Compliance Monitoring Officer

**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...

Job Description THE COMPANY: . Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis. THE RESPONSIBILITIES: Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable...

THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. Management of global regulatory relationships. # Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. # Oversight of global regulatory developments and driving their implementation. # Oversight of Financial...

They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. Management of global regulatory relationships. # Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. # Oversight of global regulatory developments and driving their implementation. # Oversight of Financial...

**THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

Job Description THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business. THE RESPONSIBILITIES: Experience in US Swap Dealer business CFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

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...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

About the RoleAs a Senior Compliance Monitoring Specialist at Compliance Recruitment Solutions, you will play a critical role in ensuring the effectiveness of our compliance monitoring programme. Your primary responsibilities will include:Key ResponsibilitiesAssisting in the delivery of the annual compliance monitoring programme by undertaking agreed...

**Compliance Monitoring Officer** Location: Hybrid role working remotely and from the London office. and potential travel (as required) **About Us** Moneyboat.co.uk is a UK short-term Direct Lender offering loans from £200 - £1,500 for up to six months. It was founded in 2014 with a vision to make a mark as a company that values transparency,...

**THE COMPANY**: Our client is a UK-leading investment firm, specialising in private client services. **THE RESPONSIBILITIES**: - Assist with the ongoing update to Compliance policies and procedures. - Maintenance of the Compliance monitoring action log. - Contribute to the development of the annual compliance monitoring plan. - Undertake compliance...

About the Role:Compliance Professionals seeks a skilled Compliance Officer - Financial Markets to join our team. The ideal candidate will have experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.Key Responsibilities:Develop and implement daily alert review and escalation processes for MAR...

Compliance Monitoring and Regulatory ComplianceWe are seeking an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in regulatory compliance and experience in managing a small team.Key Responsibilities:Monitor and review all relevant statutory and regulatory provisions, including...