Senior Compliance Advisory Specialist

**THE COMPANY**: Our client is a leading independent Brokerage firm based in the City. **THE RESPONSIBILITIES**: - Providing compliance advisory support to a cash equity business control - Trade and communications surveillance - SMCR support - AML/KYC account opening and reassessment - General research issues **EXPERIENCE REQUIRED**: - General compliance...

**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 providing Compliance Advisory support to the Business -...

Position OverviewThe Electoral Commission is pleased to announce a vacancy for a Senior Compliance Advisory Specialist within our esteemed organization.Location: Flexible working options available Department: Regulation and Digital Transformation Compensation: Competitive salary based on location Employment Type: Full-Time, Permanent About the Electoral...

Position OverviewWe are collaborating with InterQuest Group, a leading consultancy firm committed to delivering exceptional advisory solutions. As the firm expands its reach, we are in search of outstanding professionals at various levels to enhance our advisory team. Our goal is to significantly elevate our advisory services in the coming year, and we are...

CompanyLutine Bell are supporting a Investment Management firm in the South West area to appoint a Senior Compliance Advisory Manager.RoleDeveloping and maintaining a comprehensive understanding of the relevant laws, regulations and internal policies which apply to the business.Keeping the Regulatory development log alongside business impact assessments and...

CompanyLutine Bell are supporting a Investment Management firm in the South West area to appoint a Senior Compliance Advisory Manager.RoleDeveloping and maintaining a comprehensive understanding of the relevant laws, regulations and internal policies which apply to the business.Keeping the Regulatory development log alongside business impact assessments and...

Company Lutine Bell are supporting a Investment Management firm in the South West area to appoint a Senior Compliance Advisory Manager. Role Developing and maintaining a comprehensive understanding of the relevant laws, regulations and internal policies which apply to the business. Keeping the Regulatory development log alongside business impact...

Position OverviewOur client, a prominent international commercial banking institution, is seeking a Lead Compliance Oversight Specialist to oversee the compliance framework within their operations.Key ResponsibilitiesCompliance Framework Management: Develop and maintain the policies and procedures that constitute the compliance framework.Regulatory Review:...

CompanyLutine Bell are supporting a Investment Management firm in the South West area to appoint a Senior Compliance Advisory Manager.Find out exactly what skills, experience, and qualifications you will need to succeed in this role before applying below.RoleDeveloping and maintaining a comprehensive understanding of the relevant laws, regulations and...

**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 a Compliance Officer with a Financial Crime focus to join the thriving team. **THE RESPONSIBILITIES**: - Review complex documentation and AML/KYC information for new clients at...

Job Summary:Eximius Finance is seeking a highly skilled Compliance Advisory Specialist to join our team. As a key member of our compliance department, you will play a critical role in ensuring that our financial services business operates in accordance with all relevant regulations and laws.Key Responsibilities:Develop and maintain a deep understanding of...

Job Summary:Eximius Finance is seeking a highly skilled Compliance Advisory Specialist to join our team. As a key member of our compliance department, you will play a critical role in ensuring that our financial services business operates in accordance with all relevant regulations and laws.Key Responsibilities:Develop and maintain a deep understanding of...

Our client are a leading Asset Manager with a Global Presence, seeking to enhance their team through the addition of a Senior Compliance Advisory professional.Your responsibilities will include:Building and developing relationships across the business by providing compliance advice and guidance to the business on relevant regulatory issuesProvide advice on...

Key Responsibilities: • Develop and maintain a deep understanding of the FCA regulations applicable to Investment Management and Advisory businesses, including those related to ESG, Principles for Responsible Investment, TCFD, Stewardship Code, and SRD II. • Utilize portfolio management systems such as Objectway, BITA Risk, and ESG monitoring tools like...

Key Responsibilities: • Develop and maintain a deep understanding of the FCA regulations applicable to Investment Management and Advisory businesses, including those related to ESG, Principles for Responsible Investment, TCFD, Stewardship Code, and SRD II. • Utilize portfolio management systems such as Objectway, BITA Risk, and ESG monitoring tools like...

Position Overview:We are seeking a skilled Compliance Advisory professional to join the esteemed Danos Group. The ideal candidate will possess substantial experience in compliance advisory roles, particularly within the realm of Fixed Income, Currencies, and Commodities (FICC). A proven ability to engage with business stakeholders and a solid understanding...

Interpath Advisory is looking for a seasoned Senior Manager to become a vital part of our Financial Advisory Services team. In this role, you will collaborate closely with our executive leadership to manage intricate Financial Advisory projects and spearhead business development initiatives, including the creation and presentation of marketing content and...

About the RoleWe are seeking a seasoned Compliance Advisory Director to lead our team in a senior level position. The ideal candidate will have a strong background in Compliance Advisory and a proven track record of success in a similar role.About the BusinessOur client is a leading Asset Manager with a strong success story over the past decade. They have...

About the RoleWe are seeking a seasoned Compliance Advisory Director to lead our team in a senior level position. The ideal candidate will have a strong background in Compliance Advisory and a proven track record of success in a similar role.About the BusinessOur client is a leading Asset Manager with a strong success story over the past decade. They have...

Interpath Advisory is looking for a skilled Senior Manager to join our Financial Advisory Services team. In this pivotal role, you will collaborate with our leadership team to execute intricate financial advisory projects and spearhead business development initiatives, including the creation and presentation of marketing materials and thought leadership.Our...