Compliance Associate

6 days ago

London, Greater London, United Kingdom cer Financial Full time

Job Description

Compliance Associate

Up to £65k Hybrid working ( 2 days per week in London office)ASAP start date (permanent)Annual bonus

The client is a well-established wealth management firm based in central London, providing financial services to private and institutional clients in the UK and South Africa. Currently has over £1 billion under management in 7000 accounts.

This is a compliance monitoring role in the investment compliance area however, the ideal candidate will also need an understanding of general compliance. The appropriate candidate must have experience working within asset / investment / fund management or stockbroking.

Responsibilities – Overseeing compliance requirements within the following investment areas:

Best executionMarket abuse/ Personal account dealing.Monitoring suitability and appropriatenessUCITS funds

Will also be required to:

Sign off financial promotions.Monitor training and competence within the business

  • graduate trainee compliance associate

    2 weeks ago

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

    GRADUATE TRAINEE COMPLIANCE ASSOCIATE - 6 MONTHS EXPERIENCE IN FINANCIAL SERVICES AML, AUDIT, COMPLIANCE OR OPERATIONS REQUIRED.£30K plus Bonus & Benefits Hybrid (London)Ref: 4104GOur client, a leading Asset Manager, is looking for an entry level Compliance Associate to join their growing team. Reporting to the Head of Compliance and working within a...

  • Associate Compliance Advisor

    1 week ago

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

    Associate Compliance Advisor - Compliance Recruitment SolutionsRef:4090D4We are recruiting a compliance advisory manager for our client, a leading Investment Management Group. Providing advice and guidance to a portfolio of Appointed Representatives ("ARs"), duties will include:Leading ongoing and ad hoc tasks as required, in particular around signing off...

  • Compliance Analyst

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    A dynamic leading law firm is seeking a Compliance Analyst to join their team in their London office. Within this role, you will assist in internal and external compliance issues, support senior management and assist with various AML projects.The ideal candidate has several years of experience in legal compliance, most desirably gained within the legal...

  • Compliance Analyst

    2 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    A dynamic leading law firm is seeking a Compliance Analyst to join their team in their London office. Within this role, you will assist in internal and external compliance issues, support senior management and assist with various AML projects.The ideal candidate has several years of experience in legal compliance, most desirably gained within the legal...

  • Compliance Analyst

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    This range is provided by AJ FOX COMPLIANCE. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay rangeA dynamic leading law firm is seeking a Compliance Analyst to join their team in their London office. Within this role, you will assist in internal and external compliance issues, support senior...

  • GRADUATE TRAINEE COMPLIANCE Associate

    5 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Full time

    Graduate Trainee Compliance Associate - 6 Months Experience in Financial Services (AML, Audit, Compliance, or Operations) RequiredThis role is based in London with a hybrid work model (3 days a week: T/W/Th). The position offers a base salary of £30K plus bonus and benefits. The successful candidate will join a leading Asset Manager, reporting to the Head...

  • GRADUATE TRAINEE COMPLIANCE Associate

    18 hours ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Full time

    Graduate Trainee Compliance Associate - 6 Months Experience in Financial Services (AML, Audit, Compliance, or Operations) RequiredThis role is based in London with a hybrid work model (3 days a week: T/W/Th). The position offers a base salary of £30K plus bonus and benefits. The successful candidate will join a leading Asset Manager, reporting to the Head...

  • Compliance Associate

    5 days ago

    London, Greater London, United Kingdom Black Swan Group Full time

    Direct message the job poster from Black Swan GroupRecruiting Compliance, Legal, and Risk Professionals in LondonCompliance Associate – Private Equity - LondonCompany Overview:Our client is a private equity firm based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations...

  • Compliance Associate

    2 weeks ago

    London, Greater London, United Kingdom JR United Kingdom Full time

    Social network you want to login/join with:Compliance Associate - Monitoring, LondonLocation: London, United KingdomJob Category:OtherEU work permit required:YesJob Views:1Posted:30.03.2025Expiry Date:14.05.2025Job Description:Compliance MonitoringA leading brokerage is seeking a Compliance Associate to join its growing Compliance Team. This opportunity is a...

  • Compliance Associate

    1 week ago

    London, Greater London, United Kingdom Upward Trend Full time

    This range is provided by Upward Trend. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay rangeCompliance Associate - Equity Long/Short Hedge Fund (London)Permanent Full-Time roleSalary: £80-100k (dependent on experience) + bonus + excellent benefitsOur client, a multibillion Equity Long/Short...