Compliance & Monitoring Officer

**THE COMPANY**: Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients. **THE RESPONSIBILITIES**: - Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP); - Conducting surveillance...

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...

Compliance & Monitoring Officer Enfield We are looking for a proactive person who will be responsible for ensuring all properties within the Housing Gateway Ltd. (HGL) and Enfield Let (EL) portfolios (the portfolios) have all statutory certificates and licences. The Compliance & Monitoring Officer (CMO) will be expected to liaise with contractors, tenants...

Compliance & Monitoring OfficerEnfield We are looking for a proactive person who will be responsible for ensuring all properties within the Housing Gateway Ltd. (HGL) and Enfield Let (EL) portfolios (the portfolios) have all statutory certificates and licences. The Compliance & Monitoring Officer (CMO) will be expected to liaise with contractors, tenants and...

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...

Compliance & Monitoring OfficerEnfield We are looking for a proactive person who will be responsible for ensuring all properties within the Housing Gateway Ltd. (HGL) and Enfield Let (EL) portfolios (the portfolios) have all statutory certificates and licences. The Compliance & Monitoring Officer (CMO) will be expected to liaise with contractors, tenants and...

Job Description Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and...

Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...

Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...

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;...

**THE COMPANY**: Our client is an international bank based in the City. The firm offers comprehensive financial solutions, ensuring excellent service, reliable banking, and trusted expertise for customers **THE RESPONSIBILITIES**: - Performing Compliance Risk Assessments - Second line oversight of the Bank’s compliance with the applicable law,...

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,...

My Insurance client is urgently seeking a Compliance Monitoring Officer to assist with the below; - Provide robust regulatory advice, guidance and support, on all aspects of distribution related activities - Contribute to the development of the Compliance Department - Promote strong regulatory awareness within the business - Lead on delivering risk based and...

**BNP PARIBAS ASSET MANAGEMENT (‘BNPP AM) IS THE INVESTMENT ARM OF BNP PARIBAS, A LEADING BANKING GROUP IN EUROPE WITH INTERNATIONAL REACH. AT BNPP AM, WE AIM TO GENERATE LONG-TERM SUSTAINABLE INVESTMENT RETURNS FOR OUR CLIENTS, BASED ON A UNIQUE SUSTAINABILITY-DRIVEN PHILOSOPHY. THIS PHILOSOPHY HAS SHAPED OUR FIRM AND DIRECTS ALL WE DO: OUR STRATEGY, OUR...

Join a Leading Private Bank as a Compliance Monitoring Officer! Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below. FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED About the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with...

Join a Leading Private Bank as a Compliance Monitoring Officer! Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below. FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED About the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with...

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...

Permanent - City of London, Greater London **Ref**: 34909 **Job title - Compliance Monitoring Officer**: *** The role** - Plan the firm’s Compliance Monitoring Program on an annual basis. - Manage junior members of the team in regards to test scripts. - Design test scripts. **Skill and experience** - Good knowledge of the FCA Handbook, in particular...

Ref: 36418Compliance Monitoring OfficerOur client – a leading Asset Manager – is looking for a Compliance Monitoring Consultant to join the Compliance Monitoring team in London. The role will be focused on end to end Thematic reviews. They are ideally looking for someone with good Monitoring experience, preferably within an asset management firm.  The...

Our client, a well-established global investment management firm, are currently going through an exciting period of growth and are looking to add a motivated and driven Compliance Officer to their team. The Compliance Officer will be supporting the Head of Compliance with the exciting and fast paced workload within the function. This is a fantastic...