Current jobs related to Compliance Advisory Expert - London, Greater London - Eximius Finance

  • Senior Compliance Advisory Manager

    2 weeks ago

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

    Job Title: Senior Compliance Advisory Manager - Investments/ISAs ExpertJob Summary: We are seeking a highly experienced Compliance Advisory Manager to assist on a new project with a leading Investments & Pensions company. The ideal candidate will have solid compliance experience of advising on Policies & Procedures covering Investments/ISAs and SIPPs.Key...

  • Senior Compliance Advisory Manager

    2 weeks ago

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

    Job Title: Senior Compliance Advisory Manager - Investments/ISAs ExpertJob Description:We are seeking a highly experienced Compliance Advisory Manager to assist our client, a leading Investments & Pensions company, on a new project. The successful candidate will have solid compliance experience of advising on Policies & Procedures covering Investments/ISAs...

  • Compliance Advisory Expert

    3 weeks ago

    London, Greater London, United Kingdom MUFG Bank, Ltd Full time

    At MUFG Bank, Ltd, we are seeking a highly skilled Compliance Advisory Expert to join our team. In this role, you will be responsible for providing advisory coverage across all Private Side businesses, including the Investment and Corporate Banking teams, Capital Markets, Transaction Banking, and Structured Solutions.Main Responsibilities:Provide advisory...

  • Compliance Manager, Compliance Advisory Expert

    3 weeks ago

    London, Greater London, United Kingdom AXA Investment Managers Full time

    Compliance Manager, Compliance Advisory ExpertAt AXA Investment Managers, we are seeking a Compliance Manager, Compliance Advisory Expert to join our team. As a Compliance Manager, you will be responsible for providing expert advice and guidance on compliance matters to our investment teams. You will work closely with our Senior Compliance Manager to ensure...

  • Senior Compliance Advisory Manager

    1 week ago

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

    Job Title: Senior Compliance Advisory ManagerWe are seeking a highly skilled Compliance Advisory Manager to assist a leading Investments & Pensions company on a new project. The role involves reviewing operational SOPs, suggesting amendments, and implementing changes as required. The Compliance Advisory Manager will also engage with regulators and provide...

  • Senior Compliance Advisory Manager

    2 weeks ago

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

    Compliance Advisory Manager OpportunityWe are seeking a Compliance Advisory Manager to assist our client, a leading Investments & Pensions company, on a new project. The role involves reviewing operational SOPs, suggesting amendments and enhanced controls, and advising the business on regulatory interpretation.Key Responsibilities:Review and enhance...

  • Compliance Advisory Expert

    5 days ago

    London, Greater London, United Kingdom Broadgate Full time

    Role OverviewWe are seeking a skilled Compliance Advisory Expert to join our team at Broadgate.Key ResponsibilitiesProvide regulatory advice to the business, building strong relationships and offering constructive challenge when necessary.Lead ad-hoc compliance projects, including process updates, regulatory requests, and breach reviews.Offer compliance...

  • Compliance Advisory Expert

    3 weeks ago

    London, Greater London, United Kingdom MUFG Americas Full time

    Make a meaningful impact at MUFG AmericasDiscover your opportunity with MUFG Americas, a leading financial group. We're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. Our vision is to be the world's most trusted financial group, and we're committed to putting people first, listening to new and...

  • Risk Management and Compliance Expert

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking an experienced AML and Financial Crime Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for managing the financial crime compliance programme, including AML, ABC, Sanctions Compliance, and Criminal Finances Act.Key Responsibilities:Working within the EMEA Financial Crime Team...

  • Compliance Advisory Expert

    2 weeks ago

    London, Greater London, United Kingdom twenty84 Full time

    Job DescriptionSenior Compliance Advisory AnalystWe are seeking a highly experienced compliance advisory professional to support our growing financial markets business. As a Senior Compliance Advisory Analyst, you will work closely with business stakeholders to ensure regulatory alignment across trading, corporate, and wealth services.About the Role:You will...

  • Compliance Advisory Expert

    2 weeks ago

    London, Greater London, United Kingdom Broadgate Full time

    We are seeking a highly skilled Compliance Advisory Professional to support our Investment Management business based in the UK.The role involves developing and maintaining a comprehensive understanding of relevant laws, regulations, and internal policies that apply to the Group.Key responsibilities include:Conducting compliance themed advisory reviews based...

  • Compliance Advisory Professional

    3 weeks ago

    London, Greater London, United Kingdom Danos Group Full time

    Compliance Advisory RoleCurrently recruiting for an AVP level Compliance Advisory professional with experience working in FICC to join a Tier 1 Investment Bank. This is an exciting opportunity to join a market leading business and team, and to further develop your career in this space.Key ResponsibilitiesPrevious experience in compliance advisory within...

  • Compliance Manager, Compliance Advisory Expert

    2 weeks ago

    London, Greater London, United Kingdom AXA Investment Managers Full time

    About the RoleWe are seeking a highly skilled Compliance Manager to join our team at AXA Investment Managers. As a Compliance Manager, you will play a critical role in ensuring that our investment management activities are conducted in accordance with relevant laws and regulations.Key Responsibilities:Provide accurate and timely advice and training to our UK...

  • Compliance Expert

    3 weeks ago

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

    Compliance Consultant RoleOur client, a leading Compliance Consulting Firm, is seeking an experienced Compliance practitioner to join their team. As a Compliance Consultant, you will be responsible for providing strategic compliance advice to clients and ensuring they meet regulatory requirements.Key Responsibilities:Act as the primary compliance resource...

  • Compliance Expert

    3 weeks ago

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

    Compliance Consultant RoleOur client, a leading Compliance Consulting Firm, is seeking an experienced Compliance practitioner to join their team. As a Compliance Consultant, you will be responsible for providing strategic compliance advice to clients and ensuring they meet regulatory requirements.Key Responsibilities:Act as the primary compliance resource...

  • Compliance Advisory Manager

    4 weeks ago

    London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full time

    Compliance Advisory ManagerCoopman Search and Selection, a Certified B Corporation, is partnering with a global alternative asset manager to hire a Compliance Advisory Manager. This role will report directly to the Head of Compliance in the UK and be part of a wider team.Key ResponsibilitiesProvide expert advice on regulatory compliance and risk management...

  • Compliance Advisory Manager

    4 weeks ago

    London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full time

    Compliance Advisory ManagerCoopman Search and Selection, a Certified B Corporation, is partnering with a global alternative asset manager to hire a Compliance Advisory Manager. This role will report directly to the Head of Compliance in the UK and be part of a wider team.Key ResponsibilitiesProvide expert advice on regulatory compliance and risk management...

  • Compliance Advisory Specialist

    2 weeks ago

    London, Greater London, United Kingdom Quilter Full time

    About the RoleThis is an exciting opportunity to join Quilter's Risk team as a Compliance Advisory Specialist. As a key member of the team, you will support the Head of Compliance Advisory and Compliance Advice Manager in delivering an effective and credible compliance advice service to the Affluent segment.Key Responsibilities:Assist with providing expert...

  • Business Advisory Expert

    3 weeks ago

    London, Greater London, United Kingdom BDO UK Full time

    Business Advisory ExpertWe're seeking a Business Advisory Expert to join our team at BDO UK. As a key member of our Business Services and Outsourcing team, you'll play a vital role in providing expert advice and solutions to our clients.Key Responsibilities:Deliver high-quality business advisory services to clients, including accounting, payroll, and...

  • Compliance Advisory Manager

    2 months ago

    London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full time

    Compliance Advisory ManagerCoopman Search and Selection, a Certified B Corporation, is partnering with a global alternative asset manager to find a Compliance Advisory Manager. This role will report directly to the Head of Compliance in the UK and be part of a wider team.Key Responsibilities:Provide expert advice on regulatory compliance to business units...

Compliance Advisory Expert

2 months ago

London, Greater London, United Kingdom Eximius Finance Full time

Key Responsibilities:


• Develop and maintain a deep understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses.

• Stay up-to-date on the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II.

• Utilize portfolio management systems such as Objectway, BITA Risk and ESG monitoring tools like Sustainalytics, Ethical Screening and Clarity AI to support compliance efforts.

• Ensure a good understanding of the FCA rules in relation to suitability and provide guidance to the firm's business.

• Interpret rules and regulations and clearly articulate their application in the context of Eximius Finance's business.

• Manage multiple tasks and priorities to effectively deal with concurrent issues.

• Represent Compliance as required and present information to stakeholders.