Compliance Monitoring

THE 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...

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...

Our 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;...

We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due diligence in respect of customers at take-on,...

We are working with a successful retail and wholesale bank based in the West End, they are looking for a Financial Crime Compliance Manager to join the team on a 6 month FTC basis. To lead on horizon scanning, interpretation, and implementation of changes and updates to AML/CTF and controls for mitigating the risks financial crime UK Financial industry...

PA dealing monitoring - Best execution monitoring - Market abuse monitoring - Telephone record monitoring - Research / inducements monitoring - Gifts & entertainment monitoring, and maintaining the gifts register - Assist with regulatory reporting - Annex IV, NFA CPO PQRs, SEC and State filings, annual NFA updates, SEC Form ADV updates and FCA REGDATA...

**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...

**Our Client**: We are working with a boutique Asset Management firm, supporting their search for a Compliance Officer in their London based office. The roles primary function will be carrying out tasks related to the Compliance Monitoring Programme, however there will be wider tasks given the small team. **Responsibilities**: - Compliance Monitoring -...

**THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and asset and wealth managements services. **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and keeping updated, the departments...

The Compliance Monitoring Manager will take a leading role in delivering the Regional Compliance Monitoring programme, including delivery at the checkpoints identified by the Regional Head of Compliance Monitoring. This role is instrumental to the improvementof risk management within Compliance. Regional Compliance Monitoring forms part of the Investment...

Our 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...

A leading Lloyd’s Insurance broker is hiring a Head of Compliance Monitoring to lead and manage their monitoring team. **Reporting into**: Group Chief Compliance Officer **Responsibilities**: - To provide compliance oversight and leadership across the company structure. - Support the company in maintaining compliance with industry and governmental lead...

Our Business Services team is a collective set of creative, strategic, forward-thinking business enablers. Together the People & Culture, Marketing & Communications, IT, Operations, Finance and Quality & Risk Management teams make it their mission to ensureMazars has the right tools, technology, strategies and services in place to deliver exceptional client...

Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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 assessments. Support the...

Our client a Financial Services firm is looking to hire a Compliance Monitoring Officer to join a fantastic compliance team (for full job description please apply): Role Responsibilities: - Ensure that monitoring and surveillance activities are undertaken according to agreed procedures and frameworks. - Monitoring and surveillance activities will include...

An expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function in the London Officer. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the Compliance Monitoring Methodology. This include the ability to lead...

Rev & Regs are recruiting for a Compliance Monitoring Associate role on behalf of a well-established Fintech company, based in London. 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 scoping,...

An expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function. The role will work closely with Senior Management both in the team and wider business. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the...

**About Salary Finance** Salary Finance is a leading global FinTech platform. We support a community of 4M employees across 575 clients (inc 20% of the FTSE 100) in the UK and US, and provide a suite of financial employee benefits, to help employees improve their financial health and happiness. Our platform provides salary-linked savings, loans, pay...

**The Company** An ecxcellent opportunity for a Compliance Monitoring Assistant is available for a leading Lloyd's Insurance company. Their ambition is to be the best insurance business in the world and due to our continued growth and investment they are recruiting a ComplianceMonitoring Assistant to join their growing compliance team **The Role** The...