Compliance and Governance Expert
1 day ago
We are looking for a talented Compliance Analyst to join our team in London. As a key member of our compliance function, you will be responsible for ensuring that our business operations are compliant with relevant regulations and laws.
Estimated salary: £50,000 - £70,000 per annum.
Key Responsibilities- BEST Execution Outlier Monitoring and Improvements using LiquidMetrix
- Investigating Market Abuse Escalations, with initial case loads outsourced
- Bloomberg Vault Communications Monitoring and Escalation Point
- Providing Committee MI on Market Abuse
- Market Soundings and Gatekeeper Processes
- Regulatory Disclosures - Major Shareholding, Takeover Panel, Short Positions
- Fund Manager Change in Control Checks
- PA Dealing and Gifts & Hospitality Approvals
- Broker Take-on Process
- Compliance Monitoring Thematic Reviews as Required
- Project Work as Required
- Supporting Investment Guidelines Daily Work and Projects as Required
- Number of years in asset management or comparable financial services roles
- Strong written communication skills and experience of report and policy writing
- Technical and practical expertise of fund regulations and their application
- Knowledge of products offered by the firm and importance of being a regulated firm as applicable to the role
- Good understanding of FCA's Senior Managers and Certification Regime and how it applies to the role
- Understanding of rules, regulations, policies, and procedures as set out in Compliance Manual
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Compliance Governance Executive
3 days ago
London, Greater London, United Kingdom AJ Fox Compliance Full timeJob OverviewAJ Fox Compliance is a leading law firm dedicated to providing expert risk management and compliance services. We're currently seeking a skilled Compliance Governance Executive to join our team.The estimated annual salary for this position is around $125,000, based on industry standards. As a key member of our team, you'll collaborate with senior...
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Senior Governance and Compliance Advisor
7 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeWe're seeking a highly experienced Senior Governance and Compliance Advisor to join our team at AJ FOX COMPLIANCE. As a key member of our governance function, you'll play a critical role in ensuring our business operates with the highest standards of ethics and compliance.Your expertise in governance and compliance will be invaluable in helping us navigate...
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Compliance Governance Specialist
1 week ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob OverviewCareer opportunities have arisen for a Compliance Governance Specialist to join our team at Compliance Professionals. Based in London, this role will suit an individual with experience in Public Markets.About the RoleThis is a senior leadership position that requires the successful candidate to maintain policies and procedures governing IPO and...
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Information Governance Compliance Expert
1 week ago
London, Greater London, United Kingdom IGS | Information Governance Services Full time £27,000 - £30,000We are seeking a highly skilled Data Protection Law Trainee to join our team at IGS | Information Governance Services. This role offers the opportunity to develop cutting-edge solutions for our clients, helping them remain competitive in the market.Job DescriptionAs a Data Protection Law Trainee, you will be responsible for providing relevant and up-to-date...
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Governance and Compliance Experts
3 days ago
London, Greater London, United Kingdom William College Full timeWilliam College is seeking Governance and Compliance Experts to join its Board of Governors. As a member of the Board, you will contribute to the development and implementation of robust governance frameworks and policies, ensuring compliance with all legal, financial, and educational standards.The ideal candidate will have proven experience in a senior...
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Compliance and Governance Expert
3 weeks ago
London, Greater London, United Kingdom Legal & General Full timeJob SummaryWe are seeking a highly skilled Compliance and Governance Expert to join our Asset Management Division. As a key member of our team, you will ensure effective compliance and governance across our operations, focusing on outsourced third-party relationships.Key ResponsibilitiesYou will be responsible for:Monitoring and reporting on compliance and...
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Governance and Compliance Expert
5 days ago
London, Greater London, United Kingdom Emagine Consulting Full timeWe are seeking a Governance and Compliance Expert to join our team at Emagine Consulting in London. As a key member of our regulatory department, you will be responsible for leading the Trade & Transaction Reporting (T&TR) portfolio, managing cross-regulatory programmes, and ensuring compliance with various regulatory requirements.Key...
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Compliance and Governance Expert
1 month ago
London, Greater London, United Kingdom Glencore Full timeJob Title: Compliance and Governance ExpertLocation: London, UK (Remote Working)About the RoleThe Compliance and Governance Expert will be responsible for implementing and overseeing the global HR governance and assurance framework, ensuring compliance with legal and regulatory standards.This role reports to the Head of Governance and Assurance and ensures...
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Workday Governance and Compliance Expert
7 days ago
London, Greater London, United Kingdom MUFG Bank, Ltd Full timeJob Title: Workday Governance and Compliance ExpertEstimated Salary: £100,000 - £150,000 per annum.About the Role:We are seeking a highly experienced Workday Governance and Compliance Expert to join our team at MUFG Bank, Ltd. The successful candidate will be responsible for overseeing the governance and compliance of our Workday system, ensuring that it...
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Compliance and Governance Expert
4 weeks ago
London, Greater London, United Kingdom Howden Group Holdings Full timeHowden Group Holdings is a global leader in insurance broking and underwriting. We're seeking an experienced Compliance and Governance Expert to join our team in London. This is a fantastic opportunity for a talented individual to develop their career and make a real impact within our organization.Job OverviewThe successful candidate will be responsible for...
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Compliance Governance Manager
2 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full time**Job Summary**We are seeking a highly skilled Compliance Governance Manager to join our team in London. The successful candidate will be responsible for executing all testing and monitoring activities in a timely and thorough manner in accordance with industry standards.The ideal candidate will have a pragmatic, commercial and creative approach to problem...
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Senior Governance and Compliance Officer
3 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob Overview:As a Senior Governance and Compliance Officer at AJ FOX COMPLIANCE, you will play a key role in ensuring that our organization meets its regulatory obligations and maintains the highest standards of governance and compliance. This is an exciting opportunity for someone who is passionate about risk management, governance, and compliance.About...
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Compliance and Data Governance Lead
1 day ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAbout the Role: AJ FOX COMPLIANCE is currently seeking a talented Compliance and Data Governance Lead to join our dedicated team. As a key member of our organisation, you will be responsible for developing and implementing robust data governance frameworks that align with industry standards and regulatory requirements.In this significant role, you...
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Risk Governance
4 weeks ago
London, Greater London, United Kingdom Risk & Compliance Platform Full timeAbout the CompanyRisk & Compliance Platform is a leading provider of risk and compliance solutions to businesses across various industries. We pride ourselves on delivering high-quality services that meet the needs of our clients.About the RoleWe are currently seeking a highly skilled Risk Governance & Compliance Specialist to join our team. The successful...
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Governance Risk and Compliance Expert
1 month ago
London, Greater London, United Kingdom Advania Company Full timeJob Title: Governance Risk and Compliance ExpertLocation: Remote or HybridAbout Advania: We provide the necessary training to help you excel in this role.About the Role:We are seeking an experienced Governance Risk and Compliance Expert to join our team. The successful candidate will have a strong background in governance, risk, and compliance and experience...
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Medical Governance and Compliance Expert
4 weeks ago
London, Greater London, United Kingdom Viiv Healthcare Full timeUnlock Your Potential in Medical Governance and ComplianceThis is an exciting opportunity to join Viiv Healthcare as a Medical Governance and Compliance expert, where you will play a key role in ensuring the highest standards of medical governance and compliance within our organization.Job Description:Review and optimize onboarding processes for medical...
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Risk Governance Expert
1 week ago
London, Greater London, United Kingdom Compliance Professionals Full timeAbout the Role:This is an exciting opportunity for a Compliance expert to join our growing organization and take on a leadership role in ensuring compliance with relevant regulations. The successful candidate will oversee compliance with beneficial ownership and other trade reporting rules, prepare and submit filings with international regulators, and...
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Compliance and Governance Professional
5 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAJ FOX COMPLIANCE is seeking a talented Compliance and Governance Professional to join their Risk & Compliance team in London.The successful candidate will have experience in law firm regulation, complaints handling or commercial contracts, and be able to assist Senior staff in addressing strategic and operational issues.Responsibilities include...
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Risk Governance and Compliance Expert
4 weeks ago
London, Greater London, United Kingdom Barclay Simpson Full timeJob DescriptionBarclay Simpson is seeking a highly skilled Risk Governance and Compliance Expert to join our team. In this role, you will play a key part in ensuring that our organization operates within a framework of effective risk governance and compliance.The ideal candidate will have a strong background in risk management within a small - medium size...
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Compliance and Governance Expert
3 weeks ago
London, Greater London, United Kingdom Austin Andrew Full timeAustin Andrew is recruiting an experienced Compliance and Governance Expert to fill a key role within our organisation. This is a fixed-term contract position lasting 12 months.About the RoleThe successful candidate will possess excellent knowledge of asset management compliance principles and practices.This is an excellent opportunity to develop your skills...