Compliance Monitoring Assistant

THE 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...

THE 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...

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;...

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. 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,...

**THE COMPANY**: Our client is a well regarded derivatives firm. They are looking for a Compliance Assistant to join the London-based team. **THE RESPONSIBILITIES**: - Carrying out and improving the Compliance Monitoring Programme. - Implementing and reviewing the firm’s policies and procedures. - Onboarding new counterparties. - Assisting with...

Compliance Monitoring Main tasks: - Assist with the ongoing update to Compliance policies and procedures. - Maintenance of the Compliance monitoring action log - Contribute to the development of the annual compliance monitoring plan. - Undertake compliance monitoring tasks, ensuring that any actions arising are appropriately agreed with business...

We 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...

**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,...

**THE COMPANY**: Our client is a multinational commercial bank with offices based in the City. **THE RESPONSIBILITIES**: - Prepare reports summarising objectives, findings, and conclusions of completed testing. - Log findings and track progress in relation to the agreed action including recommendations and remediation. - Prepare management information on...

Our 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...

Our 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...

Our 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...

Our 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...

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...

**Main Responsibilities**: - Assist in the execution of the testing required as part of the Firm's annual Compliance Monitoring Programme. - Assist the Compliance Monitoring Officer to carry out testing by gathering data, documents and other Management Information as required. - Write up findings/recommendations, agree responses with the area under review...

Responsibilities: As a Compliance Monitoring Manager you will: Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements Ensure above takes into consideration higher risk areas after discussion with senior management  Design (or ensure designed) detailed monitoring programmes across...

**THE COMPANY**: Our client is a global institutional investment management firm, based in the City. They are looking for a Regulatory Compliance specialist to join the team. The role is hybrid with 2/3 days expected in the office each week. **THE RESPONSIBILITIES**: - Assist in the management, supervised by the Director, Risk & Compliance, of the risk and...

My Insurance client is urgently seeking a Compliance Monitoring Officer to assist with the below; - Provide robust regulatory advice, guidance and support, on all aspects of distribution related activities - Contribute to the development of the Compliance Department - Promote strong regulatory awareness within the business - Lead on delivering risk based and...

Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the Compliance Monitoring Methodology. This include the ability to lead and/or participate as part of a team in the delivery of risk-based reviews. procedure and reporting approach. - Work collaboratively with the business stakeholders at all stages of...

Compliance Officer- Generalist (3 months temp) Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services. Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of...