Consumer Duty Compliance Officer

About CMC MarketsCMC Markets is one of the world's first ever fin-tech companies, launched in 1989 to break down the barriers of financial trading and make trading accessible to everyone.Our mission is to use our award-winning, Next Generation trading platform and unparalleled client service to empower millions of people to have the best trading experience...

A prestigious and established investment firm in the heart of the City of London is seeking a talented Compliance Manager – Consumer Duty to join their team in this newly created role. This dynamic and multifaceted position offers an exceptional opportunity for an experienced professional to work across the business, driving excellence and ensuring...

Job Title: Compliance ManagerJob Summary:We are seeking a highly skilled Compliance Manager to join our team at Compliance Professionals. The successful candidate will be responsible for managing a small team and will be required to work 4 days in the office.Key Responsibilities:Consideration of all relevant statutory and regulatory provisions, particularly...

Job DescriptionAs a Conduct Risk Manager, you will oversee the management of Conduct and Complaints teams, focusing on delivering exceptional results while upholding regulatory compliance.You will work closely with Compliance professionals to develop and implement strategies that ensure the company meets its Conduct Risk and Consumer Duty obligations.

eTeam, Inc. is looking for a skilled Consumer Duty Project Coordinator to join our team. The role involves providing support in process mapping for Business areas as part of the Consumer Duty project.Job Requirements:Retail Banking experience with knowledge of Consumer Duty principlesStrong analytical skills with ability to analyze and document...

Job SummaryWe are seeking a highly skilled and experienced Compliance Officer to join our team at Compliance Professionals in London. The successful candidate will be responsible for ensuring that all regulatory requirements are met and maintained, while also providing administrative support to the legal department.Key Responsibilities:Writing minutes and...

Mortgage Compliance Officer / Business Assurance Officer - MortgagesAre you interested in working for a leading financial services provider based in the City of London?An opportunity is available for a Business Assurance Officer to join the compliance team, ensuring that the business assurance / consumer duty is maintained in areas of regulated and...

Compliance Officer Role:Compliance Professionals is seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance department, you will be responsible for assisting with the management of our compliance monitoring program and ensuring adherence to all applicable regulatory obligations.Responsibilities:Consideration of all...

Compliance and Risk Management RoleWe are seeking a skilled Risk and Controls Manager to join our team at Monzo. This role will be responsible for ensuring the effective management of risks and controls across the business, particularly in relation to Consumer Duty.

Compliance Monitoring and Regulatory ComplianceWe are seeking an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in regulatory compliance and experience in managing a small team.Key Responsibilities:Monitor and review all relevant statutory and regulatory provisions, including...

About the Role:Compliance Professionals seeks a skilled Compliance Officer - Financial Markets to join our team. The ideal candidate will have experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.Key Responsibilities:Develop and implement daily alert review and escalation processes for MAR...

Compliance Professionals is looking for a highly motivated Market Surveillance Officer to assist us in maintaining a fair and transparent financial market.Job Description:Assisting with the annual market abuse risk assessment.Reviewing and reporting on market surveillance alerts and electronic communications to identify suspicious behaviour.You will work...

Job DescriptionA career opportunity has arisen for an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection.About the RoleWe are seeking a highly motivated individual to oversee the compliance function within our...

Compliance Officer RoleWe are seeking a seasoned Compliance Officer to join our team at Compliance Professionals. As a specialist mortgage lending company, we require a professional with a strong background in compliance and financial crimes to ensure our operations meet the highest regulatory standards.Key ResponsibilitiesMaintain and develop compliance...

At AJ FOX COMPLIANCE, we are seeking an AML Compliance Officer to support the firm's Bristol office in delivering a top-quality service to the firm's management and lawyers. The successful candidate will oversee AML CDD, risk assessments, and ongoing monitoring.Key responsibilities;Lead the team and manage AML CDD and risk assessments.Review and update the...

About the RoleAs a Compliance Risk Officer at Harrison Holgate, you will play a pivotal role in ensuring our organisation adheres to all relevant regulatory requirements and internal policies within the insurance sector.This exciting opportunity involves developing and implementing compliance programs, providing guidance on regulatory matters, and monitoring...

LHV Bank is a leading Banking Services provider, delivering a wide range of services to global fintechs and UK businesses. The SME Lending division offers commercial real estate investment loans and trading loans to small and medium-sized businesses in the UK.As a key player in the industry, LHV Bank delivers real-time multi-currency payments, accounts,...

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...

Job Description:The Duty Management Specialist will play a pivotal role in ensuring the organization's compliance with Consumer Duty requirements. This involves working closely with Consumer Duty Champions to keep them updated on key actions and projects. The ideal candidate will have general financial services and compliance-related experience (at least 3...

We are looking for an AML Compliance Officer to join our team in Kent. As an AML Compliance Officer, you will play a key role in ensuring that our organisation remains compliant with all relevant AML regulations.About the Role:You will be responsible for overseeing the first line of defence activities, including reviewing Client Onboarding, Beneficiary...