Compliance management executive Work, Jobs in Birmingham, Wmd (with Salaries)

Compliance Management Executive
AFH Financial Group —Bromsgrove
- Full-time
- Hybrid work
- Communication skills
Post Completion Executive
Chapter Law —Birmingham
- From £30,000 a year
- Full-time
- Organisational skills
- In-person
- Communication skills
- Employee discount
Quick apply
9d
CRM Executive
Vax Ltd —Droitwich
- Full-time
- Hybrid work
- Microsoft Excel
- HTML
- Work from home
- Life insurance
Quick apply
9d
Strategic Account Manager
PIB Group Services Ltd. —Birmingham
- Organisational skills
Quick apply
Client Services Executive - Governance, Funding and Corporate
Anthony Collins —Birmingham
- Full-time
- Hybrid work
- Microsoft Outlook
- IT
Quick apply
Group Operations Coordinator
Surecare UK ltd —Birmingham
- £35,000 a year
- Full-time
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
Quick apply
2d
Business Development Executive
Capsticks Solicitors LLP —Birmingham
- Full-time
- Hybrid work
- CRM software
- Microsoft Office
- Business development
Quick apply
HR & Admin Executive
Vanilla Underground —Tamworth
- £30,000 - £35,000 a year
- Full-time
- Microsoft Excel
- Microsoft Office
- Human resources
- Free parking
Quick apply
1d
Supervisor
Mears Group —Birmingham
- Management
- Maintenance
- Driving
- Annual leave
- Employee assistance programme
Knowledge and Information Liaison Officer (KILO)
Ministry of Justice —Birmingham
- £20,001 - £40,000 a year
- Part-time
- Hybrid work
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Outlook
- Annual leave
- Work from home
8d
Company Secretarial Coordinator
National Gas —Warwick
- £41,952 - £44,420 a year
- Full-time
- Hybrid work
- Microsoft Office
- Travel
- Organisational skills
- Free parking
14d
Sales Executive
Daisy Communications LTD —Birmingham
- Up to £40,000 a year
- Full-time
- Sales
- Presentation skills
- Organisational skills
Quick apply
Health & Safety Compliance Officer
BHI Ltd —Bromsgrove
- £40,000 - £55,000 a year
- Temporary
- In-person
- Communication skills
Quick apply
8d
Information Compliance Manager - Legal Services - 102781 - Grade 5
University of Birmingham —Birmingham
- £30,062 - £35,883 a year
- Full-time
- Hybrid work
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Office
- Annual leave
- Sick pay
7d
Executive Director Quality & Standards
South and City College Birmingham —Birmingham
- £63,741 - £72,338 a year
- Full-time
- English
1d
General Manager- Birmingham City FC
Levy —Birmingham
- Up to £70,000 a year
- Weekend availability
- Hospitality
- Leadership
- Communication skills
- Annual leave
- Employee assistance programme
Maintenance Helpdesk Executive
SSP —Birmingham
- Weekend availability
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
- Employee discount
Quick apply
7d
Personal Assistant to Director
Featherstone Care Services Ltd —Solihull
- £29,000 - £34,000 a year
- Part-time
- Hybrid work
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Free parking
- Health & wellbeing programme
Quick apply
Communications Manager (Corporate) - External Relations - 107436 - Grade 7
University of Birmingham —Birmingham
- £36,636 - £48,822 a year
- Weekend availability
- Social media management
- Project management
- University
- Annual leave
- Sick pay
Client Services Executive - Governance, Funding and Corporate
Anthony Collins Solicitors —Birmingham
- Full-time
- Hybrid work
- Microsoft Outlook
- IT

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compliance management executive jobs near birmingham, wmd

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, wmd

Compliance Management Executive

Post Completion Executive

CRM Executive

Strategic Account Manager

Client Services Executive - Governance, Funding and Corporate

Group Operations Coordinator

Business Development Executive

HR & Admin Executive

Supervisor

Knowledge and Information Liaison Officer (KILO)

Company Secretarial Coordinator

Sales Executive

Health & Safety Compliance Officer

Information Compliance Manager - Legal Services - 102781 - Grade 5

Executive Director Quality & Standards

General Manager- Birmingham City FC

Maintenance Helpdesk Executive

Personal Assistant to Director

Communications Manager (Corporate) - External Relations - 107436 - Grade 7

Client Services Executive - Governance, Funding and Corporate

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