Compliance Analyst- Testing and 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...

Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme. Foster relationships with front office staff to enhance their understanding of regulatory obligations Monitor front office operations...

Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme. Foster relationships with front office staff to enhance their understanding of regulatory obligations Monitor front office operations...

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 leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Preparation and review of documentation for high-risk clients, escalating to the MLRO as required; Daily monitoring of transactions in respect of AML and MAR Assisting with ongoing Compliance...

  Key Responsibilities Identify and assess potential compliance risks associated with new and existing products, services, and processes. Develop and execute test plans to evaluate the effectiveness of internal controls and identify potential compliance gaps. Analyze monitoring and testing results to identify trends and exceptions, and recommend...

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. We are seeking a...

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. We are seeking a...

**Key Purpose** Provide assurance of the quality of implementation of regulation, policies, procedures and controls through the carrying out of the agreed Compliance Monitoring Program (Testing and or Second Line Controls), whilst covering all Compliance Domains there willbe a primary focus on AML, Markets & Conduct. Provide support to other colleagues in...

Job Description We are excited to be working with a top 200 UK law firm to recruit a Risk and Compliance Analyst to support their team. In this role, you will work closely with the manager and the team to help ensure compliance throughout the firm, particularly in relation to business acceptance procedures. To apply for this role, you should have risk...

We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of...

We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. The role is a 3 to 6 month contract THIS ROLE IS NOT SUITABLE FOR KYC AND AML CANDIDATES - IT IS A REGULATORY COMPLIANCE FOCUSSED ROLE. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of...

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;...

Reed Banking and Financial Services are supporting an ethical bank in their search for a Compliance Analyst. Ideally we are looking to speak to a legal graduate who is keen on working within compliance. Full training provided. This role reports into the Risk Manager and focus on areas of Risk, Compliance and Data Protection. Duties will include: ...

Compliance & Monitoring Officer needed in Enfield, £17.54ph PAYE - Reference: The provision of good quality, secure, private housing solutions for Enfield residents is a key priority in the Good Growth Housing Strategy. The Private Housing Team’s role is to be the strategic lead in this area; understanding the market, pressures for residents and creating...

Compliance & Monitoring Officer needed in Enfield, £17.54ph PAYE – Reference: The provision of good quality, secure, private housing solutions for Enfield residents is a key priority in the Good Growth Housing Strategy. The Private Housing Team’s role is to be the strategic lead in this area; understanding the market, pressures for residents 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 -...

Responsibilities include: - Assisting with the management and delivery of all aspects of the Compliance Monitoring Plan - Conducting thorough Compliance Monitoring reviews, covering a range of activities, across the business platforms, to ensure compliance with all applicable regulations and internal standards - Identifying and analysing potential risks to...

JOB DESCRIPTION: The Compliance Analyst is primarily responsible for implementing and monitoring the contractual and regulatory requirements of the various lender programs as they relate to securities lending and short-term investment management activities. This role assists with various compliance testing and requires attention to detail. The Compliance...

JOB DESCRIPTION: The Compliance Analyst is primarily responsible for implementing and monitoring the contractual and regulatory requirements of the various lender programs as they relate to securities lending and short-term investment management activities. This role assists with various compliance testing and requires attention to detail. The Compliance...