Senior Compliance Monitoring

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,...

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;...

Rutherford is currently partnered with a successful hedge fund that are looking to hire a 'Head of Compliance'. The role will lead all global compliance matters, including coverage across US, APAC and EMEA. Be the point of contact for all compliance related questions from the business and investment teams. Review and develop the global compliance...

Head of Compliance General Insurance Location: London – Hybrid (3 days in the office, 2 days WFH) You’ll be responsible for the ongoing development of the firm’s Compliance framework, policies and procedures and also take ownership for the planning and execution of the Compliance Monitoring Plan. In addition, you’ll undertake horizon scanning...

Head of Compliance General Insurance Location: London – Hybrid (3 days in the office, 2 days WFH) You’ll be responsible for the ongoing development of the firm’s Compliance framework, policies and procedures and also take ownership for the planning and execution of the Compliance Monitoring Plan. In addition, you’ll undertake horizon scanning...

Our 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...

Arthur are working with a leading insurance broker that are looking to add a Senior Compliance Monitoring individual to the team in order to lead on monitoring processes. Reporting into the Head of Compliance Monitoring, you will be expected to conductthematic reviews acrossthe business as well as playing a leading role in the construction of the...

**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...

**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...

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...

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...

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...

We are not your typical financial institution. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone. It’s the local expertise of our employees that makes our global network so powerful. The Compliance function is an...

We are not your typical financial institution. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone. It’s the local expertise of our employees that makes our global network so powerful. The Compliance function is an...

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...

And what will you be doing? - You will support the Head of Risk & Compliance Europe in the execution of the compliance monitoring and assurance plan - You will be accountable for the completion of the compliance monitoring programme locally - You will complete planned compliance assurance activities within the specific timelines - You will review, modify,...

Our client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. THE RESPONSIBILITIES: Be responsible for reviewing the due diligence of existing entities/clients and where appropriate, re-identifying their ownership and control to assess AML/CTF and sanctions risks...

Responsibilities: As a Compliance Monitoring Manager you will: Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements Ensure above takes into consideration higher risk areas after discussion with senior management  Design (or ensure designed) detailed monitoring programmes across...