Compliance Monitoring Associate

THE COMPANY:Our client is a leading global investment manager, with £billions in AUM.THE RESPONSIBILITIES:Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence, client...

THE COMPANYBritannia Global Markets is a dynamic, fast-growing organisation that operates a full-service execution and clearing brokerage business covering Exchange Traded Derivatives, Cash Equities and Fixed Income, CFD's, Foreign Exchange, Repos and Structured Finance.Britannia Global Markets is part of the Britannia Financial Group a member of the London...

Join a Leading Private Bank as a Compliance Monitoring OfficerFRENCH OR GERMAN LANGUAGE SKILLS REQUIREDAbout the Firm:Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their London or Manchester office...

THE COMPANY:We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.THE RESPONSIBILITIES:Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and...

Currently recruiting on behalf of a boutique investment bank for a Monitoring & Testing professional to join their compliance team. You will be responsible for performing the ongoing review, management, and testing of regulatory and operational risk controls, and will be given a significant amount of autonomy within the business, as well as the opportunity...

Digital Asset Exchange and FinProm Consultancyn£60k - £70knLiverpool Street (5 days per week in the office)* This is an office based role, you must be able to commute to and work in the City of London as a norm***Compliance Senior Associate (Financial Promotions) – reporting to Head of RegulationThis role will be part of our Financial Promotions team and...

Who We ArenAt The Aventum Group, we're not one for following the usual rules. We work hard at being different and that very much extends to how we look after our people. Because for us, they're not just people. They're part of the family. A family that dreams big and always works together to make insurance better. For everyone.We offer our employees a unique...

We are currently supporting a regulated Crypto exchange as they continue to grow the advisory side of their business by bringing an Associate/Senior Associate to the existing function. Within the role you will be supporting other Crypto firms with Compliance related activities, focusing on the approval of Financial Promotions and assistance with...

A leading asset manager with an excellent culture and hybrid working model are looking to hire a compliance associate/officer with at least 2 years experience (but ideally more) with the UCITS fund range.nThey will need to have had some level of exposure to product and distribution and ideally some consumer duty or ESG exposure.Key skills required:nMust have...

Societe Generale is one of Europe's leading financial services groups and a major player in the economy for over 160 years, we support 25 million clients every day with more than 126,000 staff in 65 countriesnOur Group draws on our European roots to develop our business internationally. Our unique geographic positioning enables us to connect Europe and...

4 MONTH TEMPORARY OPPORTUNITYnLEGAL AND COMPLIANCE MANAGEMENT PRODUCT COMPANYnUP TO £40,000 (as hourly rate)nLONDON OFFICEnMONITORING ANALYSTMy client, a market leading legal and compliance management product company, is actively seeking an experienced Legal Assistant to join them on a temporary basis - working as their new Monitoring Analyst.The role...

My Client, an International Fund Manager, are looking for a Compliance Manager to join their team of 4 in London. The role will largely be focussed on guideline monitoring while taking on ad-hoc generalist compliance responsibilities including pa dealing and thematic monitoring.The role will offer the opportunity to work closely with the senior members of...

Job Title: Central Compliance Associate/AVP at Leading Investment BankResponsibilities:- Support the implementation of the compliance framework.- Implementation of systems and controls relating to regulatory or legal risks.- Policies and procedures.- Conflicts of interest.- Compliance risk analysis for new projects and M&A transactions.- Provide support and...

New Compliance Manager (Lloyd's) opportunity working for a top performing specialty insurer. Reporting into the Head of Compliance, you will play a key role in the management, and day-to-day operation of the Regulatory Compliance Framework.Key Responsibilities:Establishing the structure for Regulatory Risk Assessments and undertaking the assessments where...

THE COMPANY:nOur client is an international bank, with offices based in the City. They specialise in both private and retail banking.THE RESPONSIBILITIES:nRespond and promptly treat client requests, queries, and enquiries. Unresolved requests by COB should be duly escalated daily.nGeneral Administrative support on client onboarding and retention, Account...

Compliance/ Senior Compliance Analyst opportunity working with a rapidly growing Lloyd's MGA. Reporting into the Compliance Manager, you will support the Compliance team in its day-to-day activities in support of the business and its managed Syndicate.Key Responsibilities:Support the delivery of the compliance plan including advisory, monitoring, reporting...

About the Position:Are you an expert in Control & Monitoring within the Financial Services industry? Our client, a leading Fintech company, is seeking a Control & Monitoring Specialist to join their team. If you have experience in Financial Planning, Wealth Management, and Investment Platforms, this could be the perfect role for you.Main Responsibilities:-...

Compliance DirectorI am partnered with a fintech company focusing on capital markets that helps financial institutions transition liquidity. They are currently looking for an experienced, hands-on Director of Compliance to join their London officeResponsibilities:nManage the regulatory risk profile of the business and operations, including providing...

Senior Regulatory Reporting Associate – Asset Management Firm - LondonCompany Overview:nOur client is an institutional asset manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are...

Our client - an international law firm - is seeking aSenior Conflicts Lawyerto join their growing team in London. This is an exciting opportunity to work closely with the firm's senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with legal...