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Compliance Monitoring
1 month ago
Currently recruiting on behalf of a boutique investment bank for a Monitoring & Testing professional to join their compliance team. You will be responsible for performing the ongoing review, management, and testing of regulatory and operational risk controls, and will be given a significant amount of autonomy within the business, as well as the opportunity to work on a broader range of compliance. You should have experience within a monitoring & testing team within a financial services firm, and have good knowledge of the UK regulatory landscape.
Key Experience:
- Experience of monitoring and testing
- Understanding of operational risk controls
- Good knowledge of the UK regulatory framework
- Previous experience working within the financial services, ideally within an investment bank of capital markets firm
- Ability to work independently
- Strong stakeholder engagement skills
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Compliance Monitoring Manager
2 months ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...
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Compliance Monitoring Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...
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Compliance Monitoring Manager
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...
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Compliance Monitoring Manager
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...
-
Compliance Monitoring Manager
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...
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Compliance Monitoring Officer
4 days 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...
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Compliance Officer Monitoring
2 months ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Officer Monitoring
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Officer Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Officer Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Officer Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Senior Compliance Monitoring
3 weeks 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
3 weeks 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
1 week 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 Monitoring
3 weeks 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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Compliance Monitoring and Testing Associate
2 weeks ago
London, United Kingdom Compliance Professionals Full timeOur 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...
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Compliance Monitoring and Testing Associate
2 weeks ago
London, United Kingdom Compliance Professionals Full timeOur 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...
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Compliance Monitoring Manager
2 months ago
London, United Kingdom Compliance Professionals Full timeOur client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...
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Compliance Monitoring Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...
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Senior Compliance Monitoring Manager
7 days ago
London, United Kingdom Compliance Professionals Full timeThe Client: Our client is a well established European bank with a presence in London. Specialising in corporate/wholesale banking they have built a strong client base. Ensure compliance policies and procedures are applied at all levels of the organisation within the regulatory framework. Oversee and maintain Compliance Plan that will effectively...