Compliance & Operations Manager

Job Title – Compliance & Operations Manager

Contract – Permanent

Salary – £55,000

Location – Hertfordshire

OVERVIEW

We are looking for a dedicated Compliance & Operations Manager to oversee all compliance and operational functions within our client\’s successful brokerage. The ideal candidate will ensure that the company operates in a legal and ethical manner while meeting business objectives. Hybrid working available.

RESPONSIBILITIES

• Develop and implement compliance policies and procedures
• Oversee operational processes to ensure efficiency and productivity
• Conduct regular audits to monitor compliance with legal and internal regulations
• Collaborate with departmental managers to develop strategies for improving operational efficiencies
• Keep abreast of regulatory requirements and industry best practices to advise on compliance issues
• Lead the training and development of employees on compliance and operational processes
• Prepare and present reports to senior management on compliance and operational performance

EXPERIENCE

• Responsibility for delivery of a robust First Line of Defence (1LOD) framework, working with the Operations Directors & Managing Directors.
• Proven experience in compliance and operations management
• Strong understanding of regulatory requirements and industry standards
• Excellent analytical and problem-solving skills
• Effective communication and leadership abilities
• Industry certifications (e.g., Certified Compliance & Ethics Professional) is a plus
• Reviewing and updating compliance policies and procedures
• Analysing operational processes to identify areas for improvement
• Collaborating with departmental managers to address compliance and operational issues
• Conducting compliance training sessions for employees
• Monitoring operational metrics and preparing performance reports for management

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