Compliance Advisory Officer
3 weeks ago
**Compliance Advisory Officer**
Perm Role
Financial Services
London
Date: 11/05/2023
Start Date: ASAP
We are currently recruiting for a Compliance Advisory Officer on behalf of our financial services client. This role is ideal for someone with good working knowledge of the requirements of the UK and EU financial services regime and key regulations (MiFID II and SMCR) as well as experience within OTF and MTF trading venues compliance and operations functions.
The role offers a competitive salary and a comprehensive benefits package, and opportunities for professional development and growth with one of the world’s leading liquidity and data solutions provider.
The role requires excellent stakeholder management skills along with expertise in Wholesale Financial Markets and/or Inter-Dealer Broking. A good understanding of risk-based approaches and assessments as well as control design and implementation is essential. If you are a motivated individual who is passionate about compliance and interested in joining a dynamic team, please submit your resume and cover letter for consideration.
Main responsibilities of the role include:
- Developing and maintaining relationships with Business Managers, Desk Heads and Brokers across the Group.
- Interaction with Exchanges and 3rd Party Venues.
- Providing timely and accurate regulatory advice to the business.
- Performing Regulatory Analysis; Identifying the impact of upcoming Regulation on the relevant business areas.
- Drafting policies and internal procedure documentation e.g. Conflicts of Interest Policy and Compliance Manual.
- Identifying, Writing and Implementing compliance controls.
- Reviewing output from the Compliance Monitoring Programme and implementing remedial actions.
- Operating and Executing specific controls owned by the Compliance Function.
- Identifying risks and risk mitigation solutions.
- Perform investigations into the activities within the Global Broking business to ascertain compliance with the relevant regulations.
- Writing internal compliance communications and writing and delivering compliance training material
- Experience within Compliance Advisory.
- Experience of dealing with key internal/external stakeholders.
- Previous experience in analysing regulations and assessing their impact on business.
- Demonstrable experience of motivating and engaging a team.
- Excellent communication skills, both verbal and written.
-
Compliance Advisory Officer
4 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 Officer
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.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...
-
Compliance Advisory Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.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...
-
Compliance Advisory Officer
6 days ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Find out if this opportunity is a good fit by reading all of the information that follows below. 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...
-
Compliance Advisory Officer
7 days ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Find out if this opportunity is a good fit by reading all of the information that follows below. 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...
-
Compliance Advisory Officer
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 Officer
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeJob Description 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...
-
Compliance Advisory Officer
4 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 Officer
3 weeks ago
London, United Kingdom Compliance Professionals Full timeJob DescriptionTHE 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...
-
Compliance Advisory Officer
4 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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
4 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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
4 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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...
-
Senior Compliance Officer
3 weeks ago
London, United Kingdom CLARC Recruitment Full timeA 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...
-
Compliance Advisory
1 month ago
London, United Kingdom Cameron Kennedy Full timeCONTRACT 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...
-
Fixed Income Advisory Compliance
17 hours ago
London, United Kingdom Black Swan Group Full timeFixed Income Advisory Compliance OfficerWe are seeking a highly motivated and detail-oriented Fixed Income Advisory Compliance Officer to join our client. In this role, you will be responsible for ensuring that their fixed income advisory business operates in compliance with all applicable regulatory requirements.Responsibilities:nDevelop and implement...
-
Fixed Income Advisory Compliance
11 hours ago
London, United Kingdom Black Swan Group Full timeFixed Income Advisory Compliance OfficerWe are seeking a highly motivated and detail-oriented Fixed Income Advisory Compliance Officer to join our client. In this role, you will be responsible for ensuring that their fixed income advisory business operates in compliance with all applicable regulatory requirements.Responsibilities:Develop and implement...
-
Fixed Income Advisory Compliance
6 days ago
London, United Kingdom Black Swan Group Full timeFixed Income Advisory Compliance Officer We are seeking a highly motivated and detail-oriented Fixed Income Advisory Compliance Officer to join our client. In this role, you will be responsible for ensuring that their fixed income advisory business operates in compliance with all applicable regulatory requirements. Responsibilities: Develop and implement...
-
Fixed Income Advisory Compliance
6 days ago
London, United Kingdom Black Swan Group Full timeFixed Income Advisory Compliance Officer We are seeking a highly motivated and detail-oriented Fixed Income Advisory Compliance Officer to join our client. In this role, you will be responsible for ensuring that their fixed income advisory business operates in compliance with all applicable regulatory requirements. Responsibilities: Develop and implement...
-
Fixed Income Advisory Compliance
4 days ago
London, United Kingdom Black Swan Group Full timeJob Description Fixed Income Advisory Compliance Officer We are seeking a highly motivated and detail-oriented Fixed Income Advisory Compliance Officer to join our client. In this role, you will be responsible for ensuring that their fixed income advisory business operates in compliance with all applicable regulatory requirements. Responsibilities: ...