FCA Compliance Advisory Associate

Compliance Advisory Associate – Broadgate As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Key Responsibilities Provide advice, training, and guidance to the business on regulatory matters Work on regulatory horizon scanning...

A financial services firm in London is looking for a Compliance Associate to support the Head of Group Compliance. The role involves providing regulatory guidance, assisting with FCA submissions, and ensuring compliance with FCA rules. The ideal candidate should have experience in a compliance role and practical knowledge of the FCA Handbook. Salary ranges...

Job Description The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

PRIMARY RESPONSIBILITIES: Associate Director within Capital Markets Compliance team for Europe, with responsibility for supporting the Head of FICC Compliance Advisory Europe, in relation to all Global Markets front office advisory activities for FIC. Responsibilities include: - maintaining a detailed knowledge of applicable banking regulations, best...

A leading wealth management firm in London is seeking an experienced Senior Compliance Advisory Manager to join their team. The role involves providing technical compliance support, developing policies, and managing incident reporting. Candidates should have at least 5 years of compliance advisory experience, strong knowledge of the FCA Handbook, and...

Senior Market Integrity Specialist Division: Enforcement & Market Oversight (EMO) Department: Market Oversight Team: Primary Market Oversight (PMO) Salary: National (Edinburgh and Leeds) ranging from £72,100 – £91,000 and London from £79,300 - £100,000 (salary offered will be based on skills and experience) This role is graded as: Technical Specialist,...

**Job Summary** **What is the opportunity?** Associate Director within the Capital Markets Compliance team for RBCCM Europe, with responsibility for supporting the Head of Futures, Commodities & CFG Compliance Advisory Europe, in relation to all relevant Global Markets front office advisory activities in respect of RBCEL, RBCEG and RBC London...

Senior Compliance Advisory Manager Location: London (hybrid)Hours: 35 hours per weekContract: PermanentSMCR Function: Conduct Role About Ascot LloydAscot Lloyd is one of the UK’s leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and...

About Ascot Lloyd Ascot Lloyd is one of the UK's leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and continuous improvement. Our values guide everything we do: Integrity - We act honestly and transparently in all our dealings. Client...

Location: London (hybrid)Hours: 35 hours per weekContract: PermanentSMCR Function: Conduct Role About Ascot Lloyd Ascot Lloyd is one of the UK’s leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and continuous improvement. Our values...