Compliance Monitoring Officer

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...

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...

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,...

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...

An expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function. The role will work closely with Senior Management both in the team and wider business. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the...

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. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata reports and...

Ref: 36418Compliance Monitoring OfficerOur client – a leading Asset Manager – is looking for a Compliance Monitoring Consultant to join the Compliance Monitoring team in London. The role will be focused on end to end Thematic reviews. They are ideally looking for someone with good Monitoring experience, preferably within an asset management firm.  The...

**THE COMPANY**: Our client is an international bank providing banking services including traditional corporate transactions, investment banking and trading. **THE RESPONSIBILITIES**: - Drafting high quality written reports to present results of monitoring and assurance work undertaken as required by the Compliance Monitoring Plan - Liaising with the...

**THE COMPANY**: Our client offers a trading in prime digital assets, forex, and CFDs. By providing a interface for trading these diverse assets, our client aims to provide flexibility for traders, enabling them to navigate the dynamic global financial markets efficiently **THE RESPONSIBILITIES**: - Manage and oversight of the client onboarding process and...

THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...

Compliance & Monitoring Officer Enfield We are looking for a proactive person who will be responsible for ensuring all properties within the Housing Gateway Ltd. (HGL) and Enfield Let (EL) portfolios (the portfolios) have all statutory certificates and licences. The Compliance & Monitoring Officer (CMO) will be expected to liaise with contractors, tenants...

Responsibilties: - Lead on the execution of the Compliance Monitoring programme via the development of test plans and the completion of reports. - Monitor, track, and review evidence to close actions derived from Compliance Monitoring reports. - Produce Compliance Monitoring MI for senior level committees. - Contribute to the annual Compliance Monitoring...

My FS client is urgently seeking a Compliance Monitoring SME, must haves; - Advisory experience around Compliance Monitoring processes - Compliance Monitoring review experience - Running test plans around Monitoring - Very good with Senior Stakeholders - FS experience across banking, IM, Insurance Eames Consulting is acting as an Employment Business in...

**A rewarding opportunity for a Consumer Codes Compliance Officer** We are looking for a motivated Compliance, Monitoring and Enforcement Officer to join the Renewable Energy Consumer Code (RECC) Compliance Team, reporting to the Head of Compliance. RECC is part of the Consumer Codes team at Renewable Energy Assurance Ltd (REAL). If you have an...

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...

Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring programme on...

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...

MERJE has collaborated with a leading Insurance Broker, and we are actively seeking a Compliance Monitoring Officer to join the Central Compliance team. Contributing to specific initiatives/projects that delve into metrics and data across the business Reviewing and reporting on regulatory performance, key emerging risks, trends, etc. Verifying results...

*** To support the strategy of the Compliance team to ensure that the firm meets its regulatory requirements. - To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers and to comply with the FCA and PRA's Conduct Rules.**Key Responsibilities**: - To carry out reviews,...