Current jobs related to Senior Compliance Associate - London, Greater London - InterQuest Financial Markets
-
Senior Compliance Monitoring Associate
6 days ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to...
-
Senior Compliance Monitoring Associate
6 days ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to...
-
Senior Compliance Monitoring Associate
22 hours ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring Associate – Two Years Retail FS or Wealth Management Monitoring Experience RequiredCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be...
-
Senior Compliance Monitoring Associate
20 hours ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring Associate – Two Years Retail FS or Wealth Management Monitoring Experience RequiredCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be...
-
Senior Compliance Monitoring Associate
4 days ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring RoleWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our team at Compliance Recruitment Solutions. As a key member of our compliance monitoring team, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Assist in the delivery of the...
-
Senior Compliance Monitoring Associate
4 days ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring RoleWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our team at Compliance Recruitment Solutions. As a key member of our compliance monitoring team, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Assist in the delivery of the...
-
Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.Compliance Monitoring...
-
Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.Compliance Monitoring...
-
Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering Compliance Monitoring Programmes: Assist in the...
-
Senior Compliance Monitoring Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering Compliance Monitoring Programmes: Assist in the...
-
Compliance Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionAbout the Role:The Compliance Associate will play a key role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Manage compliance relationships with the front office team, portfolio managers, research analysts, and the finance team.Provide technical advice and guidance to colleagues on...
-
Compliance Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionAbout the Role:The Compliance Associate will play a key role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Manage compliance relationships with the front office team, portfolio managers, research analysts, and the finance team.Provide technical advice and guidance to colleagues on...
-
Senior Compliance Monitoring Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob SummaryWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will be responsible for assisting in the delivery of the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...
-
Senior Compliance Monitoring Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob SummaryWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will be responsible for assisting in the delivery of the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...
-
Compliance Senior Associate
4 days ago
London, Greater London, United Kingdom ENGINEERINGUK Full time{"title": "Compliance Senior Associate", "subtitle": "Join our team as a Compliance Senior Associate and contribute to the success of our organization.", "content": "We are seeking a highly skilled Compliance Senior Associate to join our team. As a key member of our compliance team, you will be responsible for ensuring that our organization complies with all...
-
Compliance Senior Associate
4 days ago
London, Greater London, United Kingdom ENGINEERINGUK Full time{"title": "Compliance Senior Associate", "subtitle": "Join our team as a Compliance Senior Associate and contribute to the success of our organization.", "content": "We are seeking a highly skilled Compliance Senior Associate to join our team. As a key member of our compliance team, you will be responsible for ensuring that our organization complies with all...
-
Compliance Associate
5 days ago
London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full timeSenior Compliance AssociateCoopman Search and Selection, a Certified B Corporation, is partnering with a leading compliance and regulatory consultancy to find a highly skilled Senior Compliance Associate.About the RoleWe are seeking a seasoned professional with expertise in UK Payment Services regulations to join our client's team. As a Senior Compliance...
-
Compliance Associate
5 days ago
London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full timeSenior Compliance AssociateCoopman Search and Selection, a Certified B Corporation, is partnering with a leading compliance and regulatory consultancy to find a highly skilled Senior Compliance Associate.About the RoleWe are seeking a seasoned professional with expertise in UK Payment Services regulations to join our client's team. As a Senior Compliance...
-
Senior Compliance Expert
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob Title: Senior Commercial AdvisorWe are seeking an experienced Senior Commercial Advisor to join our expert team at AJ FOX COMPLIANCE in London.This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML and financial crime risk management.We're looking for someone with at least three years of experience in...
-
Senior Compliance Expert
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob Title: Senior Commercial AdvisorWe are seeking an experienced Senior Commercial Advisor to join our expert team at AJ FOX COMPLIANCE in London.This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML and financial crime risk management.We're looking for someone with at least three years of experience in...
Senior Compliance Associate
3 months ago
InterQuest are delighted to be working with a leading FCA-regulated exchange, broker, and custodian for digital assets to help support with the recruitment of a Compliance Senior Associate.
*Office Based Role*
This role will be part of our Financial Promotions team and will focus on:
Setting up and implementing the company's service to approve third-party financial promotions.
Supporting the FCA application process to obtain the relevant approver permissions.
Providing strategic input and expertise into the production of the company's proprietary marketing materials.
Responsibilities:
To be one of the primary Compliance points of contact for all technical queries and regulatory matters relating to marketing, distribution and financial promotions.
To help design and embed the firm's third-party financial promotions approval service.
To provide advice, guidance and training to the business in relation to current and emerging regulations in respect of product distribution and marketing, including cross border activities.
To embed relevant workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.
To provide support, training and guidance to the business in regard to financial promotions.
To assist in the development of management information to track marketing approvals and assess the effectiveness of producing quality documentation.
To assist in the maintenance and revision of applicable policies and documents.
To assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials.
To assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required.
Experience Required:
At least 3 years relevant experience, preferably gained in financial services or regulatory environment.
Financial Promotions experience skills, knowledge and expertise.
Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable.
Ability to drive change and develop relationships across all levels of the organisation.
Strong written and verbal communication skills.
Strong analytical skills including problem solving and solution-orientated thinking.
Able to use initiative, work unsupervised and comfortable taking responsibility.
Degree or relevant industry qualifications - desirable.
InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.
