Compliance Operations Associate

7 months ago

London, United Kingdom IFX Payments Full time

**Role**:
**Responsibilities**:
**Request for Information (RFI) Management**:

- Act as the primary point of contact for RFI inquiries
- Review and analyse RFIs to determine the required information and documentation.
- Collaborate with internal teams, such as Sales, Legal and Compliance, to gather the necessary information and provide accurate responses within designated timelines.
- Ensure compliance with regulatory requirements and maintain proper records of all RFI correspondence.

**Payment Returns**:

- Investigate and resolve payment returns promptly and efficiently.
- Analyse the reasons for payment returns, identify patterns or trends, and implement measures to prevent recurrence.
- Liaise with relevant stakeholders, including clients and internal departments, to rectify any issues related to payment returns.
- Maintain comprehensive records of payment return cases and their resolution.

**Account Closure**:

- Liaise with compliance, operations, legal and finance departments to fully close client accounts, in a timely and compliant manner, in accordance with IFX’s policies and procedures.
- Communicate account closure decisions to clients and address any inquiries or concerns.

**SWIFT Delay Management**:

- Monitor and address any delays or issues in SWIFT message transmissions.
- Investigate the causes of SWIFT delays and work with relevant teams to resolve them promptly.
- Maintain regular communication with counterpart banks to ensure smooth SWIFT operations.

**Compliance Support**:

- Provide support to the Compliance team in various compliance-related tasks, such as regulatory reporting, policy updates, and internal audits.
- Stay up-to-date with relevant regulatory requirements and industry best practices.
- Collaborate with cross-functional teams to implement compliance initiatives and drive continuous improvement.

**Competencies & Experience**:

- Strong writing skills, capability to document relevant information in a clear, structured and comprehensive way
- Excellent communication skills and the ability to build and maintain relationships with colleagues and clients at all levels of seniority
- Team player with strong work ethics
- Resilience and commitment, ability to plan, prioritise and work under pressure
- Accuracy, diligence and the ability to deliver high quality results within tight deadlines
- Interested in the financial markets, current events and news

  • Compliance Associate

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team. THE RESPONSIBILITIES: Support ongoing annual compliance...

  • Compliance Associate

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Associate

    1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Associate

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. **THE RESPONSIBILITIES**: - Performing, supporting & enhancing monitoring and surveillance activities. - Managing, supporting and...

  • Compliance Associate Specialist

    3 weeks ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    At Sovos Compliance, we are seeking a talented Compliance Associate Specialist to join our team. As a key member of our growing Compliance Services team, you will play a crucial role in ensuring the accurate preparation and filing of IPT returns for our clients.The ideal candidate will possess excellent attention to detail, strong analytical skills, and the...

  • Senior Compliance Monitoring Associate

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

  • Compliance Director of Operations

    3 weeks ago

    London, Greater London, United Kingdom Compliance Wise Full time

    This is an exciting opportunity for a seasoned compliance professional to lead our firm's global Compliance function at Compliance Wise.Lead the development and implementation of a comprehensive Compliance strategy.Ensure continued compliance with all legal and regulatory requirements.Promote a culture of compliance throughout the organization.Manage a team...

  • Compliance Monitoring Officer

    6 months 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**: - Responsible for carrying out monitoring reviews to determine whether key...

  • Compliance Operations Specialist

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a highly motivated Compliance Operations Specialist to join our team at AJ FOX COMPLIANCE in London.This is an exciting opportunity for someone who enjoys being hands-on and is ready to collaborate closely with teams across the firm, as it will require five days a week in the office.As a key member of our compliance team, you will be...

  • Compliance Director for Global Operations

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Compliance Director to lead our global operations and ensure we maintain the highest standards of regulatory compliance.About the RoleDevelop and implement effective global compliance strategies, ensuring alignment with relevant regulations and industry best practices.Manage and oversee our global regulatory...

  • Risk & Compliance Officer

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...

  • Senior Manager Compliance

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring activity adequately support the mandatory requirements expected for these businesses. # Provide Compliance and...

  • Head of Risk

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and...

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    (12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

  • Compliance Manager

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    (12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

  • Head of Risk

    22 hours ago

    Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...

  • Tax Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    At Sovos, we offer a unique opportunity for career-minded professionals to achieve success while bringing their best selves to work each day.We operate on the leading edge of digital technology, working to improve lives and communities through our commitment to Solve Tax for Good. Our global company provides a supportive environment where employees can...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...