Regulatory Compliance Consultant
3 weeks ago
- Lead Documentation Efforts: Oversee the attestation and documentation processes, ensuring accurate recording and reporting of methodologies and assumptions.
- Regulatory System Support: Assist in the implementation of a new regulatory reporting framework.
- ICAAP Assistance: Provide support related to the Bank's Internal Capital Adequacy Assessment Process (ICAAP).
- Review and Challenge: Conduct a second line of defense review and provide constructive challenge to the first line of defense assessments.
Ideal candidates will possess a strong background in regulatory compliance and risk management, with proven experience in documentation and reporting processes.
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Regulatory Compliance Consultant
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct reviews, audits, and investigations as requested by Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance, along with various...
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Regulatory Compliance Consultant
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct reviews, audits, and investigations in response to requests from Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance; engage...
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Regulatory Compliance Consultant
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a comprehensive investment brokerage firm with a global footprint and a robust culture of compliance, making it a desirable workplace.KEY RESPONSIBILITIES:Conduct audits and investigations in response to requests from Exchanges and Regulatory authorities.Provide advisory services for FATCA and CRS compliance, along with various...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeABOUT THE ORGANIZATION:Our client is a forward-thinking investment platform operating within the Fintech sector, poised for significant expansion. They are in search of a Regulatory Compliance Specialist to enhance their team.KEY RESPONSIBILITIES:Oversee daily financial promotion approvals, address complaints, conduct transaction assessments, and manage...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timePosition OverviewABOUT THE ORGANIZATION:Compliance Professionals is a dedicated firm specializing in compliance solutions for investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timePosition OverviewABOUT THE ORGANIZATION: Compliance Professionals is a dedicated firm specializing in investment management, overseeing assets totaling over £18 billion.KEY RESPONSIBILITIES:Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance controls.Conduct daily compliance...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeABOUT THE ORGANIZATION:Our client is a prominent investment-focused fund management entity, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our organization is a dedicated, investment-focused fund management firm, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily compliance...
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Compliance Director
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionCompliance Professionals is seeking a highly skilled Compliance Director to join our team in London. As a key member of our compliance team, you will play a critical role in ensuring our organization's compliance with regulatory requirements.Key Responsibilities:Regulatory Horizon Scanning: Lead the identification and analysis of emerging...
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Compliance Director
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionCompliance Professionals is seeking a highly skilled Compliance Director to join our team in London. As a key member of our compliance team, you will play a critical role in ensuring our organization's compliance with regulatory requirements.Key Responsibilities:Regulatory Horizon Scanning: Lead the identification and analysis of emerging...
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Head of Regulatory Compliance
2 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe're seeking a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management to join AJ FOX COMPLIANCE as our Head of Regulatory Compliance.This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best...
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Head of Regulatory Compliance
2 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe're seeking a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management to join AJ FOX COMPLIANCE as our Head of Regulatory Compliance.This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best...
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Compliance Manager
5 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewCompliance Professionals is a leading fintech banking group that operates globally. We are seeking a highly skilled Compliance Manager to join our London-based team.Job SummaryWe are looking for a seasoned Compliance Manager to lead our regulatory efforts and provide strategic guidance to our senior management team. The ideal candidate will...
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Compliance Manager
4 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewCompliance Professionals is a leading fintech banking group that operates globally. We are seeking a highly skilled Compliance Manager to join our London-based team.Job SummaryWe are looking for a seasoned Compliance Manager to lead our regulatory efforts and provide strategic guidance to our senior management team. The ideal candidate will...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...
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Regulatory Compliance Specialist
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client operates as a prominent global investment management firm, with its headquarters situated in Europe. Their expertise encompasses secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Delivering management...
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Compliance Manager
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionThe CompanyOur global fintech banking group is a leading financial institution that provides innovative banking solutions to individuals and businesses worldwide.The RoleWe are seeking a highly skilled Compliance Manager to join our London-based team. As a key member of our compliance department, you will be responsible for leading regulatory...
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Compliance Manager
2 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionThe CompanyOur global fintech banking group is a leading financial institution that provides innovative banking solutions to individuals and businesses worldwide.The RoleWe are seeking a highly skilled Compliance Manager to join our London-based team. As a key member of our compliance department, you will be responsible for leading regulatory...
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Regulatory Compliance Specialist
4 days ago
London, Greater London, United Kingdom British Compliance Institute Full timeJob SummaryWe are seeking a highly skilled and experienced professional to join our team at the British Compliance Institute. As a key member of our organization, you will play a critical role in ensuring that our technical operations related to the analysis of pharmaceutical products comply with applicable regulations and guidelines.Key...