Compliance Officer
1 month ago
Our client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.
Key Responsibilities:- Develop and maintain a daily alert review and escalation process for MAR Surveillance.
- Perform ongoing maintenance of systems, review alert settings, and test system parameters.
- Provide ad-hoc advice to the business and stay up-to-date with regulatory changes, their impact, and provide updates to the business and executive committee as necessary.
- Review and build out the Compliance Monitoring Plan/Surveillance programme, assisting the wider compliance team.
- Identify and escalate current regulatory issues to ensure the firm remains compliant with its obligations.
- Review current and future regulatory changes and provide recommendations to the business on the likely impact.
- Manage compliance IT projects, specifically for the ongoing improvement of the firm's monitoring and surveillance systems.
- Conduct monitoring reviews in line with the Compliance Monitoring Plan.
- Report compliance monitoring and surveillance program status and activities.
- Produce monthly Management Information in respect of monitoring and surveillance program and Consumer Duty, as well as ad-hoc reports as required.
- Handle staff dealing approval, monitoring, and review of staff dealing-related reports.
- Support disclosures of interest and other regulatory reporting and filing.
- Support regulatory filing and liaise with UK authorities on their enquiries.
- Experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling, or banking environment.
- Knowledge of the rules and regulations of the UK FCA and other applicable regulatory agencies.
- Knowledge of Financial markets and products.
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Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...
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Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...
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Compliance Officer
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...
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Compliance Officer
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...
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Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong organizational skills and the ability to work effectively in a fast-paced environment.Key Responsibilities:Monitor and assess compliance with regulatory...
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Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong organizational skills and the ability to work effectively in a fast-paced environment.Key Responsibilities:Monitor and assess compliance with regulatory...
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Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that offers a unique opportunity to work with a boutique wholesale bank.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist...
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Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that offers a unique opportunity to work with a boutique wholesale bank.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist...
-
Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...
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Compliance Officer
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...
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Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...
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Compliance Officer
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...
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Compliance Officer
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer RoleWe are seeking a Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist with the development and implementation of compliance policies and...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the development and implementation...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJunior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the development and implementation...
-
Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.Key...
-
Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.Key...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and maintain compliance policies and...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and maintain compliance policies and...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...
