Compliance/advisory Generalist
2 weeks ago
**THE COMPANY**:
Our client is a leading independent Brokerage firm based in the City.
**THE RESPONSIBILITIES**:
- Providing compliance advisory support to a cash equity business control
- Trade and communications surveillance
- SMCR support
- AML/KYC account opening and reassessment
- General research issues
**EXPERIENCE REQUIRED**:
- General compliance Equities advisory experience
- Generalist Compliance /surveillance experience /Monitoring experience
- Experience of working within a broker, bank or the financial services practice of a legal firm
- Ability to operate independently
- Thorough understanding of commercial needs
- Good organisational skills
For further information please contact Hannah Tabatabai
-
Compliance Advisory Officer
6 days 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
Found in: Whatjobs ES C2 - 6 days 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
Found in: Talent UK 2A C2 - 6 days 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
Found in: Appcast UK C2 - 6 days 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
Found in: Appcast UK C C2 - 6 days 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
Found in: Appcast Linkedin GBL C2 - 6 days 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...
-
London, United Kingdom Compliance Recruitment Solutions Full timeCompliance 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...
-
Compliance Officer- Generalist
Found in: Talent UK 2A C2 - 2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services.THE RESPONSIBILITIES:Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices.Keep abreast of developments in...
-
Compliance Manager
2 weeks ago
London, United Kingdom Eximius Finance Full timeThis is a generalist compliance role. Candidates will ideally have circa 3-5 years financial services compliance experience and knowledge of implementing assurance and compliance processes. Key Skills Ideally 3-5 years relevant compliance experience gained within the Financial Services sector Knowledge of implementing assurance and compliance processes...
-
Compliance Officer- Generalist
Found in: Whatjobs ES C2 - 7 days ago
London Area, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of developments in...
-
Compliance Officer- Generalist
Found in: Appcast UK C2 - 2 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services.THE RESPONSIBILITIES:Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices.Keep abreast of developments in...
-
Compliance Officer- Generalist
Found in: Appcast UK C C2 - 2 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services.THE RESPONSIBILITIES:Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices.Keep abreast of developments in...
-
Compliance Officer- Generalist
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
London Area, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services.THE RESPONSIBILITIES:Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices.Keep abreast of developments in...
-
Senior Compliance Analyst
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Candidates will ideally have FX Broker generalist experience. THE RESPONSIBILITIES: Preparation and review of documentation for high-risk clients, escalating to the MLRO as required;...
-
Compliance Officer
7 days ago
London, United Kingdom Compliance Professionals Full time**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...
-
Compliance Generalist exclusive Instruction
4 days ago
London, United Kingdom Compliance Professionals Full time**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...
-
Compliance Advisory Manager
3 days ago
London, United Kingdom MDM Consultants Ltd Full timeAre you an experienced Risk & Compliance professional who desires to join a well-established and forward-thinking investment banking company as part of their growing Compliance team? Do you value company culture, values, and innovation in high regard when looking for your next move? If yes, then we’d love to hear from you. **Compliance Manager /...
-
Compliance Manager/Senior Manager
Found in: Jooble UK C2 - 3 weeks ago
London, United Kingdom Coopman Search and Selection Full timeCoopman Search and Selection are delighted to partner with a leading alternative asset manager who specialise across the fixed income spectrum. As the Compliance Manager, you will be responsible for generalist compliance activities covering both the UK & US. Compliance Advisory Compliance Monitoring & Surveillance Compliance policies, procedures, manuals...
-
Compliance Manager/Senior Manager
3 weeks ago
London, United Kingdom Coopman Search and Selection Full timeCoopman Search and Selection are delighted to partner with a leading alternative asset manager who specialise across the fixed income spectrum. As the Compliance Manager, you will be responsible for generalist compliance activities covering both the UK & US. Compliance Advisory Compliance Monitoring & Surveillance Compliance policies, procedures, manuals...
-
Compliance Advisory
2 days ago
London, United Kingdom Barclay Simpson Full time**Compliance Advisory**: - London - £120,000 - Job type: Permanent - Sector: Financial Services - Job reference: NE40917 My client is a global financial services firm. **Role Overview**: My client is seeking a Markets Advisory Compliance Officer to provide second-line oversight of the Capital Markets Business activities across the group, focusing on...