Compliance management executive Work, Jobs in Birmingham, Eng (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 of Risk & Compliance
Capital Rural Bank UK Ltd —Birmingham
- £95,849.70 - £136,855.38 a year
- Full-time
- Hybrid work
- Bachelor's degree
- Financial services
- Health & wellbeing programme
- Flexitime
Quick apply
Senior Reward Manager - Executive Compensation & Equity Incentives
Syensqo —Oldbury
- £136,000 - £171,000 a year
- Remote
- Microsoft Excel
- Project management
- Accounting
- Language training provided
Quick apply
5d
Administrator
Mears Group —Birmingham
- Up to £28,186.33 a year
- Full-time
- Maths
- Project management
- IT
- Annual leave
- Employee assistance programme
Internal Audit & Compliance Manager
Tilbury Douglas —Birmingham
- Full-time
- Microsoft Office
- Travel
- Business
- Annual leave
- Employee assistance programme
8d
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
Head of Driver Policy (job-share)
Driver and Vehicle Standards Agency —Birmingham
- £69,501 a year
- Part-time
- Hybrid work
- Presentation skills
- Travel
- Leadership
- Annual leave
- Employee assistance programme
3h
Support Officer (Portfolio Management Office) - Legal Aid Agency
Ministry of Justice —Birmingham
- £30,001 - £50,000 a year
- Part-time
- Hybrid work
- Microsoft Office
- Presentation skills
- Organisational skills
- Annual leave
- Employee discount
14d
Change and Engagement Manager, Workplace Services
Deloitte —Birmingham
- Hybrid work
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
7d
Compliance, Global Privacy Office, Executive Director, Birmingham
Goldman Sachs —Birmingham
- Full-time
- Analysis skills
- Bachelor's degree
- Financial services
- Employee assistance programme
Internal Audit & Compliance Manager (13481)
Tilbury Douglas —Birmingham
- Full-time
- Microsoft Office
- Travel
- Business
- Annual leave
- Employee assistance programme
8d
Payroll Bureau Manager
S4labour Ltd —Coleshill
- From £55,000 a year
- Full-time
- Hybrid work
- Management
- Travel
- Leadership
- Free parking
- Annual leave
Quick apply
13d
Centre Executive
NewFlex —Birmingham
- £35,000 a year
- Full-time
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Annual leave
- Employee assistance programme
Quick apply
Onboarding Systems Coordinator
JC Executive Group —Coventry
- £25,000 - £35,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Outlook
- Microsoft Office
Quick apply
Case progression and Client service executive
Atwal Wealth Management —Solihull
- £24,420 - £300,000 a year
- Part-time
- Customer service
- Microsoft Office
- Administrative experience
- Free parking
Quick apply
14d
Finance Officer
Railway Enginemen's Assurance Society —Birmingham
- £30,000 - £35,000 a year
- Full-time
- Microsoft Excel
- Word processing
- Computer literacy
Quick apply
5d
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
Head of Business Operations
Avenaco Operations & Consulting Ltd —Birmingham
- £65,000 - £90,000 a year
- Full-time
- Analysis skills
- Supervising experience
- Organisational skills
- Health & wellbeing programme
Quick apply
2d
Non-Executive Director(s)
LGPS Central —Monmore Green
- Full-time
- Financial services
- Leadership
- Office experience
Quick apply

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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 birmingham, eng

Compliance Management Executive

Supervisor

Director of Risk & Compliance

Senior Reward Manager - Executive Compensation & Equity Incentives

Administrator

Internal Audit & Compliance Manager

Head of Care and Specialist Housing

Head of Driver Policy (job-share)

Support Officer (Portfolio Management Office) - Legal Aid Agency

Change and Engagement Manager, Workplace Services

Compliance, Global Privacy Office, Executive Director, Birmingham

Internal Audit & Compliance Manager (13481)

Payroll Bureau Manager

Centre Executive

Onboarding Systems Coordinator

Case progression and Client service executive

Finance Officer

Head – Business Planning and Performance

Head of Business Operations

Non-Executive Director(s)

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