Compliance and Legal Assistant
3 weeks ago
THE COMPANY: Our client is a London-based broker and market maker, specialising in the trading of futures, options and other derivatives. THE RESPONSIBILITIES:
- Attendance and minute taking at board meetings and various committees, and other meetings as required.
- Writing minutes and circulating them to the Directors and other relevant staff.
- Collating board packs
- Circulation of written board resolutions and other communication with external directors.
- Ad hoc filings to Companies House (e.g. new director appointments).
- Liaising with other offices on new guarantees.
- Preparing and proofreading documents for execution.
- Sending out template agreements and documentation.
- Issuing letters to customers and business partners
- Maintaining and updating databases.
- Updating other departments on concluded documentation.
- Ad hoc legal research.
- Possibly some drafting and negotiating of contracts and other documents where required.
- Preparing presentations
- Liaising with counterparties on any guarantee renewals.
- Carrying out KYC checks and preparing and issuing account opening documents to new customers.
- Carrying out various other administrative tasks
- Previous experience of working within a legal/compliance department is preferred.
- Financial services (Regulated environment) experience would be advantageous.
- Passion for legal/regulatory work and eager to learn from others and independently.
- Ability to demonstrate initiative and common sense, with a very strong attention to detail.
- Co-operative nature and able to work both within the team and without supervision
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Compliance Legal Assistant
3 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is a London-based broker and market maker, specialising in the trading of futures, options and other derivatives. Writing minutes and circulating them to the Directors and other relevant staff. Ad hoc filings to Companies House (e.g. new director appointments). Preparing and proofreading documents for execution. Issuing letters to...
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Legal Compliance Analyst
4 days ago
London, United Kingdom Compliance Professionals Full timeOur client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. 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 and determine...
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Legal Compliance Analyst
1 month ago
London, United Kingdom Compliance Professionals Full timeOur client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. 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 and determine...
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Compliance Legal Assistant
4 days ago
London, United Kingdom May & Stephens Full time €35,000 - €38,000Compliance & Legal Assistant Hybrid £Our client, an established and highly regarded finance broker with a global profile, is seeking a Compliance & Legal Assistant. This is a busy and wide-ranging role, supporting the Head of Compliance and ensuring that the Compliance & Legal Department runs as smoothly as possible. Currently this is a hybrid role....
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Compliance Legal Assistant
1 week ago
London, United Kingdom May & Stephens Full timeJob Description Compliance & Legal Assistant Hybrid £Our client, an established and highly regarded finance broker with a global profile, is seeking a Compliance & Legal Assistant. This is a busy and wide-ranging role, supporting the Head of Compliance and ensuring that the Compliance & Legal Department runs as smoothly as possible. Currently this is...
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Compliance Legal Assistant
3 weeks ago
London, United Kingdom May & Stephens Full timeCompliance & Legal Assistant London Hybrid £Our client, an established and highly regarded finance broker with a global profile, is seeking a Compliance & Legal Assistant. This is a busy and wide-ranging role, supporting the Head of Compliance and ensuring that the Compliance & Legal Department runs as smoothly as possible. Currently this is a hybrid...
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Compliance Legal Assistant
3 weeks ago
London, United Kingdom May & Stephens Full timeCompliance & Legal Assistant London Hybrid £Our client, an established and highly regarded finance broker with a global profile, is seeking a Compliance & Legal Assistant. This is a busy and wide-ranging role, supporting the Head of Compliance and ensuring that the Compliance & Legal Department runs as smoothly as possible. Currently this is a hybrid...
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Legal and Compliance Lawyer
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London, United Kingdom Elevate Flexible Legal Resourcing Full timeJob Description Elevate Flexible Legal Resourcing is seeking a Risk and Compliance Lawyer for a 3-month contract , starting ASAP with a reputed law firm , hybrid, based in London. The successful candidate will collaborate with the firm's Legal Team and Business Intake Team on various risk and ethics issues, as well as handle client onboarding issues...
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Legal and Compliance Lawyer
4 days ago
London, United Kingdom Elevate Flexible Legal Resourcing Full timeElevate Flexible Legal Resourcing is seeking a Risk and Compliance Lawyer for a 3-month contract , starting ASAP with a reputed law firm , hybrid, based in London. The successful candidate will collaborate with the firm's Legal Team and Business Intake Team on various risk and ethics issues, as well as handle client onboarding issues as they arise...
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London, United Kingdom Elevate Flexible Legal Resourcing Full timeElevate Flexible Legal Resourcing is seeking a Risk and Compliance Lawyer for a 3-month contract , starting ASAP with a reputed law firm , hybrid, based in London. The successful candidate will collaborate with the firm's Legal Team and Business Intake Team on various risk and ethics issues, as well as handle client onboarding issues as they arise...
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1 month ago
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Compliance Officer
1 month ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is an international bank based in the City. The firm offers comprehensive financial solutions, ensuring excellent service, reliable banking, and trusted expertise for customers **THE RESPONSIBILITIES**: - Performing Compliance Risk Assessments - Second line oversight of the Bank’s compliance with the applicable law,...
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Compliance Officer
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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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2 weeks ago
London, United Kingdom Compliance Professionals Full timeWe have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal...
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Deputy Head of Compliance
2 weeks ago
London, United Kingdom Compliance Professionals Full timeWe have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal...
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City of London, Greater London, United Kingdom Compliance Professionals Full timeWe have been instructed by an international corporate & specialist finance bank who has their European hub in London. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting • Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in...