Compliance Monitoring Manager
18 hours ago
We are seeking a highly motivated and experienced Compliance Monitoring Manager to join our UK Client Group Compliance team. As a key member of our team, you will be responsible for providing robust and practical advice on regulatory requirements and approving financial promotions for EMEA and global use.
Key Responsibilities- Provide Compliance advice and guidance to supported business areas on regulatory rules and expectations in relation to financial promotions, client communications, fund offering documents, social media content, and approval processes.
- Manage the review and approval of financial promotions and coordinate on approach, guidance, and processes within EMEA and with global Compliance teams.
- Identify regulatory training requirements within Marketing and Communications (and Product teams). Devise and deliver training to meet identified training requirements.
- Participate in the scoping and performing of Compliance Monitoring reviews in relation to defined areas of activity, as agreed in the annual compliance monitoring programme.
- Ensure that complaints, breaches, and other errors relevant to Marketing and Communications (and Product teams) are appropriately identified, escalated, and resolved.
- Review and provide guidance on Marketing and Communications (and Product teams') policies and procedures to ensure that relevant regulatory requirements are met.
- Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment.
- Leadership and people management skills.
- Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values.
- Strong technical skills and knowledge of both retail and institutional distribution activities and asset management products.
- Confident in dealing with people at all levels, and comfortable with giving presentations and training.
We are a leading investment management company that provides excellent investment performance to clients through active management. We value diversity of thought and foster an inclusive culture that allows us to make better decisions and achieve our purpose.
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AML Compliance and Monitoring Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW: Compliance Professionals is a prominent player in the securities sector, seeking a skilled Compliance AML and Monitoring Officer to enhance their operations. KEY RESPONSIBILITIES:Oversee the client onboarding process, ensuring compliance for various entities including regulated organizations, private corporations, and investment...
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AML Compliance and Monitoring Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW: Compliance Professionals is a prominent entity in the securities sector, dedicated to maintaining the highest standards of compliance and regulatory adherence. We are currently seeking a Compliance AML and Monitoring Officer to enhance our compliance framework. KEY RESPONSIBILITIES:Oversee the client onboarding process, ensuring compliance...
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Senior Compliance Monitoring Associate
3 days ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to...
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Senior Compliance Monitoring Associate
3 days ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to...
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Senior Compliance Monitoring Associate
1 day ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring RoleWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our team at Compliance Recruitment Solutions. As a key member of our compliance monitoring team, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Assist in the delivery of the...
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Senior Compliance Monitoring Associate
1 day ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring RoleWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our team at Compliance Recruitment Solutions. As a key member of our compliance monitoring team, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Assist in the delivery of the...
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AML Compliance and Monitoring Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW: Our client is a prominent player in the securities sector, seeking a skilled Compliance AML and Monitoring Officer to enhance their operations. KEY RESPONSIBILITIES:Oversee the comprehensive onboarding process for clients, which includes regulated entities, private corporations, and investment funds.Conduct Customer Due Diligence (CDD) and...
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Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering Compliance Monitoring Programmes: Assist in the...
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Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering Compliance Monitoring Programmes: Assist in the...
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Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.Compliance Monitoring...
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Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob DescriptionSenior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.Compliance Monitoring...
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Senior Compliance Monitoring Associate
2 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob SummaryWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will be responsible for assisting in the delivery of the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...
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Senior Compliance Monitoring Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeJob SummaryWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will be responsible for assisting in the delivery of the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...
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Compliance Manager
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob DescriptionAbout the RoleWe are seeking a highly skilled Compliance Executive to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.Key ResponsibilitiesManage and oversee the compliance...
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Compliance Manager
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewWe are a leading provider of compliance services, dedicated to helping businesses navigate complex regulatory landscapes. Our team of experts is passionate about delivering high-quality solutions that meet the evolving needs of our clients.Job SummaryWe are seeking a highly skilled Compliance Executive to join our team. As a key member of our...
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Compliance Risk Manager
24 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Monitoring AnalystOur client, a leading London-based investment management firm, is seeking a skilled Compliance Monitoring Analyst to join their team. As a key member of the compliance department, you will play a vital role in ensuring the firm's adherence to regulatory requirements and industry best practices.Key Responsibilities:Collaborate...
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Compliance Risk Manager
23 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Monitoring AnalystOur client, a leading London-based investment management firm, is seeking a skilled Compliance Monitoring Analyst to join their team. As a key member of the compliance department, you will play a vital role in ensuring the firm's adherence to regulatory requirements and industry best practices.Key Responsibilities:Collaborate...
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Compliance Manager
7 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance ManagerCompliance Professionals is seeking a seasoned Compliance Manager to lead our regulatory efforts in London. As a key member of our team, you will be responsible for ensuring our business operations align with relevant FCA and PRA rules.Key Responsibilities:Develop and implement effective regulatory change management processes to minimize...
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Compliance Manager
7 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance ManagerCompliance Professionals is seeking a seasoned Compliance Manager to lead our regulatory efforts in London. As a key member of our team, you will be responsible for ensuring our business operations align with relevant FCA and PRA rules.Key Responsibilities:Develop and implement effective regulatory change management processes to minimize...
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Compliance Manager
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Compliance ManagerCompliance Professionals is seeking a highly skilled Compliance Manager to join our team in London.Key Responsibilities:Lead regulatory horizon scanning and provide risk-based analysis to inform strategic decisions.Drive regulatory change projects and deliver clear progress reporting to senior management.Champion the bank's...
