Compliance - Regulatory Advisory Office

2 weeks ago

London, United Kingdom Investigo Limited Full time

Compliance - Regulatory Advisory Officer

We are seeking an experienced Compliance Regulatory Advisory officer from a commodities or asset management background. Our client are looking for someone to join a growing team responsible for ensuring that their operations comply with all relevant laws, regulations, and industry standards. The role will provide expert guidance on regulatory matters, assess risks, and develop strategies to mitigate them effectively.

Key Responsibilities:

  • Stay abreast of regulatory developments, industry trends, and best practices to ensure compliance with all applicable laws and regulations.
  • Provide timely and accurate advice to internal stakeholders on regulatory requirements and implications for the business.
  • Conduct thorough assessments of existing and proposed business activities to identify potential compliance issues and recommend appropriate actions.
  • Develop and implement policies, procedures, and controls to ensure compliance with regulatory requirements.
  • Collaborate with cross-functional teams to address compliance-related issues and implement solutions.
  • Assist in the preparation of regulatory reports and submissions as required.
  • Conduct training sessions to educate employees on compliance policies, procedures, and best practices.
  • Monitor and review internal processes and systems to identify areas for improvement and enhance efficiency and effectiveness.

Qualifications:

  • Experience of regulatory Compliance from an asset management or Commodities environment
  • In-depth knowledge of relevant regulatory requirements, including but not limited to [specify relevant regulations, such as GDPR, MiFID II, Dodd-Frank Act, etc.].
  • Strong analytical skills with the ability to assess complex regulatory issues and develop practical solutions.
  • Excellent communication and interpersonal skills, with the ability to interact effectively with stakeholders at all levels of the organisation.
  • Proven ability to work independently, manage multiple priorities, and meet tight deadlines.
  • Attention to detail and a commitment to maintaining the highest standards of integrity and professionalism.
#J-18808-Ljbffr

  • Compliance Advisory Officer

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Regulatory Compliance Manager

    2 weeks ago

    London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Advisory Manager – Wealth/Investment Management Compliance Experience Required Compliance Advisory Manager – Wealth/Investment Management Compliance Experience Required Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit a Compliance Advisory Manager. You will be responsible for developing...

  • Compliance Advisory Officer

    Found in: Talent UK 2A C2 - 3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    Found in: Appcast UK C2 - 3 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    Found in: Appcast UK C C2 - 3 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    Found in: Appcast Linkedin GBL C2 - 3 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    Found in: Whatjobs ES C2 - 3 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Manager – Wealth/Investment Management Compliance Experience Required

    1 week ago

    London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Advisory Manager – Wealth/Investment Management Compliance Experience Required   Ref: 4012G   £75K - £85K + Good Benefits                                                                Hybrid (West End)   Our client, a boutique wealth manager and part of a larger global banking...

  • Regulatory Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a leading international Bank based in the City. They are looking for QC & Testing Officer to join the team on a permanent basis. Work closely with the Head of Non-Financial Risk and Reporting, KYC Advisory, Head of KYC Team and the Non-Financial Risk and Reporting team to ensure that regulatory and operational risk requirements are adhered...

  • Senior Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards. Serve as an advisor to the business, and interfaces regularly with business...

  • Regulatory Compliance and Legal

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking services. THIS...

  • Compliance Advisory

    1 week ago

    London, United Kingdom Cameron Kennedy Full time

    CONTRACT TYPE: - Permanent- LOCATION: - City of London- INDUSTRY: - Compliance & Legal- Financial Services- SALARY: - Negotiable- START DATE: - ASAP- REF: - BN373239_1679904671- JOB PUBLISHED: - 1 day ago**Compliance Advisory** **£90000 - £100000 + Bonus + Benefits** **London** **THE COMPANY** Growing London banking group, part of one of the world's...

  • Senior Compliance Officer

    1 week ago

    London, United Kingdom CLARC Recruitment Full time

    A leading Asset Management business is looking to hire a Senior Compliance Officer to manage their Advisory team, managing a team of 4 direct reports. The successful candidate will have a strong background across Central Compliance / Advisory functions, ready to bring fresh ideas and running with the implementation of new systems & processes across the...

  • Regulatory Compliance Officer

    6 hours ago

    London, United Kingdom eFinancialCareers Full time

    My client is looking for build out a internal consulting function with a focus on regulatory compliance. They are looking for the below: - Reg knoweldge / Expericence in trade lifecycle projects - ideally MIFID, MIFIR but brexit, emir, dodd frank etc will work - Strong capital markets/global markets experience - More advisory, op model, impact assessment...

  • Compliance - Regulatory Advisory Officer

    1 week ago

    London, United Kingdom Investigo Full time

    Key Responsibilities: Stay abreast of regulatory developments, industry trends, and best practices to ensure compliance with all applicable laws and regulations. Provide timely and accurate advice to internal stakeholders on regulatory requirements and implications for the business. Conduct thorough assessments of existing and proposed business activities...

  • Compliance Officer

    5 days 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...

  • Senior Compliance Officer

    2 weeks ago

    London, United Kingdom Schonfeld Strategic Advisors LLC Full time

    We are seeking to hire an exceptional and experienced individual to join our compliance team in our London office. This role has the opportunity to cover the full breadth of compliance activity and has a strong focus on investment and markets advisory support; trading queries, trade related regulatory reporting, market operations and regulations, business...

  • AVP, Compliance Advisory

    Found in: beBee jobs GB - 4 days ago

    London, Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.A variety of soft skills and experience may be required for the...

  • AVP, Compliance Advisory

    5 days ago

    London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    Found in: beBee S GB - 5 days ago

    London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.A variety of soft skills and experience may be required for the...