Markets Compliance Advisory

**THE COMPANY**: Our client is a leading independent Brokerage firm based in the City. **THE RESPONSIBILITIES**: - Providing compliance advisory support to a cash equity business control - Trade and communications surveillance - SMCR support - AML/KYC account opening and reassessment - General research issues **EXPERIENCE REQUIRED**: - General compliance...

**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 providing Compliance Advisory support to the Business -...

Associate Vice President (AVP) – Compliance Advisory (12-Month FTC) The Compliance Advisory team is responsible for providing high-quality regulatory guidance to the banking and securities operations across London and the EMEA region. Acting as the crucial link between Compliance and the Front Office, the team ensures robust collaboration on all...

Associate Vice President (AVP) – Compliance Advisory (12-Month FTC)The Compliance Advisory team is responsible for providing high-quality regulatory guidance to the banking and securities operations across London and the EMEA region. Acting as the crucial link between Compliance and the Front Office, the team ensures robust collaboration on all regulatory...

Associate Vice President (AVP) – Compliance Advisory (12-Month FTC)The Compliance Advisory team is responsible for providing high-quality regulatory guidance to the banking and securities operations across London and the EMEA region. Acting as the crucial link between Compliance and the Front Office, the team ensures robust collaboration on all regulatory...

**Compliance Advisory** *** **Business Area: Group General Counsel** *** **Place of Work: London** *** **Contract Type: Permanent** *** **When you join USS, the size and scale of our pension scheme means you will have numerous opportunities to learn and develop your career. Given our size you'll have real autonomy and influence as you collaborate...

Permanent - London, **Ref**: 35041 **Job title - Compliance Advisory, Global Markets** **The role** - Design and maintain policies and procedures to address identified regulatory risks. - Plan and deliver Compliance training. - Conduct and report on compliance investigations of the business. - undertake ad-hoc assignments as required. - Advise the front...

Compliance Wise is seeking a skilled professional to join our team as an AML / Compliance Analyst. The ideal candidate will have a strong understanding of regulatory requirements and be able to provide proactive and efficient compliance advisory and oversight services.Key Responsibilities:* Interpret and analyze regulatory changes, identifying their impact...

Compliance Wise is seeking a skilled professional to join our team as an AML / Compliance Analyst. The ideal candidate will have a strong understanding of regulatory requirements and be able to provide proactive and efficient compliance advisory and oversight services.Key Responsibilities:* Interpret and analyze regulatory changes, identifying their impact...

Paritas Recruitment - Risk London, United KingdomPosted 3 hours ago Hybrid Permanent £75k - £90k - K- Posted by - Keith Jones- Manager - Risk Management & Quantitative AnalyticsFollow - Dynamic desk based Compliance Advisory Officer required for a leading international City based firm. Compliance Advisory Officer - Global Markets A leading international...

THE COMPANY: Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.THE RESPONSIBILITIES:Review/audit/investigation requests from Exchanges and RegulatorsFATCA and CRS Audit and Advisory; ad hoc tax projectsResearch in relation to keeping up to...

THE COMPANY: Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.THE RESPONSIBILITIES:Review/audit/investigation requests from Exchanges and RegulatorsFATCA and CRS Audit and Advisory; ad hoc tax projectsResearch in relation to keeping up to...

**Compliance Advisory**: - London - £120,000 - Job type: Permanent - Sector: Financial Services - Job reference: NE40917 My client is a global financial services firm. **Role Overview**: My client is seeking a Markets Advisory Compliance Officer to provide second-line oversight of the Capital Markets Business activities across the group, focusing on...

Job Title: AVP Compliance AdvisoryAbout the RoleWe are seeking a highly skilled AVP Compliance Advisory to join our team at Investigo. As a key member of our Compliance Advisory team, you will play a crucial role in providing high-quality regulatory guidance to our banking and securities operations across London and the EMEA region.Key...

Job Title: AVP Compliance AdvisoryAbout the RoleWe are seeking a highly skilled AVP Compliance Advisory to join our team at Investigo. As a key member of our Compliance Advisory team, you will play a crucial role in providing high-quality regulatory guidance to our banking and securities operations across London and the EMEA region.Key...

I am currently supporting a leading digital bank in identifying a Compliance Advisory Consultant to be based in London on a hybrid working model.Responsibilties would include:Sat within the 2nd line the role holder would support the function on retail advisory related matters alongside wider compliance requirements such as SMCR, Consumer Duty and...

I am currently supporting a leading digital bank in identifying a Compliance Advisory Consultant to be based in London on a hybrid working model.Responsibilties would include:Sat within the 2nd line the role holder would support the function on retail advisory related matters alongside wider compliance requirements such as SMCR, Consumer Duty and...

Title: Markets Compliance Advisory Officer Global Broking Credit and Equities Agency Execution Company Overview: The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through...

Title: Markets Compliance Advisory Officer Global Broking Credit and Equities Agency Execution Company Overview: The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through...

Job SummaryWe are seeking a highly skilled Compliance Advisory Officer to join our team at TP ICAP. As a key member of our EMEA Compliance team, you will play a vital role in fostering a compliance culture within our Global Broking business divisions and Liquidnet's Agency Execution division.Key ResponsibilitiesDevelop and Maintain Relationships: Build and...