Compliance Monitoring Specialist

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...

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...

Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

Compliance Monitoring RoleWe are seeking a Senior Compliance Monitoring Associate to join our team. The successful candidate will have at least 2 years of compliance monitoring experience with a wealth management firm or a retail financial advice firm.The role involves assisting in the delivery of the annual compliance monitoring programme, identifying...

Senior Compliance Monitoring Associate RoleWe are seeking a Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. The ideal candidate will have at least 2 years of experience in compliance monitoring within the wealth management or retail financial advice sectors.Key responsibilities include:Delivering the annual compliance...

Job Title: Compliance Monitoring SpecialistMeredith Brown Associates is seeking a highly skilled Compliance Monitoring Specialist to join our team. As a key member of our Compliance Department, you will be responsible for delivering high-quality compliance monitoring services to our clients.Key Responsibilities:Assist in the development and implementation of...

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...

Finitas is seeking a Compliance Monitoring Specialist to join their team on a 12-month FTC basis. The successful candidate will report to the Head of Compliance and be responsible for preparing the annual Compliance Monitoring Plan, conducting compliance monitoring reviews, and preparing compliance monitoring reports.Key Responsibilities:Develop and...

Finitas is seeking a Compliance Monitoring Specialist to join their team on a 12-month FTC basis. The successful candidate will report to the Head of Compliance and be responsible for preparing the annual Compliance Monitoring Plan, conducting compliance monitoring reviews, and preparing compliance monitoring reports.Key responsibilities include:Preparing...

At CFA Institute, we're committed to upholding the highest ethical standards in the financial world. As a Compliance Monitoring Specialist, you'll play a key role in designing, developing, and maintaining a dynamic monitoring program that identifies CFA Institute members and candidates who may have violated the Code of Ethics and Standards of Professional...

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...

We are seeking a highly skilled Compliance Monitoring Specialist to join our team at M&G plc. As a key member of our Compliance function, you will play a critical role in ensuring the delivery of high-quality Compliance monitoring activities across our business.Key Responsibilities:Deliver regular testing, thematic, and ad-hoc reviews to test compliance with...

Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at AXA XL.Key Responsibilities:Support the Head of Compliance Monitoring in providing assurance that regulatory compliance controls are operating effectively by performing and overseeing monitoring reviews.Manage and undertake compliance monitoring and reporting as...

Compliance Officer, Monitoring SpecialistAXA XL is seeking a Compliance Officer, Monitoring Specialist to support the Head of Compliance Monitoring in providing assurance that regulatory compliance controls are operating effectively.Key Responsibilities:Lead monitoring reviews on regulatory topics within a global functionManage and undertake compliance...

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...

MERJE Ltd is seeking a Compliance Monitoring Specialist to join its Central Compliance team. The ideal candidate will have experience in insurance brokerage or a similar industry, with a strong background in data analysis and monitoring. Key responsibilities include:Contributing to initiatives that analyze business metrics and dataSupporting the creation of...

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...

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 Monitoring Manager RoleWe are seeking a skilled Compliance Monitoring Manager to join our client for a 6-12 month assignment. The successful candidate will be responsible for:Developing monitoring programmes and conducting initial workEvaluating findings and recommending control and procedural changesEnsuring compliance with procedures and...

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...