30 Oct, 2024
We are looking for a compliance officer to join our firm who will be responsible for ensuring we are compliant in all aspects of regulatory and legal requirements. The successful candidate will assist management and staff to identify and manage regulatory risks.
Main Functions and Responsibilities
Provide support and on-going assistance to the COLP; COFA; MLRO and DPO in their daily compliance activities.
Ensure we are compliant at all times with government and SRA regulations. Investigate any irregularities.
Monitor compliance – ensure that CI complies with legal and ethical guidelines.
Identify potential risks – identify activities and practices that risk violating regulations and SRA standards.
Manage conflict queries and higher risk conflict queries with the relevant Officer.
Perform routing risk assessments to understand compliance risk, scope and significance.
Administration tasks as required to ensure all policies, plans and procedures...
Clifton Ingram
Wokingham, UK
Full time