Compliance Manager

Compliance ManagerWe are seeking a seasoned professional to play a key role in shaping our regulatory strategy as a Compliance Manager at Compliance Professionals.Lead regulatory horizon scanning and provide risk-based analysis to inform strategic decisions.Drive regulatory change projects and deliver clear progress reporting to senior management.Champion...

Position OverviewABOUT THE ORGANIZATION:Compliance Professionals is a dedicated firm specializing in compliance solutions for investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance...

Position OverviewABOUT THE ORGANIZATION: Compliance Professionals is a dedicated firm specializing in investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance controls.Conduct daily compliance...

ABOUT THE ORGANIZATION:Our client is a forward-thinking investment platform operating within the Fintech sector, poised for significant expansion. They are in search of a Regulatory Compliance Specialist to enhance their team.KEY RESPONSIBILITIES:Oversee daily financial promotion approvals, address complaints, conduct transaction assessments, and manage...

ABOUT THE ORGANIZATION:Our client is a prominent investment-focused fund management entity, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily...

COMPANY OVERVIEW:Our organization is a dedicated, investment-focused fund management firm, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily compliance...

COMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...

COMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...

COMPANY OVERVIEW:Our client operates as a prominent global investment management firm, with its headquarters situated in Europe. Their expertise encompasses secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Delivering management...

Position OverviewOur client, a prominent international commercial banking institution, is seeking a Lead Compliance Oversight Specialist to oversee the compliance framework within their operations.Key ResponsibilitiesCompliance Framework Management: Develop and maintain the policies and procedures that constitute the compliance framework.Regulatory Review:...

COMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct reviews, audits, and investigations in response to requests from Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance; engage...

COMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct reviews, audits, and investigations as requested by Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance, along with various...

COMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct audits and investigations in response to requests from Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance, along with various...

Position OverviewCOMPANY PROFILE:Compliance Professionals is a prominent financial institution dedicated to providing customized financial services to affluent clients, families, and organizations.KEY RESPONSIBILITIES:Deliver expert guidance on UK financial crime compliance to internal teams.Revise and enhance the organization's Financial Crime Compliance...

Position OverviewCOMPANY PROFILE:Compliance Professionals is a distinguished private banking institution dedicated to delivering customized financial services to affluent clients, families, and organizations.KEY RESPONSIBILITIES:Offer expertise in UK financial crime compliance to internal teams,Revise and enhance the organization's Financial Crime Compliance...

COMPANY OVERVIEW: Compliance Professionals is a prominent player in the securities sector, seeking a skilled Compliance AML and Monitoring Officer to enhance their operations. KEY RESPONSIBILITIES:Oversee the client onboarding process, ensuring compliance for various entities including regulated organizations, private corporations, and investment...

COMPANY OVERVIEW: Compliance Professionals is a prominent entity in the securities sector, dedicated to maintaining the highest standards of compliance and regulatory adherence. We are currently seeking a Compliance AML and Monitoring Officer to enhance our compliance framework. KEY RESPONSIBILITIES:Oversee the client onboarding process, ensuring compliance...

AJ FOX COMPLIANCE is a prestigious law firm in the UK, currently looking for a Regulatory Compliance Specialist to join our team. This position is crucial in upholding the firm's ethical standards and ensuring compliance with various regulations, including SRA, ICO, and Lexcel.Key Responsibilities:Assist legal professionals with inquiries regarding...

COMPANY OVERVIEW: Our client is a prominent player in the securities sector, seeking a skilled Compliance AML and Monitoring Officer to enhance their operations. KEY RESPONSIBILITIES:Oversee the comprehensive onboarding process for clients, which includes regulated entities, private corporations, and investment funds.Conduct Customer Due Diligence (CDD) and...

AJ FOX COMPLIANCE is seeking a Senior Compliance Analyst to enhance our dedicated team. This position plays a crucial role in supporting the conflicts department, collaborating with senior personnel and various divisions within the firm. Your primary responsibility will be to uphold exceptional service standards for our clients, oversee all regulatory...