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Leading Recruitment Agency in Wiltshire | CMD Recruitment

Discover your next job or find your ideal employee with CMD Recruitment, the largest and most established recruitment agency in Wiltshire and Bath.

Compliance and Oversight Executive

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  • Job type: Permanent
  • Location: Bath
  • Date posted:
  • Salary: £27000 - £31000

About the Role:

As a Compliance and Oversight Executive, you will play a critical role in supporting our compliance function, ensuring that our business adheres to all relevant laws, regulations, professional standards, and best practices.

Key Responsibilities:

  • Support the assessment and ongoing monitoring of business, operations, and investment risks.
  • Conduct regular compliance monitoring and oversight, reporting any issues identified.
  • Assist in the review and approval of literature in line with FCA Financial Promotion rules.
  • Provide regulatory support for projects and change initiatives, maintaining thorough records of compliance activities.
  • Prepare information for the Board and key governance committees.
  • Assist with any investigate and review firm breaches, identifying policy changes or training needs to ensure compliance.
  • Assist in responding to due diligence questionnaires and information requests from third parties.
  • Lead efforts to embed an effective compliance culture within the firm.
  • Stay current with industry developments, best practices, and regulatory changes, proactively seeking opportunities for professional development.

Experience and Skills:

  • Exceptional organisational and multitasking abilities to manage multiple tasks and meet deadlines.
  • Effective communication skills to interact with internal teams and external stakeholders.
  • Ability to work independently and collaboratively in a team-oriented environment.
  • Professional demeanour, integrity, and a commitment to maintaining confidentiality.

Why Join Us?

This is an exciting opportunity to be a part of a dynamic team within a reputable investment firm. We offer a supportive environment that fosters professional growth and development. If you are enthusiastic about compliance and looking to make a significant impact, we encourage you to apply.

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