Compliance Monitoring

**Compliance Monitoring £90000 + bonus + benefits Central London** **THE COMPANY **The role sits within the London branch of the corporate banking arm of a global bank, who have a primary focus on lending, trade financing and treasury activities. They have a new senior level compliance monitoring role within their independent Compliancefunction which also...

PA dealing monitoring - Best execution monitoring - Market abuse monitoring - Telephone record monitoring - Research / inducements monitoring - Gifts & entertainment monitoring, and maintaining the gifts register - Assist with regulatory reporting - Annex IV, NFA CPO PQRs, SEC and State filings, annual NFA updates, SEC Form ADV updates and FCA REGDATA...

Our client is an Asset Manager, multi asset with institutional and various funds globally. We are looking for a contractor to join the Investment compliance team. **Key tasks**: - Understanding of UCITS Rule. - Experience in MIG 21 is a plus. - Perform monitoring for all accounts globally across multi asset guideline restrictions. - Ability to adapt to new...

**Our Client**: We are working with a boutique Asset Management firm, supporting their search for a Compliance Officer in their London based office. The roles primary function will be carrying out tasks related to the Compliance Monitoring Programme, however there will be wider tasks given the small team. **Responsibilities**: - Compliance Monitoring -...

Our Business Services team is a collective set of creative, strategic, forward-thinking business enablers. Together the People & Culture, Marketing & Communications, IT, Operations, Finance and Quality & Risk Management teams make it their mission to ensureMazars has the right tools, technology, strategies and services in place to deliver exceptional client...

At M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to make a positive impact for our environment and communities. To help us achieve...

A leading Lloyd’s Insurance broker is hiring a Head of Compliance Monitoring to lead and manage their monitoring team. **Reporting into**: Group Chief Compliance Officer **Responsibilities**: - To provide compliance oversight and leadership across the company structure. - Support the company in maintaining compliance with industry and governmental lead...

To be considered for this role you must have experience working in a Lloyd's MGA, Lloyds Cover Holder or UK based company market insurer.Job Description:An exciting opportunity for an experienced Compliance Monitoring Manager to join a busy, fast-paced Compliance Team to lead and shape the compliance monitoring programme across CFC Group.The role holder will...

To be considered for this role you must have experience working in a Lloyd's MGA, Lloyds Cover Holder or UK based company market insurer. Job Description: An exciting opportunity for an experienced Compliance Monitoring Manager to join a busy, fast-paced Compliance Team to lead and shape the compliance monitoring programme across CFC Group. The role holder...

A leading European asset manager is looking to hire an experienced contractor into their compliance monitoring team. You will need to have strong experience in code of ethics monitoring, thematic review, compliance testing, compliance monitoring, and/ortrade surveillance. Ideally you will also have strong asset management experience. This is a 3-6 month...