Senior Compliance Associate
3 weeks ago
Conducting compliance testing in accordance with the CMP and assist the Head of Compliance in the preparation of written reports for senior management and the Board.
Maintaining compliance policies and procedures.
Supporting the Head of Compliance in identifying, responding to, and preparing for, regulatory change.
Assisting the Money Laundering Reporting Officer (MLRO) in countering the risk that the Firm might be used to further financial crime.
Working with the Head of Compliance in assisting the business areas with recommendations from CMP.
Reviewing and approve marketing materials promoting the Firm, its products and services for compliance with all applicable marketing/advertising rules.
Supporting the Head of Compliance in providing advice to Investor Relations and the Firm’s Investment Professionals on cross-border marketing rules.
Assisting front office in drafting the compliance responses to RFP’s / RFI’s / Research Papers and Due diligence requests
The business are looking for a candidate with a minimum of three years buy side experience ideally working in Real Estate, Alternatives or a Multi strat fund. The role presents an exceptional opportunity for the individual to gain exposure to senior stakeholders and progress quickly as the business completes a number of acquisitions. Please apply or reach out to find out more.
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Compliance Associate
4 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Associate to join the business. THE RESPONSIBILITIES: Undertake day to day handling of financial promotion approvals, complaint handling escalations and onboarding queries. Understand, keep up to date with...
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Director/Associate Director | Compliance
1 week ago
London, United Kingdom Hays Senior Finance Full timeMy client is a global advisory firm who specialise in commercial disputes, valuation advisory, litigation & international arbitration, investigations/intelligence, compliance/monitoring, forensic technology and data analytics. A single global p&l they have for many years been adept at resourcing projects with their international as well as domestic staff, a...
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Director/Associate Director | Compliance
1 week ago
London, United Kingdom Hays Senior Finance Full timeMy client is a global advisory firm who specialise in commercial disputes, valuation advisory, litigation & international arbitration, investigations/intelligence, compliance/monitoring, forensic technology and data analytics. A single global p&l they have for many years been adept at resourcing projects with their international as well as domestic staff, a...
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Trainee Compliance Associate
2 weeks ago
London, United Kingdom FinTech Compliance Full timeJob description FinTech Compliance is a consultancy providing compliance advice to a wide variety of FCA regulated financial services firms, with a particular focus on technology-based, innovative and alternative finance businesses. Our core services include FCA authorisations, ongoing advice and support, the authoring of policies/procedures, compliance...
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Senior Compliance Monitoring
6 days ago
London, United Kingdom Compliance Professionals Full timeWe are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...
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Senior Compliance Monitoring
5 days ago
London, United Kingdom Compliance Professionals Full timeWe are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...
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Compliance Associate/Senior Associate
5 days ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking consumer...
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Compliance Associate/Senior Associate
5 days ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking consumer...
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Senior Risk
2 months ago
London, United Kingdom AJ FOX COMPLIANCE Full timeOur client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...
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Senior Risk
2 months ago
London, United Kingdom AJ FOX COMPLIANCE Full timeOur client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...
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Senior Compliance Monitoring
4 days ago
London, United Kingdom Compliance Professionals Full timeOur client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...
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Senior Compliance Associate
4 weeks ago
London, United Kingdom Robert Half Full time**Global Insurance Brokerage - Senior Compliance Associate** **£55k - £65k** **London - Hybrid** - **Senior Compliance Associate**: - **Generalist position and AML**: - **Working in a team of 10**: - **3 days a week in the office**: - **Great bonus & benefits**: - **Lots of opportunity for progression** **Job Purpose** To provide efficient and...
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Compliance Associate/Senior Associate
2 days ago
London, United Kingdom The MWek Company Full time €60,000 - €70,000Digital Asset Exchange and FinProm Consultancy Liverpool Street (5 days per week in the office) *** This is an office based role , you must be able to commute to and work in the City of London as a norm*** Compliance Senior Associate (Financial Promotions) - reporting to Head of Regulation This role will be part of our Financial Promotions team and will...
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Risk & Compliance Officer
3 days ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...
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Senior Compliance Associate
4 days ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking consumer...
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Senior Compliance Manager
4 days ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...
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Senior Compliance Manager
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...
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Senior Compliance Manager
2 months ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...
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Senior Compliance Associate
5 days ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking...
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Senior Compliance Associate
5 days ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking...