Senior Compliance Officer
2 weeks ago
They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
Support the development of new compliance standards.
Serve as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
Manage regulatory visits and inspections.
Provide guidance to mitigate compliance risks and control gaps.
Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
Support the development of new compliance standards.
Report on the results of compliance and ethics initiatives of the business.
Maintain a deep knowledge and awareness of the investment industry with particular focus on multi-asset solutions.
Stay abreast of current market, regulatory and industry relevant news. Serve as an expert on compliance related issues. Act as a liaison to regulatory agencies.
Participate in special projects and perform other duties as assigned.
Minimum of five years related work experience, with solid knowledge of distribution compliance
Ability to stay on top of compliance policies and advise senior management and other stakeholders.
Attention to detail and commitment to high quality and timely delivery.
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Compliance Officer
5 days ago
London, United Kingdom Compliance Professionals Full time**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...
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Chief Compliance Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...
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Senior Compliance Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is a global banking group offering commercial and retail banking, investment banking, and wealth management. Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. Managing and keeping updated, the departments key...
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Compliance Officer
7 days ago
London, United Kingdom Compliance Professionals Full time**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...
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Compliance Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeJob Description 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. ...
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Compliance Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 keeping...
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Compliance Officer
Found in: Talent UK 2A C2 - 2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 keeping updated, the...
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Compliance Advisory Officer
4 days ago
London, United Kingdom Compliance Professionals Full timeTHE 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: To build a close working relationship with each of the business units to support...
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Senior Compliance Monitoring Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeWe 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,...
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Compliance Officer
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 keeping updated, the...
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Compliance Officer
Found in: Appcast UK C C2 - 1 week ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 keeping updated, the...
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Compliance Officer
Found in: Appcast UK C2 - 1 week ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 keeping updated, the...
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Compliance Officer
Found in: Whatjobs ES C2 - 5 days ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 keeping...
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Compliance Officer
2 weeks 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 Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata...
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Compliance Officer
Found in: Talent UK 2A C2 - 2 weeks 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 Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...
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Senior Compliance Officer
2 days ago
London, United Kingdom AJ FOX COMPLIANCE Full timeA leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Managing the new client and...
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Senior Risk
Found in: Jooble UK C2 - 2 weeks 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 weeks 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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Compliance Officer
Found in: Appcast UK C C2 - 1 week ago
London Area, 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 Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...
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Compliance Officer
Found in: Appcast UK C2 - 1 week ago
London Area, 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 Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...