Ad Regulatory Compliance

We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of...

We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. The role is a 3 to 6 month contract THIS ROLE IS NOT SUITABLE FOR KYC AND AML CANDIDATES - IT IS A REGULATORY COMPLIANCE FOCUSSED ROLE. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of...

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...

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...

Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Implement and carry out the Compliance Monitoring programme, including...

**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...

**THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and asset and wealth managements services. **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and keeping updated, the departments...

Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. Manage & produce valuable MI for key executive committees at Board and Executive level for the compliance department Carry out and support ad hoc compliance projects as required to...

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...

A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team.This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization.Key responsibilities will include: ...

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. 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...

A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Key responsibilities will...

Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management. Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. Managing and keeping updated, the departments key...

Job Description THE COMPANY: 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...

A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Managing the new client and...

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...

**THE COMPANY**: Our client is a subsidiary of an international bank, providing capital market and securities trading services. **THE RESPONSIBILITIES**: - To support the Head of Compliance & MLRO as part of team to cover all aspects of the Compliance Monitoring Program, including AML & KYC and other regulatory issues that affect the Company. - To...

**Do you want to work at a large global law firm?** **Are you looking for a broader and more exciting role?** **Do you have 1-2 years of experience working at a law, professional or financial services firm?** An exciting global law firm is hiring a Regulatory Risk Assistant to join their team in either London or Manchester. In this role, you will support...

Job Description THE COMPANY: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management. THE RESPONSIBILITIES: Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. ...