Average Compliance Executive salary in the UK

We are currently looking for an experienced, hands-on, and energetic Director of Compliance to join our FinTech clients London Office! The ideal candidate will be responsible for leading the compliance function of their UK operations, including conducting reviews to evaluate the firm’s compliance with applicable laws and regulations and ensuring that control gaps are adequately escalated and mitigated through remedial actions. In addition, the candidate will be responsible for establishing best practices for our global operations. This role will give you the opportunity to: Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes;Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;Determine the root cause of issues and develop effective remediation plans to mitigate the risks;Drive implementation of local regulatory change/remediation projects and initiatives. A bit about you: 7+ years of industry experience within institutional broker-dealer activities;Previous experience with a broker is required;Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer is a big plus (MLRO);Previous experience within the securities financing industry is a plus;Strong analytical, writing, and presentation skills;Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change;Strong attention to detail, balanced with a strong focus on execution and results;Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting;Excellent communication skills.

Compliance Associate - Norwich Reporting to the Group Compliance Manager for the development, execution, and oversight of operational procedures relevant to the Groupwide Compliance Management framework. This will include independent management of group-wide Compliance frameworks for one or more entities/jurisdictions and to provide experienced support including - updating the Compliance Management CRM system, distributing communications and training materials, management of team folders, updating Excel spreadsheets, processing invoices, updating new client information, creating reports, and providing general ad-hoc administrative support. Key Responsibilities/experience required: • Provide subject matter expertise (review and analysis) for enquiries/escalations for areas of assigned responsibility • Design and implementation of operational procedures for areas of assigned responsibility. • Maintain main systems and/or tools supporting key Compliance Management frameworks and programmes • Develop and deliver key Compliance-related Communications and Training (courses and materials) • Manage Compliance Team Folders according to procedures • Update and maintain Compliance Team Registers and Records • Create Reports (MI) on regular and ad-hoc basis • Managing personal workload and prioritising tasks to meet business needs • Engaging with internal stakeholders/Compliance Managers to ensure timely completion of tasks Along with a competitive salary, this role offers an attractive portfolio of benefits. For more detail, please apply with a current CV.

Job Title: Compliance Officer - Wealth ManagementLocation: Aylesbury, UK Salary - negotiable dependent on experience Benefits: 8% pensionGroup life cover25 days of annual leave plus bank holidays and Christmas closureOpportunities for career progressionAdditional benefits to be enhanced as the company grows About Us: We are representing a rapidly-growing wealth management firm dedicated to providing personalised financial solutions to theirclients. With a focus on integrity, expertise, and client-centric service, they strive to exceed expectations and build lasting relationships. Job Description: We are seeking an experienced Compliance Officer to join the team as they embark on an exciting phase of growth, including an upcoming acquisition in the next few months. The ideal candidate will have extensive experience in the Financial Planning sector and possess the knowledge and skills necessary to navigate the regulatory landscape with confidence. Key Responsibilities: Oversee and manage compliance functions, ensuring adherence to regulatory requirements and internal policies.Act as a safe pair of hands in leading the compliance team, with a focus on scalability as the company expands.Collaborate closely with senior management, including sitting on the leadership team alongside key stakeholdersTaking ownership of senior manager functions (SMF16 & SMF17) and providing strategic guidance to ensure compliance best practices. Qualifications and Experience: Proven experience in the IFA sector, with a strong understanding of regulatory frameworks and compliance requirements.Familiarity with FCA regulations and the ability to obtain approval for senior manager functions.Demonstrated leadership skills, with the ability to effectively manage and develop a compliance team.A balance of hands-on compliance experience and the ability to take a strategic, leadership-oriented approach. Why Join Us: Opportunity to join a dynamic and collaborative team in a period of significant growth.Work alongside experienced professionals who are dedicated to delivering exceptional service to our clients What next?Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.Synonyms: Compliance, IFA, Financial Planning, Advisory, Wealth Management, Financial Planners, Head of Compliance, Compliance Officer, Compliance Consultant, Director of Compliance, Compliance Analyst, Compliance Executive, Risk, FCA