Compliance Testing Officer

Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Assist with scoping, implementing and managing second line testing Follow-up management's implementation...

Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Assist with scoping, implementing and managing second line testing Follow-up management's implementation...

**THE COMPANY**: Our client is a leading international Bank based in the City. They are looking for **QC & Testing Officer** to join the team on a permanent basis. **THE RESPONSIBILITIES**: - Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory...

We have an exciting opportunity to join an international law firm as a Compliance Officer. This role will be offered on a hybrid working basis in London. This role will involve supporting the team with business acceptance tasks, including conflicts searches and matter openings. You will need to be able to demonstrate knowledge of AML legislation and...

Our client is a leading international Bank based in the City. They are looking for QC & Testing Officer to join the team on a permanent basis. THE RESPONSIBILITIES: Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory and operational risk...

Our client is a leading international Bank based in the City. They are looking for QC & Testing Officer to join the team on a permanent basis. THE RESPONSIBILITIES: Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory and operational risk...

Our client is a leading international Bank based in the City. They are looking for QC & Testing Officer to join the team on a permanent basis. THE RESPONSIBILITIES: Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory and operational risk...

Our client is a leading international Bank based in the City. They are looking for QC & Testing Officer to join the team on a permanent basis. THE RESPONSIBILITIES: Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory and operational risk...

Our client is a leading international Bank based in the City. They are looking for QC & Testing Officer to join the team on a permanent basis. THE RESPONSIBILITIES: Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory and operational risk...

**THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - CMP tracking, testing, monitoring and deep dives. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and...

**THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for a Compliance Officer with a Financial Crime focus to join the thriving team. **THE RESPONSIBILITIES**: - Review complex documentation and AML/KYC information for new clients at...

THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

**THE COMPANY**: Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients. **THE RESPONSIBILITIES**: - Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP); - Conducting surveillance...

Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata reports and...

Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata reports and...

**THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for an Assistant Compliance Officer to join the thriving team. **THE RESPONSIBILITIES**: - Provide general regulatory guidance and advisory services to certain internal business...