Average Compliance 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.

Who are Diligenta? Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Custom er service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development. Summary of the role In this role, you will play a key part in ensuring that Diligenta provide their customers with services that are compliant with FCA rules, requirement, and principles. You will be responsible for providing advice and guidance to business areas to ensure Diligenta continues to operate compliantly. Anyone looking for an opportunity where they can engage with some of the largest Life and pensions service providers in the UK should apply today! Benefits 33 days including Bank HolidaysEligibility for an annual discretionary bonus schemePersonal and career development opportunities to progress your aspirations within the company as well as through our global parent company (Tata Consultancy Services)Access to Perks at Work (an online discounted shopping platform) saving you money on a wide range of goods and services, including your weekly food shop, holidays and electrical goodsCycle to Work Scheme & Interest free Season Ticket loansA companywide Wellbeing programme, including an Employee Assistance Programme and other benefits/resources to support your mental/physical and financial wellbeingA comprehensive set of Moments that Matter policies, such as Carer's Leave, Foster Leave and Retirement LeaveA contributory company pension scheme where we match your contributions up to 6%, Group Life Assurance ('Death in Service") & Group Income ProtectionApply to find out about our other benefits What you'll be doing Responsible for monitoring Diligenta client's exposure to regulatory riskAssisting the Compliance Manager by producing regular and ad-hoc regulatory reports as required, and with developing and promoting a compliance cultureContinued oversight of Diligenta regulatory policies, processes, training, and internal controls to ensure the Diligenta utility model remains fit for purposeBuild and maintain good relationships with all stakeholders, internal and external, to promote trust and a collaborative approach across teams/firmsEnsure Retail Conduct Risk outcomes are fully considered and appropriately addressed What we're looking for Good knowledge of FCA rules and regulations and a thorough knowledge of regulatory development and consultative processSound understanding of regulatory structure and process, regulations, and their underlying principlesA credible influencer of managementAbility to propose and implement compliance solutions with the required level of personal impactAbility to recognise compliance implications of business initiativesAble to build and maintain strong relationships with business partnersAble to review management information, to highlight trends and concerns and make appropriate challenge If you need any help or adjustments for any stage within the recruitment process due to health, disability, or any other reason, please let us know. Ready to take the next step in your career? Apply today and become part of our innovative team!

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.