Current jobs related to Compliance Specialist - London, Greater London - Goodman Masson

  • Compliance Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Senior Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Senior Compliance SpecialistWe are seeking a highly skilled Senior Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for providing management information and attending relevant internal meetings, responding to queries from across the business relating to SMCR matters, advising business...

  • Compliance Officer Legal Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistWe are seeking a highly skilled Compliance Officer Legal Specialist to join our team at Compliance Professionals. As a key member of our compliance function, you will play a critical role in ensuring our client's compliance with relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Officer Legal Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistWe are seeking a highly skilled Compliance Officer Legal Specialist to join our team at Compliance Professionals. As a key member of our compliance function, you will play a critical role in ensuring our client's compliance with relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Specialist

    2 weeks ago

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

    We are seeking a Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a Compliance Specialist, you will play a key role in ensuring that our firm meets all regulatory requirements and maintains a strong compliance culture.The ideal candidate will have strong analytical skills, an eye for detail, and a drive to embrace greater responsibilities. You...

  • Compliance Risk Specialist

    2 weeks ago

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

    Compliance Risk SpecialistWe are seeking a highly skilled Compliance Risk Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will be responsible for identifying and mitigating compliance risks across the firm.Key Responsibilities:Act as a key point of contact for compliance queries, ensuring all regulatory...

  • Compliance Monitoring Specialist

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Compliance Officer Legal Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Compliance Officer Legal Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Compliance Officer Legal Specialist

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Compliance Officer Legal Specialist

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Financial Crime Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Financial Crime Compliance SpecialistWe are seeking a highly skilled Financial Crime Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for performing compliance controls on the activity of the Company according to the Company's Financial Crime CMP.Key Responsibilities:Implement and update the...

  • Compliance Specialist

    2 weeks ago

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

    Compliance Career Advancement OpportunityWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance department, you will play a vital role in ensuring the firm's continued success by identifying and mitigating regulatory risks.Key Responsibilities:Act as a primary point...

  • Compliance Specialist

    2 weeks ago

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

    Job OverviewWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a vital role in ensuring that our firm operates in accordance with all relevant laws and regulations.Your primary responsibilities will include:Providing expert advice on...

  • Regulatory Compliance Specialist

    2 weeks ago

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

    We are seeking a talented Regulatory Compliance Specialist to join our team at AJ FOX COMPLIANCE. This role offers a fantastic opportunity for a qualified lawyer with regulatory compliance experience to broaden their skill set and work alongside a small team consisting of a compliance assistant, senior compliance lawyer, and the new head of risk who is also...

  • Compliance Risk Specialist

    2 weeks ago

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

    Compliance Role OverviewAJ FOX COMPLIANCE is seeking a skilled Compliance Risk Specialist to support the Compliance team in their London office. The ideal candidate will have experience in law firm risk and compliance, a solid understanding of AML and counter-terrorist financing, and familiarity with using AML databases.Key ResponsibilitiesPerform risk...

  • Senior Risk and Compliance Specialist

    2 weeks ago

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

    Senior Risk and Compliance SpecialistWe are seeking a highly skilled Senior Risk and Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a Senior Risk and Compliance Specialist, you will be responsible for conducting thorough AML checks, ensuring compliance with our firm's policies by reviewing documentation and performing risk assessments for...

  • Financial Services Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Our client, a leading banking firm with a strong global presence, is seeking a skilled Compliance Specialist to join their team. The ideal candidate will have previous experience in SMCR and proficiency in MS Excel. Key responsibilities include providing management information, attending internal meetings, and advising the business on best practices and...

  • Financial Services Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Our client, a leading banking firm with a strong global presence, is seeking a skilled Compliance Specialist to join their team. The ideal candidate will have previous experience in SMCR and proficiency in MS Excel. Key responsibilities include providing management information, attending internal meetings, and advising the business on best practices and...

Compliance Specialist

2 months ago

London, Greater London, United Kingdom Goodman Masson Full time
About the Role

We are seeking a highly skilled Compliance Officer to join our team at Goodman Masson. As a key member of our Advisory Compliance team, you will play a critical role in ensuring our business operations are in line with regulatory requirements.

Key Responsibilities
  • Regulatory Coordination: Collaborate with the Head of Advisory Compliance to coordinate regulatory requirements and business projects, ensuring seamless execution and compliance.
  • Project Support: Work closely with the Advisory team on projects, providing support to team members and sharing knowledge to benefit the entire team.
  • Regulatory Compliance: Ensure our business operations comply with regulatory requirements, providing guidance and direction to colleagues as needed.
  • Regulatory Updates: Attend regular business and governance meetings to provide updates on regulatory developments, risks, and relevant actions.
  • Compliance Advice: Offer compliance advice and challenges to colleagues on regulatory issues and risks related to their business or function.
  • Communication: Foster open communication between Compliance and the business, keeping the business informed about current Compliance initiatives and projects.
  • Regulatory Knowledge: Stay informed about regulatory developments, support the business in assessing their impacts, and provide advice on challenges and proposed implementations.
Requirements
  • Relevant Experience: Extensive experience in compliance within the investments industry, gained through work with investment advisory/consulting firms or investment/wealth management companies.
  • Investment Knowledge: In-depth knowledge of investment products, with a particular emphasis on collective investment vehicles.
  • Relationship Building: Demonstrated success in establishing and maintaining strong, constructive relationships with business leaders.
  • Regulatory Knowledge: Comprehensive understanding of the FCA Handbook, including its principles, rules, and guidelines.
  • Commercial Acumen: Strong commercial acumen with a focus on the practical and proportionate application of regulations within the investments sector.
  • Communication Skills: Excellent verbal and written communication skills, with the confidence to convey information effectively.
  • Organizational Skills: Superior organisational and time management abilities.
What We Offer

We offer a dynamic and supportive work environment, with opportunities for professional growth and development. If you are a motivated and experienced Compliance Officer looking for a new challenge, please apply.