleagues throughout the business.
The Compliance Manager will conduct periodic review of the organisation's policies, and audit of operational adherence to policies
This opportunity requires you to demonstrate a good level of compliance knowledge to be able to collaborate with internal stakeholders on a range of requirements; from tracking risks and remedial actions to designing and implementing policies. For more information on this role or others please contact Robert McShane Robert.Mcshane@robertwalters.com
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
An excellent opportunity within a financial services organisation based in the West Midlands is available. The organisation is currently seeking a Head of Compliance on a part time basis, who can carry out strategic oversight of the compliance risk assessment processes and maintain and update the key compliance logs. This is also a part time role covering three days per week, offering hybird working.
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