Asset Compliance Specialist

Role OverviewBrookfield Asset Management is seeking a Compliance Marketing Specialist to play a key role in the Compliance regulatory marketing review process.The ideal candidate will possess a strong working knowledge of European and U.S. regulatory requirements, including ESMA Marketing Guidelines, SEC New Marketing Rule, and FINRA marketing...

Asset Manager Compliance RoleAustin Andrew Ltd, a leading asset manager, is looking for a talented individual to fill the position of Compliance Specialist - 12 month FTC at its London offices.This role involves a range of compliance responsibilities, including reporting, SMCR, AML due diligence, ad-hoc advice, and central compliance.We operate a hybrid...

Job TitleCompliance Director - Financial Crime SpecialistCompany OverviewOur client is a leading global investment management business with offices in the West End. We have been exclusively instructed to assist with their hire of a Compliance Director on a 13-month fixed-term contract.About the RoleThe Compliance Director will work within the region to...

Job Title: Compliance Marketing SpecialistJob Summary:We are seeking a highly skilled Compliance Marketing Specialist to join our team at Brookfield Asset Management, Inc. This role will be responsible for reviewing and approving marketing materials, advertisements, and sales literature in accordance with company policies, FCA, MAS, and ESMA rules, and other...

Job Title: Contract Officer - Asset ManagementJob Summary: We are seeking a highly skilled Contract Officer to join our team at iO Associates. As a Contract Officer - Asset Management, you will be responsible for overseeing asset compliance contracts, resolving queries and complaints, and organizing contract review meetings.Key Responsibilities:Assist the...

Company OverviewWe are a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market.About the RoleThis is an exciting opportunity to join our team as a Regulatory Affairs Specialist in the Compliance Monitoring department. As a key member of our team, you will play a vital role in ensuring adherence to regulatory...

About the RoleThe Compliance Specialist will support the onboarding process and third-party risk management, focusing on Know Your Customer (KYC) while also assisting with broader aspects of the Compliance Programme, such as risk assessments, screening and training.Key ResponsibilitiesSupport the onboarding process and third-party risk management, with a...

Compliance ManagerThe Compliance Professionals are seeking a highly skilled Regulatory Compliance Specialist to join their London-based compliance team. This is a challenging and rewarding role that requires strong knowledge of regulatory requirements and compliance best practices.About the Role:This position plays a crucial role in ensuring adherence to...

Job DescriptionWe are partnering with a global alternative asset manager to hire a Regulatory Compliance Specialist - Real Assets. The role will report directly into the Head of Compliance and form part of a wider team.This is a key position supporting the Real Assets business (Real Estate, Infrastructure, Natural Resources, and Energy) by providing expert...

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...

At Sovos Compliance, we are seeking a talented Compliance Associate Specialist to join our team. As a key member of our growing Compliance Services team, you will play a crucial role in ensuring the accurate preparation and filing of IPT returns for our clients.The ideal candidate will possess excellent attention to detail, strong analytical skills, and the...

Job DescriptionCompliance Professionals is seeking a highly skilled Regulatory Compliance Specialist to join our team.About the RoleThis exciting opportunity allows you to utilize your expertise in regulatory compliance to provide comprehensive advice on requirements and interpret complex regulatory changes. You will work closely with key stakeholders,...

About the Role:We are seeking a highly skilled Compliance Officer - Financial Promotions to join our team. The ideal candidate will have a strong background in generalist compliance and experience working in the financial services sector. A financial services background is essential, with asset management exposure being a plus.Key Responsibilities:Monitoring...

About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...

Job Title: Head of Asset ManagementJob Summary:We are seeking a highly experienced and skilled Head of Asset Management to join our Compliance Professionals team. The successful candidate will be responsible for leading and managing the account opening KYC profiles for wealth management clients, ensuring compliance with bank policies and regulatory...

Job Title: Senior Wealth Management Compliance SpecialistJob Summary: We are seeking a highly skilled Senior Wealth Management Compliance Specialist to join our team at Compliance Professionals. As a Senior Wealth Management Compliance Specialist, you will be responsible for leading the onboarding process for wealth management clients, ensuring compliance...

Role Overview:We are seeking a skilled Junior Compliance Officer to support the monitoring and assessment of compliance with regulatory requirements and internal policies at a boutique wholesale bank.Key Responsibilities:Support the development and implementation of compliance policies and procedures.Conduct periodic compliance reviews and audits to ensure...

**About Compliance Professionals**We are a reputable brokerage firm based in the City, seeking a highly skilled Financial Markets Compliance Specialist to join our team on an FTC basis.**Estimated Salary:** £60,000 - £80,000 per annum, depending on experience**Job Description:**Key ResponsibilitiesMonitor and address market surveillance alerts and...

Compliance Manager (Surveillance) RoleWe are seeking a skilled Compliance Manager (Surveillance) to join our team at Legal & General. As a key member of our Asset Management division, you will play a critical role in ensuring our regulated entities operate within the bounds of relevant regulations and risk appetite.Provide high-quality compliance...

Job DescriptionWe are seeking an experienced Regulatory Compliance Specialist to join our team at Eximius Finance. The ideal candidate will have a strong background in regulatory compliance, with experience in the asset management industry.About the RoleThis is an exciting opportunity for a motivated and detail-oriented individual to work closely with our...