Compliance management executive Work, Jobs in Cleobury Mortimer, Shr (with Salaries)

Compliance Management Executive
AFH Financial Group —Bromsgrove
- Full-time
- Hybrid work
- Communication skills
Supervisor
Mears Group —Birmingham
- Up to £40,000 a year
- Full-time
- Management
- Supervising experience
- Organisational skills
- Annual leave
- Employee assistance programme
Director Volunteer Estate
The Council of Reserve Forces' and Cadets' Association —Birmingham
- £72,840 a year
- Full-time
- Management
- Travel
- Contracts
Quick apply
14d
Group Risk Manager
Halfords —Redditch
- £75,000 - £80,000 a year
- Full-time
- Hybrid work
- Analysis skills
- Programmable logic controllers
- Annual leave
- Employee discount
Senior Reward Manager - Executive Compensation & Equity Incentives
Syensqo —Oldbury
- £136,000 - £171,000 a year
- Hybrid work
- Microsoft Excel
- Project management
- Accounting
- Language training provided
Quick apply
4d
Non-Executive Director(s)
LGPS Central —Monmore Green
- Full-time
- Financial services
- Leadership
- Office experience
Quick apply
14d
Managing Partner (Performance & Search-Led Portfolio)
Croud —Shrewsbury
- £67,000 - £82,000 a year
- Hybrid work
- Business development
- Analysis skills
- Leadership
- Life insurance
Quick apply
Head – Business Planning and Performance
Homes England —Birmingham
- £69,831 - £81,443 a year
- Full-time
- Hybrid work
- Presentation skills
- No degree
- SharePoint
- Annual leave
- Employee assistance programme
4d
Customer Success Manager
HM Revenue and Customs —Telford
- £37,682 - £40,705 a year
- Part-time
- Hybrid work
- English
- Microsoft Office
- Analysis skills
- Work from home
3d
Senior Sourcing Executive
AYBL —Redditch
- Full-time
- Analysis skills
- Business
- Communication skills
Quick apply
Head of Care and Specialist Housing
Black Country Housing Group —Tividale
- £70,000 a year
- Full-time
- Management
- No degree
- Annual leave
- Employee assistance programme
Quick apply
14d
Reward & Performance Partner
LGPS Central —Monmore Green
- Full-time
- Hybrid work
- Analysis skills
- Continuous improvement
- Financial services
- Annual leave
- Employee assistance programme
Quick apply
Change and Engagement Manager, Workplace Services
Deloitte —Birmingham
- Hybrid work
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
6d
Housing - Managing Agent
Inclusion Housing CIC —Wolverhampton
- £18,600 a year
- Part-time
- Customer service
- Communication skills
- Negotiation
- Annual leave
Quick apply
Executive Consultant
Ballards LLP —Worcester
- Full-time
- Hybrid work
- Business development
- Communication skills
- Negotiation
Quick apply
7d
Internal Audit & Compliance Manager
Tilbury Douglas —Birmingham
- Full-time
- Microsoft Office
- Travel
- Business
- Annual leave
- Employee assistance programme
7d
Head of Property
Black Country Housing Group —Tividale
- £75,000 a year
- Full-time
- Hybrid work
- Agile
- Construction experience
- Annual leave
- Employee assistance programme
Quick apply
6d
Chief Technology Officer
Health and Safety Executive —Birmingham
- £86,000 - £117,800 a year
- Full-time
- Presentation skills
- Travel
- Contracts
10d
Debt Recovery Executive
Talbots Law Ltd —Brierley Hill
- Up to £30,000 a year
- Full-time
- Microsoft Word
- English
- Microsoft Office
- Profit sharing
- Health & wellbeing programme
Quick apply
10d
Administrator
Mears Group —Birmingham
- Up to £28,186.33 a year
- Full-time
- Maths
- Project management
- IT
- Annual leave
- Employee assistance programme

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Compliance Management Executive

AFH Financial Group -
Bromsgrove

Apply Now

Job details

Full-time

Benefits

Company pension

Qualifications

Communication skills

Full job description

Compliance Management Executive (Risk)

AFH Wealth Management is proud to be one of the UK’s leading independent financial advisory and wealth management firms.

We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you’ll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits.

The purpose of the Compliance Management Executive is to identify key risk exposures for the Firm and to contribute towards successful mitigation techniques to minimise regulatory impact. To oversee key risk functions to aid the Firm in successful maintenance of its regulatory standing.

As our Compliance Management Executive, you will be responsible for:

Ensuring that sufficient Professional Indemnity Insurance is effected for all Firms within the Group and to additionally ensure that where necessary, records of PI are maintained for companies directly associated with the Group
Ensuring that sufficient Directors and Officers Insurances are effected for all Directors/Officers within the Group and that this is monitored to accommodate structural change
Participating and oversee where necessary the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions Manager and the Group Head of Risk are adhered to
Co-ordinating and oversee the regulatory reporting for all Firms within the Group. This is including, but not limited to, GABRIEL firm reporting, fees returns, professional standards returns and collating information for FCA thematic or ad-hoc requests
Maintaining responsibility for Firm authorisations and de-authorisations in connection with acquisition firms, appointed representatives and trading styles
Where necessary, co-ordinating and managing the variation of permissions process including, but not limited to, collation of business plan material, regulatory research and execution
Reviewing all Financial Promotions material with a view to providing efficient authorisation. Where authorisation cannot be granted, demonstrating strong communication/co-ordination skills to result in an efficient outcome
Reviewing and authorising changes to stationery templates in line with FCA regulation and to communicate authorised templates to all relevant stakeholders
Overseeing the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm
Implementating of regulatory project actions under the direction of the SRMEs and Group Head of Risk
Acting as an escalation point in relation to regulatory queries that are received by Advice & Regulatory Assurance, Advice & Regulatory Admin and T&C and to effectively manage and/or delegate queries that are received directly from staff and consultants
Providing assistance in contract review to T&C Operations for all 3rd party provider terms of business or professional introducer relationships
Providing sign-off to A&R Assurance for recommended breach actions, escalating to Group Head of Risk as necessary
Managing the prompt renewal of all Firm regulatory licences such as FCA permissions and data protection

What we are looking for in our ideal Compliance Management Executive:

Key Performance Measures
Achievement of all responsibilities within deadlines set
Measurement of the ability to operate within a self-driven and independent framework
Evidence of risk mitigation through internal and external audit
Understanding of key regulatory and industry focuses Understanding of FCA reporting systems

Benefits and Perks at AFH

Flexible working & holidays - Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service.
Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties.
Pension - We offer a contributory pension scheme with Royal London as well as death-in-service benefit.
Bonus scheme - All AFH employees are offered a competitive salary and a discretionary annual bonus, following completion of a year’s service.
Health and wellbeing - The MediCash app puts your health in the palm of your hands. Claim cashback on a wide selection of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits.
Professional development - We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.

Apply today to register your interest in joining our team, or learn more about the benefits and perks of working at AFH and what it is like to work here via our careers website.

Apply Now

Refine Your Search

compliance management executive jobs in cleobury mortimer, shr

Compliance Management Executive

Supervisor

Director Volunteer Estate

Group Risk Manager

Senior Reward Manager - Executive Compensation & Equity Incentives

Non-Executive Director(s)

Managing Partner (Performance & Search-Led Portfolio)

Head – Business Planning and Performance

Customer Success Manager

Senior Sourcing Executive

Head of Care and Specialist Housing

Reward & Performance Partner

Change and Engagement Manager, Workplace Services

Housing - Managing Agent

Executive Consultant

Internal Audit & Compliance Manager

Head of Property

Chief Technology Officer

Debt Recovery Executive

Administrator

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