Current jobs related to Compliance Monitoring Officer - London Area - Trident Trust

  • Compliance Monitoring Officer

    5 months ago

    London, 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**: - Responsible for carrying out monitoring reviews to determine whether key...

  • Senior Compliance Monitoring Officer

    2 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring Associate RoleWe are seeking a Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. The ideal candidate will have at least 2 years of experience in compliance monitoring within the wealth management or retail financial advice sectors.Key responsibilities include:Delivering the annual compliance...

  • Compliance Monitoring Officer

    3 days ago

    London Area, United Kingdom Gresham Hunt Full time

    Compliance Monitoring OfficerAsset ManagementLondon – Up to £80,000 plus packageGresham Hunt is partnered with a global asset management firm to find a new Compliance Monitoring Officer.You will be responsible for:Performing Compliance monitoring reviews in line with regulatory expectationsAssist in designing the Annual Compliance Monitoring plan and...

  • Compliance Monitoring Officer

    2 weeks ago

    London Area, United Kingdom Gresham Hunt Full time

    Compliance Monitoring OfficerAsset ManagementLondon – Up to £80,000 plus packageGresham Hunt is partnered with a global asset management firm to find a new Compliance Monitoring Officer.You will be responsible for:Performing Compliance monitoring reviews in line with regulatory expectationsAssist in designing the Annual Compliance Monitoring plan and...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.Key...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.Key...

  • Compliance Monitoring Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Officer

    2 weeks ago

    London Area, United Kingdom Allica Bank Full time

    About Allica BankAllica Bank is a leading digital banking platform that is revolutionizing the way businesses manage their finances. As a Compliance Monitoring Officer, you will play a critical role in ensuring that our bank operates in accordance with regulatory requirements and maintains the highest standards of compliance.Job DescriptionWe are seeking a...

  • Compliance Monitoring Officer

    2 weeks ago

    London Area, United Kingdom Allica Bank Full time

    About Allica BankAllica Bank is a leading digital banking platform that is revolutionizing the way businesses manage their finances. As a Compliance Monitoring Officer, you will play a critical role in ensuring that our bank operates in accordance with regulatory requirements and maintains the highest standards of compliance.Job DescriptionWe are seeking a...

  • Compliance Monitoring Officer

    2 weeks ago

    London Area, United Kingdom Allica Bank Full time

    About Allica BankAllica Bank is a pioneering financial institution that is revolutionizing the way businesses interact with the financial sector. As a Compliance Monitoring Officer, you will play a critical role in ensuring that our operations are in line with the latest regulatory requirements.Job DescriptionAs a key member of our Compliance team, you will...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain a...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Develop and maintain a...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ProfessionalsJob Title: Collections Data OfficerJob Summary:We are seeking a highly skilled Collections Data Officer to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for ensuring the firm's monitoring and surveillance systems are operating effectively and efficiently.Key...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ProfessionalsJob Title: Collections Data OfficerJob Summary:We are seeking a highly skilled Collections Data Officer to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for ensuring the firm's monitoring and surveillance systems are operating effectively and efficiently.Key...

  • Compliance Monitoring Specialist

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Compliance Officer

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an international bank based in the City. The firm offers comprehensive financial solutions, ensuring excellent service, reliable banking, and trusted expertise for customers **THE RESPONSIBILITIES**: - Performing Compliance Risk Assessments - Second line oversight of the Bank’s compliance with the applicable law,...

  • Compliance Officer

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    Job Title: Compliance ManagerWe are seeking a highly skilled Compliance Manager to join our team at Compliance Professionals. The successful candidate will be responsible for assisting with the development and implementation of regulatory compliance policies and procedures, as well as supporting business relationships through positive engagement and...

  • Compliance Officer

    1 month ago

    London Area, United Kingdom Compliance Professionals Full time

    Job Title: Compliance ManagerWe are seeking a highly skilled Compliance Manager to join our team at Compliance Professionals. The successful candidate will be responsible for assisting with the development and implementation of regulatory compliance policies and procedures, as well as supporting business relationships through positive engagement and...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...

Compliance Monitoring Officer

2 months ago

London Area, United Kingdom Trident Trust Full time

Trident Trust is a leading independent provider of corporate, trust and fund services to the financial services sector worldwide, employing over 1000 staff across a global footprint that spans Africa, the Americas, Asia, the Caribbean, Europe and the Middle East.


We are seeking to expand our Group Compliance Monitoring Team through the recruitment of a Compliance Monitoring Officer to support the delivery of second line monitoring reviews across Trident Guernsey, Jersey and London offices.


This role is London or Guernsey based


Responsibilities

  • Conduct Compliance Monitoring reviews in line with the approved Compliance Monitoring Plan or as requested by the Group Head of Audit, Risk & Compliance and in line with agreed standards / methodology
  • Planning and researching areas subject to Compliance Monitoring review including regulatory requirements and local office policies and procedures
  • Review and complete work papers and agreed testing by documenting the results of Compliance Monitoring testing completed and provide to the Group Compliance Monitoring Manager for quality review
  • Produce Executive Summary reports of Compliance Monitoring reviews completed that are factual, accurate and appraise issues identified and the mitigating actions to be taken by management to remediate
  • Conduct follow-up activities to ensure agreed actions have been fully implemented to minimise business risks and ensure regulatory compliance


Experience & Qualifications

  • A minimum of 5 years’ experience within a compliance related role (preferably Compliance Monitoring) within financial service industry / experience of trust services
  • Exposure to and understanding of AML/CTF requirements across Guernsey, Jersey, UK jurisdictions (essential)


In addition to the above essential duties and responsibilities, this role includes other duties as assigned. The full job description available upon request.


If you think you have the skills and aspirations to match this opportunity, please apply directly through LinkedIn