Performance & Compliance Monitoring Officer
3 weeks ago
MERJE has collaborated with a leading Insurance Broker, and we are actively seeking a Compliance Monitoring Officer to join the Central Compliance team. Contributing to specific initiatives/projects that delve into metrics and data across the business
Reviewing and reporting on regulatory performance, key emerging risks, trends, etc.
Verifying results and considering necessary actions when risk indicators are identified
Conducting specific thematic reviews independently or in collaboration with other Central Monitoring team members
Insurance Broker or insurer/MGA experience
Monitoring or audit role in a financial services firm
Strong data analysis skills
Familiarity with national broker settings (retail, commercial, corporate and London Market insurance)
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Compliance Officer
1 month 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 Monitoring
1 month ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Officer Monitoring
3 days ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Performance & Compliance Monitoring Officer
3 days ago
London, United Kingdom MERJE Ltd Full timeMERJE has collaborated with a leading Insurance Broker, and we are actively seeking a Compliance Monitoring Officer to join the Central Compliance team. Contributing to specific initiatives/projects that delve into metrics and data across the business Reviewing and reporting on regulatory performance, key emerging risks, trends, etc. Verifying results...
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Compliance Monitoring Manager
3 days ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Monitoring Manager
2 months ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Monitoring Manager
1 month ago
London, United Kingdom Compliance Professionals Full timeOur 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;...
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Compliance Monitoring Manager
3 days ago
London, United Kingdom Compliance Professionals Full timeOur 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;...
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Senior Compliance Monitoring Manager
3 days 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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Senior Compliance Monitoring Manager
2 months 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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Senior Compliance Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeWe are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...
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Senior Compliance Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeWe are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...
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Compliance Monitoring Officer
2 days ago
London, United Kingdom Ameriprise Financial Full timeThe position as Compliance Monitoring Officer is a newly created position within the Global Compliance Monitoring Office ‘GCMO’ team, which is part of the Columbia Threadneedle General Counsel's Office (GCO). The position will report in to the London based EMEA Compliance Monitoring Manager, with a dual reporting line to the Luxembourg Conducting Officer...
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Compliance Monitoring Officer
1 month ago
London, United Kingdom eFinancialCareers Full timeAn expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function in the London Officer. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the Compliance Monitoring Methodology. This include the ability to lead...
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Senior Compliance Monitoring
7 days ago
London, United Kingdom Compliance Professionals Full timeOur client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...
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Compliance Monitoring Officer
1 month ago
London, United Kingdom eFinancialCareers Full timeAn 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...
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Compliance Monitoring and Testing Associate
3 days ago
London, United Kingdom Compliance Professionals Full timeOur 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 Assist with scoping, implementing and managing second line testing Follow-up management's implementation...
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Compliance Monitoring and Testing Associate
3 days ago
London, United Kingdom Compliance Professionals Full timeOur 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 Assist with scoping, implementing and managing second line testing Follow-up management's implementation...
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Compliance Manager
1 month ago
London, United Kingdom eFinancialCareers Full timeA well established Corporate Finance and Corporate Broking company are looking to recruit a Compliance Manager to support the Head of Compliance across all areas of Compliance. This role will be office based 5 days a week. **Main Responsibilities** - Conducting financial crime and regulatory compliance monitoring in accordance with the firm's Annual...
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Compliance Monitoring Officer
1 month ago
London, United Kingdom Bruin Full timeRef: 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...