Compliance Monitoring Officer

**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...

**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,...

Job OverviewWe are a boutique wholesale bank seeking a Junior Compliance Officer to join our team. This is a 5-day office-based role, providing an excellent opportunity to work with a dynamic and experienced team.About the RoleThis role will support the monitoring and assessment of compliance with regulatory requirements and internal policies. Key...

**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...

They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. Management of global regulatory relationships. # Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. # Oversight of global regulatory developments and driving their implementation. # Oversight of Financial...

Job Summary:We are seeking a highly experienced Compliance Officer Lead to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection, with at least 10 years of experience in the compliance sector.Key Responsibilities:Ensure that companies have the correct...

Compliance Monitoring Officer | Lloyd's Broker | London/WFH | £70 - 80,000 (doe) Finitas are delighted to be partnering with a growing Lloyd's broker in their search for a Compliance Monitoring Officer to join their team. This is an additional hire due to good company growth who will be reporting into the Head of Compliance and have one direct report. You...

About the RoleWe are seeking an experienced Regulatory Compliance Officer to join our team at Compliance Professionals. This is a fantastic opportunity for a skilled professional to take their career to the next level.Job DescriptionIn this role, you will play a crucial part in ensuring that our company adheres to regulatory requirements. You will provide...

**THE COMPANY**: Our client is an international bank specialising in commercial and investment banking services. **THE RESPONSIBILITIES**: - Ensure that our company adheres to all the laws and regulations in the UK and International as well as internal policies and procedures - Provide compliance advice and guidance to the company - Manage and supervise...

Job Description Compliance Monitoring Officer | Lloyd's Broker | London/WFH | £70 - 80,000 (doe) Finitas are delighted to be partnering with a growing Lloyd's broker in their search for a Compliance Monitoring Officer to join their team. This is an additional hire due to good company growth who will be reporting into the Head of Compliance and have...

Providing robust regulatory challenge, oversight, guidance and support to the UK and overseas BMO Global Asset Management (EMEA) business. Supporting the Chief Compliance Officer and other members of the department in the delivery of the departmental objectives Delivering a respected and valued compliance service for the BMO Global Asset Management (EMEA)...

HSL Compliance Limited seeks a skilled Monitoring and Compliance Technician to join our Water Hygiene team. As a key member of our team, you will be responsible for undertaking monitoring and water hygiene services to ensure compliance with legionella guidelines.Your duties will include conducting water testing and monitoring, taking water samples, testing...

Our client a Financial Services firm is looking to hire a Compliance Monitoring Officer to join a fantastic compliance team (for full job description please apply): Role Responsibilities: - Ensure that monitoring and surveillance activities are undertaken according to agreed procedures and frameworks. - Monitoring and surveillance activities will include...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

An expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function in the London Officer. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the Compliance Monitoring Methodology. This include the ability to lead...

My Insurance client is urgently seeking a Compliance Monitoring Officer to assist with the below; - Provide robust regulatory advice, guidance and support, on all aspects of distribution related activities - Contribute to the development of the Compliance Department - Promote strong regulatory awareness within the business - Lead on delivering risk based and...

We are looking for a Compliance Monitoring Officer to join this Private Bank in the City of London. You will support the bank in completing its compliance requirements under the management of Head of Compliance. Undertakes activities specific to Assurance services, including but not limited to monitoring execution of the annual compliance monitoring...

**Compliance Monitoring Officer** Location: Hybrid role working remotely and from the London office. and potential travel (as required) **About Us** Moneyboat.co.uk is a UK short-term Direct Lender offering loans from £200 - £1,500 for up to six months. It was founded in 2014 with a vision to make a mark as a company that values transparency,...