Compliance Officer

2 weeks ago

London, United Kingdom Compliance Professionals Full time

**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, regulations and internal policies
- Developing and implementing a Compliance Monitoring Programme (CMP)
- Performing second line oversight reviews in line with the CMP
- Issuing Compliance Review reports to the respective SMFs, HoDs and BMs
- Reporting the key findings from Compliance Reviews to the relevant governance committees
- Tracking and follow up of implementation of the recommended actions as per the Compliance Reviews
- Assisting the Chief Compliance Officer (CCO) and the Compliance Managers (CMs) for managing the regulatory communications
- Maintaining a tracker of regulatory communications
- Assisting the Compliance Managers (CMs) for developing and updating the Regulatory Mapping and Horizon Scanning trackers
- Advising and supporting the business and support functions on Compliance matters including legal and regulatory obligations
- Performing administrative tasks related to the Compliance departments
- Responding to the Internal and External auditors on Compliance matters
- Updating and reporting of Compliance breaches
- Developing, reviewing and updating the policies, procedures, and other governance documents of Compliance function
- Second line review of policies and procedures pertaining to business and support functions
- Compile monthly/quarterly/annual Ml to Parent Office based on Mis submitted by Branches/Departments (manual and through online systems of Bank)

**EXPERIENCE REQUIRED**:

- Generalist Compliance/monitoring experience
- Understanding of compliance risks across the business
- Awareness of the risks and responsibilities involved
- Knowledge of Regulatory Framework applicable to both the UK entities of the bank
- Knowledge of monitoring regulatory developments that may impact the bank
- Good Interpersonal and Communication skills

For further information please contact Hannah Tabatabai

  • Assistant Compliance Officer

    2 hours ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for an Assistant Compliance Officer to join the thriving team. **THE RESPONSIBILITIES**: - Provide general regulatory guidance and advisory services to certain internal business...

  • Compliance Officer

    Found in: Talent UK 2A C2 - 3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: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...

  • Chief Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    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 Officer

    Found in: Appcast UK C C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: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...

  • Compliance Officer

    Found in: Appcast UK C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: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...

  • Compliance Officer

    Found in: Appcast Linkedin GBL C2 - 3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: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...

  • Compliance Officer

    Found in: Whatjobs ES C2 - 1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: 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...

  • Compliance Officer

    1 day 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 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. - Managing and...

  • Junior Compliance Officer

    Found in: Talent UK 2A C2 - 1 week ago

    London, United Kingdom AJ Fox Compliance Full time

    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: ...

  • Junior Compliance Officer

    5 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    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...

  • Compliance Advisory Officer

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Officer Monitoring

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    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. ...

  • Compliance Officer

    Found in: Talent UK 2A C2 - 3 weeks 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 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.Managing and keeping updated, the...

  • Compliance Advisory Officer

    Found in: Talent UK 2A C2 - 7 days ago

    London, United Kingdom Compliance Professionals Full time

    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 Compliance...

  • Senior Compliance Officer

    5 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    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...

  • Compliance Officer

    Found in: Appcast Linkedin GBL C2 - 3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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.Managing and keeping updated, the...

  • Compliance Officer

    Found in: Appcast UK C C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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.Managing and keeping updated, the...

  • Compliance Officer

    Found in: Appcast UK C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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.Managing and keeping updated, the...

  • Compliance Officer

    Found in: Whatjobs ES C2 - 1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    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. Managing and keeping...