Client Compliance Officer

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Our client is seeking a Compliance Officer to work closely with the Head of Client Compliance in delivering a robust compliance framework for a portfolio of regulated client entities.

The core duties of the role will include:

  • Working closely with the client compliance and manager’s compliance teams, as well as the client boards and the manager / wider business to ensure effective compliance services are provided to clients
  • Contributing to the preparation and maintenance of the client boards’ business risk assessments
  • Undertaking both planning and execution of the clients’ Compliance Monitoring Programmes and managing the findings and action points arising therefrom through to resolution
  • Managing client correspondence with the regulator, including in respect of consent and notification matters
  • Preparing / reviewing / presenting compliance reports for clients
  • Providing support and guidance to clients / client boards on applicable regulatory and AML matters

For more information, please contact Jamie on 707812 or email your CV to

Job Posted: 
Tue, 20 Feb 2024
Closing Date: 
Tue, 20 Feb 2024

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