At a Glance
- Tasks: Lead financial compliance activities and manage a team to ensure regulatory adherence.
- Company: Dynamic firm focused on compliance within the legal and financial sectors.
- Benefits: Competitive salary, career development, and a supportive team environment.
- Other info: Opportunity for growth in a regulated environment with diverse stakeholder engagement.
- Why this job: Make a real impact in compliance while developing your leadership skills.
- Qualifications: Experience in finance compliance and strong understanding of regulatory frameworks.
The predicted salary is between 60000 - 80000 £ per year.
They are seeking someone experienced to join their team where you will be responsible for leading financial compliance activities across the business, managing a small team, ensuring regulatory requirements, financial controls and internal processes are effectively maintained.
This is a great opportunity for someone from a Finance Compliance Officer, Compliance Team Leader, Legal Compliance Officer, Compliance Analyst Manager, Senior Compliance Officer or similar.
Key responsibilities include:
- Lead and develop a team of Compliance Analysts while acting as a key point of contact for finance and compliance-related matters across the business.
- Ensure ongoing compliance with SRA Accounts Rules, AML regulations and internal controls, overseeing audits, maintaining compliance records and driving improvements where required.
- Review and strengthen finance processes, controls and procedures to minimise risk, improve efficiency and ensure best practice is maintained.
- Oversee client account balances, banking administration, file closure activities and internal compliance reviews, ensuring accurate record keeping and regulatory compliance.
- Produce and enhance management reporting, providing insight into compliance performance, key risks and areas for improvement.
- Build strong relationships with stakeholders across Finance, Compliance and operational teams, providing guidance, resolving queries and supporting consistency across multiple locations when required.
Previous experience in a Finance Compliance, Risk, Audit or Governance role, ideally within a law firm or professional services environment is required. A strong understanding of working within a regulated environment, with experience gained in legal services, banking, financial services, accountancy or a similar sector is essential.
Additional qualifications include:
- Experience managing, coaching, or mentoring a small team.
- Knowledge of financial controls, compliance frameworks, and risk management principles.
- Understanding of SRA Accounts Rules and AML regulations would be beneficial.
- Strong Microsoft Excel and reporting skills.
Director, Regulatory Affairs & Quality in Stoke-on-Trent employer: Get Recruited (UK) Ltd
Join a dynamic and supportive team in Stoke on Trent, where we prioritise compliance excellence and employee development. As a Director in Regulatory Affairs & Quality, you will benefit from a collaborative work culture that encourages innovation and continuous improvement, alongside opportunities for professional growth within a well-established firm. Enjoy the unique advantage of working in a vibrant location that fosters both personal and career advancement.
