Compliance Technical Specialist

1 month ago

Camden Area, United Kingdom Compliance Professionals Full time
THE COMPANY:

Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.

THE RESPONSIBILITIES:

Managing and reporting on regulatory projects, including advising on and supporting the business in implementing regulatory change.nSupport the Compliance Monitoring team with mapping and interpretation of key regulatory requirements as are applicable to the annual Compliance Monitoring Plan, as required.nAssist in the design and maintenance of the compliance training content.nSupport the delivery of the Compliance team’s key processes and controls, production of monthly MI, KRI/KPI and risk reporting.nLead on tracking regulatory horizon developments in the UK as they relate to financial crime.nSupport on tracking regulatory horizon developments as they relate to The Pensions Regulator.nLead on the completion of the annual Group Financial Crime Risk Assessments.nAssist the MLRO to prepare the annual MLRO Report.nManage and oversee updates to the framework of Compliance Policies, Manuals and Procedures, including approvals via relevant committees.nManage and oversee responses to counterparty diligence requests.nSupport the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.nLead on Compliance review and approval of corporate communications and member collateral.nLead and facilitate the production of consumer duty dashboards, and associated reporting.

EXPERIENCE REQUIRED:

Thorough knowledge of UK regulatory framework, including the UK’s measures to combat financial crime.nA good understanding (and maintenance of understanding) of rules and regulations (FCA and tPR) on defined contribution pension schemes as they relate to and apply in practice to the group.nA willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, advice, monitoring and training solutions within Public and, Private Markets Groups.nDemonstrable experience of managing compliance tasks such as compliance framework implementation and delivery of technical compliance advice.nDemonstrable experience of dealing with the regulatory change agenda in the asset management sector.nUnderstanding of different asset classes, including equity, credit, fixed income, derivatives and alternative investments.nExcellent working knowledge of FCA rules and industry best practice.

For further information please contact Spencer Evans

  • Compliance Technical Specialist

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:Managing and reporting on regulatory projects, including advising on and supporting the...

  • Compliance Technical Specialist

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:Managing and reporting on regulatory projects, including advising on and supporting the...

  • Compliance Technical Specialist

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: Managing and reporting on regulatory projects, including advising on and supporting the...

  • Compliance Associate

    1 week ago

    Camden Area, Greater London, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    1 month ago

    Camden Area, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    3 weeks ago

    Camden Area, United Kingdom Compliance Professionals Full time

    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...

  • Risk and Compliance Lawyer

    1 month ago

    Camden Area, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in London (with...

  • Compliance Monitoring Specialist

    1 month ago

    Camden Area, United Kingdom InterQuest Group Full time

    Compliance Monitoring Specialist – Consumer CreditnLondon – HybridDo you have deep Consumer Credit and Compliance Monitoring experience? Are you looking to join a team with authentic passion for Compliance? Do you want to demonstrate your insights at ExCo?This is a great opportunity to drive 2nd Line oversight for Compliance Monitoring in an evolving...

  • Compliance Monitoring Specialist

    3 weeks ago

    Camden Area, United Kingdom InterQuest Group Full time

    Compliance Monitoring Specialist – Consumer CreditnLondon – HybridDo you have deep Consumer Credit and Compliance Monitoring experience? Are you looking to join a team with authentic passion for Compliance? Do you want to demonstrate your insights at ExCo?This is a great opportunity to drive 2nd Line oversight for Compliance Monitoring in an evolving...

  • Compliance Associate

    2 months ago

    London Area, United Kingdom Compliance Professionals Full time

    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,...

  • Compliance Associate

    2 months ago

    London Area, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    2 months ago

    London Area, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    4 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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,...

  • UK Legal Entity Compliance Specialist

    1 month ago

    Camden Area, United Kingdom Pontoon Solutions Full time

    Role: UK Legal Entity Compliance SpecialistnLocation: LondonnDuration: 12 MonthsnHybrid 3 days in the officeSummary : Responsible for acting as a general Compliance Specialist in the UK to the in-scope Asset Servicing entities.Major Duties:nas the senior Compliance Specialist subject matter within the Asset Servicing UK Legal Entity Compliance team across...

  • UK Legal Entity Compliance Specialist

    3 weeks ago

    Camden Area, United Kingdom Pontoon Solutions Full time

    Role: UK Legal Entity Compliance SpecialistnLocation: LondonnDuration: 12 MonthsnHybrid 3 days in the officeSummary : Responsible for acting as a general Compliance Specialist in the UK to the in-scope Asset Servicing entities.Major Duties:nas the senior Compliance Specialist subject matter within the Asset Servicing UK Legal Entity Compliance team across...

  • Technical Specialist

    1 week ago

    Camden Area, Greater London, United Kingdom Pearson Carter Full time

    M365 Technical SpecialistCompany Overview:Our client is a leading global company providing a full range of consultancy services, project delivery, and post-project operations. With 120 offices in over 50 countries worldwide, they are at the forefront of their industry.Location:London (Onsite)Benefits:- Extensive Learning & Development Opportunities- Clear...

  • Compliance AML Specialist

    1 week ago

    Camden Area, Greater London, United Kingdom Itaú BBA in Europe Full time

    We have a great opportunity for aCompliance AML Specialistto join our Compliance teamninLondon or Lisbon (depending on which country you live in) .We offer a dynamic, challenging, international working environment, and provide development and growth opportunities to support you in your career with us.This position will have the following geographical...

  • Compliance AML Specialist

    3 weeks ago

    Camden Area, United Kingdom Itaú BBA in Europe Full time

    We have a great opportunity for aCompliance AML Specialistto join our Compliance teamninLondon or Lisbon (depending on which country you live in) .We offer a dynamic, challenging, international working environment, and provide development and growth opportunities to support you in your career with us.This position will have the following geographical...