Head of Compliance SMF16 and 17

NEW JOB **Reference **12041 **About our client** Our client, an innovative and diverse investment fund are looking to hire a Compliance Manager on a part-time basis. The fund invests in technology focused companies with commercially viable solutions, and innovations that serve the environment. Having justclosed their first fund after a highly successful fund...

Job Description A great opportunity has arisen to join a growing financial services firm in London as Head of Compliance (SMF16/SMF17). Your duties will include • To monitor NASDAQ SMARTS alerts and act as final arbiter when received reports. • To submit reports to FCA (STORs) and/or NCA (SARs). • To monitor the Dealing Errors and Incident Reports...

Our client is a wealth & investment manager who are seeking an experienced senior level compliance professional who is looking to move into an SMF16/17 role. You will have overall responsibility for all compliance policies and controls across the businessand will work closely with the CEO's and Senior Management Team to help improve the business, ensuring it...

Job Description Location: London (Hybrid Working Arrangements) Excellent Salary and Benefits on offer (dependent upon experience) Are you a seasoned Compliance professional with a robust background in Asset Management? Do you excel in roles where you can drive meaningful change and ensure regulatory excellence? We are looking for a proactive and...

Remote Part Time UK Head of Compliance & MLRO – IFA or Wealth Management Experience Required Exclusive: Remote Part Time UK Head of Compliance & MLRO – IFA or Wealth Management Experience Required   80K - £100K (pro rata) + Bonus & Benefits Remote (Southern England) We have been appointed by our Client, a Global Wealth Manager, who are looking to...

This role is a newly created role and will report into the General Counsel & Chief Compliance Officer. In this role you will be responsible for the day-to-day operation of the compliance programme, as well as supporting on wider legal responsibilities. This person is seen medium-long term to be the Head of Compliance (SMF16/17). Compliance oversight and...

This role is a newly created role and will report into the General Counsel & Chief Compliance Officer. In this role you will be responsible for the day-to-day operation of the compliance programme, as well as supporting on wider legal responsibilities. This person is seen medium-long term to be the Head of Compliance (SMF16/17). Compliance oversight and...

About Our Client The firm is a globally recognised entity in the financial services sector, the London office plays a pivotal role in this international firm's operations. Job Description Taking responsibility for the firm's legal & compliance and risk management programmes, assessing the adequacy and effectiveness of compliance and risk management measures,...

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;...

Job Description A client I am working with who is going through a process of establishing a firm-wide governance structure is looking to hire a Head of Compliance who will take ownership of the compliance programme. This will take the SMF16/17 from a senior manager in the firm. This could be a number 2 at a larger (public markets) equities or credit...

About Our Client The firm is a globally recognised entity in the financial services sector, the London office plays a pivotal role in this international firm's operations. Job Description Taking responsibility for the firm's legal & compliance and risk management programmes, assessing the adequacy and effectiveness of compliance and risk management measures,...

Rev & Regs are recruiting for a Head of Risk & Compliance role for a rapidly growing tech-focussed Capital Markets company. Reporting to the Chief Operating Officer, the Head of Risk & Compliance will work closely with the board to develop fit for purpose Compliance Frameworks, Policies & Procedures, and implement and embed the companywide Risk Management...

THE COMPANY: 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. THE RESPONSIBILITIES: Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance...

About Our Client The firm is a globally recognised entity in the financial services sector, the London office plays a pivotal role in this international firm's operations. Job Description Taking responsibility for the firm's legal & compliance and risk management programmes, assessing the adequacy and effectiveness of compliance and risk...

Job Description MERJE are working with a boutique Investment manager in their search for a Head of Compliance. The Head of Compliance will be responsible for compliance with all applicable FCA & SEC regulations. You will be tasked with: Provision of technical advice, support & regulatory guidance Development & completion of the annual compliance...

Do you have around 4 - 5 years plus compliance experience in an FCA regulated firm? - Do you have good knowledge of FCA industry standards and regulations, along with knowledge of anti-financial crime related matters (ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance)? Senior Compliance Associate Global Investment Trading/Broker firm is going through a...

**The opportunity**: A unique and exciting opportunity to join the business as Omnis' Head of Risk and Compliance. Joining an established compliance team, you will be responsible for ensuring the regulatory responsibilities for the Omnis business are understood. The position will provide the opportunity to influence right across the business and within...

Our client is a securities firm and provides a range of execution and clearing services for exchange traded derivatives and OTC derivatives in commodities including base metal contracts on the London Metal Exchange. Job Description Lead and manage the compliance team, ensuring adherence to regulatory requirements. Oversee Money Laundering Reporting...

Our client is a securities firm and provides a range of execution and clearing services for exchange traded derivatives and OTC derivatives in commodities including base metal contracts on the London Metal Exchange. Job Description Lead and manage the compliance team, ensuring adherence to regulatory requirements. Oversee Money Laundering Reporting...

A great opportunity has arisen to join a growing financial services firm in London as Head of Compliance (SMF16/SMF17). To manage and provide solution for financial crime and AML matters in accordance with the ToR for Compliance. • To maintain the Compliance Monitoring Program as per the approved Compliance Procedures Manual. • To perform duties in...