Compliance and Regulatory Professional

1 week ago

London, Greater London, United Kingdom Leverton Search Full time
Job Overview

We are seeking a seasoned professional to join our team at Leverton Search as an Operational Risk Manager. This is an exciting opportunity to leverage your expertise in operational risk management, compliance, and regulation within the investment management industry.

Key Responsibilities:

  • Develop and execute an operational risk monitoring plan, including risk frameworks and matrices, to ensure the effective management of business risks.
  • Identify key business risks and implement mitigation strategies to minimize potential losses and ensure compliance with regulatory requirements.
  • Conduct thorough operational risk reviews, draft detailed reports, and monitor issue resolution to ensure timely and effective resolution of risks.
  • Manage third-party risk assessments and track counterparty credit exposures to ensure the integrity of our business relationships.
  • Assist with compliance tasks, such as reviewing client communications, regulatory filings, and marketing materials, to ensure adherence to regulatory requirements.
  • Support the creation and upkeep of compliance and legal documentation to ensure accuracy and completeness.
  • Contribute to cybersecurity and data protection measures to ensure the confidentiality, integrity, and availability of our data.
  • Stay informed on regulatory developments and assist in training staff to ensure they are equipped to manage operational risks effectively.

Ideal Candidate:

  • 5-10 years+ experience in operational risk management and compliance within asset management, with a proven track record of running internal audits.
  • Deep understanding of regulatory frameworks and the ability to apply this knowledge to ensure compliance.
  • Demonstrable ability to conduct internal audits and operational risk monitoring reviews, with a keen eye for detail.
  • An interest in regulatory, legal, tax, and accounting issues, with a strong analytical and communication skillset.

What We Offer:

At Leverton Search, we prioritize equity throughout the entire recruitment process, ensuring fairness and equal opportunities for all candidates. If there is anything we can do to make the process more accessible to you, please don't hesitate to let us know.

Please be aware that due to the number of applications, we may only be able to respond to suitable applicants.

  • Compliance Director

    21 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:Job Title: Compliance Director - Regulatory ExpertCompany: Compliance ProfessionalsJob Type: Full-timeLocation: LondonJob Category: ComplianceJob Description:We are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. As a Compliance Director, you will be responsible for ensuring that our organization's...

  • Compliance Director

    23 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:Job Title: Compliance Director - Regulatory ExpertCompany: Compliance ProfessionalsJob Type: Full-timeLocation: LondonJob Category: ComplianceJob Description:We are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. As a Compliance Director, you will be responsible for ensuring that our organization's...

  • Compliance Manager

    1 day ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals is seeking a highly skilled Compliance Manager to join our team. As a Compliance Manager, you will play a critical role in ensuring that our organization operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective compliance policies and...

  • Compliance Manager

    24 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals is seeking a highly skilled Compliance Manager to join our team. As a Compliance Manager, you will play a critical role in ensuring that our organization operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective compliance policies and...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position 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...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position 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...

  • Head of Regulatory Compliance

    3 days ago

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

    Job 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...

  • Head of Regulatory Compliance

    3 days ago

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

    Job 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...

  • Regulatory Compliance Leader

    1 day ago

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

    Job DescriptionJob Title: Head of RegulatoryCompany: AJ FOX COMPLIANCEJob Type: Full-timeIndustry: Legal ServicesLocation: Remote (Global)About Us: AJ FOX COMPLIANCE is a leading provider of compliance solutions to the legal industry.Job Summary:We are seeking a highly experienced and skilled Head of Regulatory to lead our compliance strategy and team. The...

  • Regulatory Compliance Leader

    24 hours ago

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

    Job DescriptionJob Title: Head of RegulatoryCompany: AJ FOX COMPLIANCEJob Type: Full-timeIndustry: Legal ServicesLocation: Remote (Global)About Us: AJ FOX COMPLIANCE is a leading provider of compliance solutions to the legal industry.Job Summary:We are seeking a highly experienced and skilled Head of Regulatory to lead our compliance strategy and team. The...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    ABOUT 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...

  • Compliance Director

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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...

  • Compliance Director

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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...

  • Regulatory Compliance Consultant

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY 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...

  • Regulatory Compliance Consultant

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY 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...

  • Regulatory Compliance Consultant

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY 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...

  • Compliance Manager

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company 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...

  • Compliance Manager

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company 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...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    ABOUT 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...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    COMPANY 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...