Senior Compliance Monitoring Manager
2 weeks ago
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.
Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance
Undertaking a rolling compliance monitoring programme on a global basis and reporting to the board
Responsible for the Firm’s performance of its obligations under the Senior Managers and Certification Regime (SMCR).
Providing appropriate regulatory training, including in relation to AML, TCF, SMCR, and KYC,
Overseeing compliance with FCA rules and guidance, including those relating to conduct risk.
Presenting the Annual Compliance Report to the Board.
Drafting and maintaining applicable internal policies and procedures to ensure compliance with regulatory requirements.
Client complaint handling and resolution
Responsible for ensuring that the firm cooperates with investigations by the FCA and other regulatory bodies.
Managing all compliance staff and ensuring they receive the necessary support, training,
Responsibility to regularly present the scope and implementation of regulatory change to the Board, including the impact the regulations have on the business
Overseeing the Firm’s compliance with FCA rules and guidance and applicable legislation relating to financial crime and monitoring as well as updating and reporting to the
Reviewing developments in AML/CTF law and regulation, including updates by relevant authorities
Responsible for handling escalations on financial crime matters as well as ensuring oversight of high risk client relationships
Providing updates and advising the firm on major regulatory developments
Extensive knowledge and experience at a senior operational level in a retail brokerage environment
A strong background in the compliance aspects of electronic and web based business
Attained a degree (preferably in law) or equivalent
Ideally experience working in a global business
-
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,...
-
Compliance Monitoring Manager
2 weeks 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...
-
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;...
-
Compliance Officer Monitoring
5 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...
-
Senior Compliance Monitoring Analyst
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is a leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Preparation and review of documentation for high-risk clients, escalating to the MLRO as required; Daily monitoring of transactions in respect of AML and MAR Assisting with ongoing Compliance...
-
Senior Compliance Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeOur 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...
-
Compliance Manager/Senior Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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 assessments. Support the...
-
Financial Crime Compliance Monitoring Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeWe 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...
-
Compliance Monitoring Manager
1 week ago
London, United Kingdom eFinancialCareers Full timeNEW ROLE - Compliance Monitoring Manager Inside IR35 ASAP Start **Experience**: - Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market - Experience of compliance oversight/assurance activity, risk assurance or internal audit - Relevant governance, risk management and control expertise - Relevant knowledge...
-
Compliance Monitoring Manager
6 days ago
London, United Kingdom Mazars Full timeOur Business Services team is a collective set of creative, strategic, forward-thinking business enablers. Together the People & Culture, Marketing & Communications, IT, Operations, Finance and Quality & Risk Management teams make it their mission to ensureMazars has the right tools, technology, strategies and services in place to deliver exceptional client...
-
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...
-
Compliance Monitoring
7 days ago
London, United Kingdom eFinancialCareers Full time**Compliance Monitoring £90000 + bonus + benefits Central London** **THE COMPANY **The role sits within the London branch of the corporate banking arm of a global bank, who have a primary focus on lending, trade financing and treasury activities. They have a new senior level compliance monitoring role within their independent Compliancefunction which also...
-
Senior Compliance Monitoring
2 weeks ago
London, United Kingdom Barclay Simpson Full timeBarclay Simpson are currently recruiting for a Head of Compliance to join an established international asset management house as they look to expand their business and open an alternatives business. This is an all-encompassing compliance role that will be a building job in the first instance. It will be your responsibility to establish a new compliance...
-
London, United Kingdom Compliance Professionals Full timeOur 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. Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Implement and carry out the Compliance Monitoring programme, including...
-
Senior Compliance Monitoring
2 weeks ago
London, United Kingdom Eleanor nursing and social care Ltd Full timeEleanor Care is one of the leading healthcare groups in the UK, committed to providing high-quality care and support to our clients across different specialties, including home care and care homes. Our vision is to deliver exceptional care experiences and help our clients achieve their health and wellness goals. We are seeking for an experienced individual...
-
Senior Compliance Monitoring
2 weeks ago
London, United Kingdom Black Swan Group Full timeWe are a leading recruitment firm specializing in connecting top talent with prestigious financial services institutions across the UK. Currently, we are seeking a seasoned professional to fill the role of Head of Compliance for a reputable financial services institution based in the UK. This institution is committed to maintaining the highest standards of...
-
Senior Compliance Monitoring
Found in: Jooble UK C2 - 2 weeks ago
London, United Kingdom Willow Resourcing Limited Full timeHead 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...
-
Senior Compliance Monitoring
2 weeks ago
London, United Kingdom Willow Resourcing Limited Full timeHead 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...
-
Compliance Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: 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. THE RESPONSIBILITIES: Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due...
-
Compliance Officer
6 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...