Current jobs related to Compliance Monitoring Officer - London, Greater London - Investigo

  • Senior Compliance Monitoring Officer

    5 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    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...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance 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 time

    Compliance 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 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...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance 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 industry standards.Key Responsibilities:Develop and maintain a...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance 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 industry standards.Key Responsibilities:Develop and maintain a...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ProfessionalsJob Title: Collections Data OfficerJob Summary:We are seeking a highly skilled Collections Data Officer to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for ensuring the firm's monitoring and surveillance systems are operating effectively and efficiently.Key...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ProfessionalsJob Title: Collections Data OfficerJob Summary:We are seeking a highly skilled Collections Data Officer to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for ensuring the firm's monitoring and surveillance systems are operating effectively and efficiently.Key...

  • 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

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior 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...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior 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...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior 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...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior 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...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance 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

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior 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...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior 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...

  • Compliance Officer

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a Junior Compliance Officer to support the monitoring and assessment of compliance with regulatory requirements and internal policies. The ideal candidate will have 1-2 years of experience in a regulatory compliance role within the banking space, knowledge of FCA & PRA regulations, and a degree or MBA in Compliance....

  • Compliance Officer

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a Junior Compliance Officer to support the monitoring and assessment of compliance with regulatory requirements and internal policies. The ideal candidate will have 1-2 years of experience in a regulatory compliance role within the banking space, knowledge of FCA & PRA regulations, and a degree or MBA in Compliance....

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring adherence to regulatory requirements and internal policies, monitoring and assessing the effectiveness of compliance controls and procedures, and identifying and reporting compliance risks and...

Compliance Monitoring Officer

2 months ago

London, Greater London, United Kingdom Investigo Full time

About the Role

Investigo is seeking an experienced Compliance Monitoring and Testing Officer VP to join our dynamic team in the investment banking division of a prominent UK bank.

Key Responsibilities

  • Conduct thorough testing and monitoring to identify potential financial crimes, market abuse, manipulation, or other regulatory breaches by clients or staff.
  • Perform routine and ad-hoc tasks essential for the department's risk-based review, monitoring, and testing program.
  • Support the Quality Assurance team by performing quality checks on processes, ensuring senior Compliance management has confidence in the department's effectiveness.

Technical Requirements

  • Lead and manage the execution of complex, risk-based thematic and desk reviews across the London and EMEA business areas, providing assurance over compliance and conduct risks to key stakeholders.
  • Play an integral role in designing and implementing risk-based testing that aligns with the firm's strategic goals.
  • Deliver in-depth technical analysis of regulatory risks and requirements, integrating these insights into testing operations and supporting senior management in risk mitigation.
  • Serve as a subject matter expert (SME) on Compliance, contributing to regulatory implementation projects, staff training, and procedural tasks as necessary.

What We Offer

As a Compliance Monitoring and Testing Officer VP, you will have the opportunity to work in a dynamic team under excellent leadership, with the flexibility of hybrid working—two days in the office per week.