Compliance Manager Monitoring

Compliance Monitoring Manager is required by our client in City of London within Financial Services to take ownership of multiple aspects of internal, market conduct, and consumer protection compliance; including any associated second-line controls, and manages advisory and regulatory change projects. As Compliance Monitoring Manager, your primary focus will...

Working as a member of the Compliance Team, you will be responsible for preparing and delivering the Compliance Monitoring Plan in order to provide assurance on the adequacy of systems and controls and to support the delivery of the Risk and Compliance strategy. In this role you will be instrumental in enhancing the Company’s internal practices and...

Your new company Looking for a new challenge in the insurance and reinsurance industry? We have the perfect opportunity for a Compliance Monitoring Manager to join our clients' global team. They are a specialty insurance and reinsurance business who are looking to grow their high-performing compliance team.Your new role Based in London and reporting to...

Kentro Capital are looking for a Compliance Monitoring Manager to join our team in London, reporting to the GRCO, & proactively working with the Chief Underwriting Officer & Business Unit leaders, you will deliver functional &/or thematic reviews throughout the year to provide a robust 2nd line of defence (in line with the model favoured by the FCA) so that...

WHAT YOU'LL DORole Overview We are seeking an experienced Compliance Monitoring Manager to join BCG's Global Compliance team within Compliance Excellence. This second line of defence role offers a unique opportunity to contribute to a team that provides innovative support, guidance, and oversight on critical compliance topics. Key Responsibilities...

Trident Trust is a leading independent provider of corporate, trust and fund services to the financial services sector worldwide, employing over 1000 staff across a global footprint that spans Africa, the Americas, Asia, the Caribbean, Europe and the Middle East. We are seeking to expand our Group Compliance Monitoring Team through the recruitment of a...

What the Hiring Manager Says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising...

THE COMPANY: Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.THE RESPONSIBILITIES:Review/audit/investigation requests from Exchanges and RegulatorsFATCA and CRS Audit and Advisory; ad hoc tax projectsResearch in relation to keeping up to...

Role & Responsibilities: Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner. Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses...

THE COMPANY: We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.THE RESPONSIBILITIES:Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems...

Key responsibilities include but are not limited to: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the Plan and propose remedial actions. Day to day management of the Plan ensuring tests are completed on time and that progress is made against the overall plan. Assist with...

Join the investment banking division of a prominent UK bank, where we are seeking an experienced Compliance Monitoring and Testing Officer VP.This role offers the opportunity to work within a dynamic team under excellent leadership, with the flexibility of hybrid working—two days in the office per week.You will work closely with the Head of Compliance...

Compliance Monitoring Officer Venn Group have partnered with an international banking firm in the City of London seeking an individual to join their Compliance Monitoring function on a permanent basis. In this pivotal role, you'll be instrumental in enhancing the bank’s internal compliance practices, ensuring they align with the highest industry...

Fixed Term Contract Duration - 5 Months What the Hiring Manager says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business...

Develop and document AML/KYC policies and proceduresConduct audits and reviews to ensure execution of compliance standards regularlyProduce detailed reports with recommendations based on findings during audits.Communicate with clients and address any concerns they have about ethical or other compliance matters within a department or divisionProactively...

Audit Managers on the team both lead and participate in conducting regulatory focussed internal audits, developing audit planning documentation and testing strategies and maintaining strong relationships with key stakeholders across the bank. Applicants should be able to demonstrate expertise of Conduct and Compliance risks impacting UK Retail and Corporate...

Role responsibilities. Deliver a series of defined monitoring tests to ascertain the firm’s compliance with its regulatory and legal obligations. Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule. Engage with business pre and post testing; monitoring and verifying the completion of the actions set, which help the...

Who we are looking for The Compliance Risk Testing Analyst, Assistant Vice President will be responsible for working with a team of professionals to develop and execute regulatory testing and controls testing to provide reasonable assurance that State Street is complying with applicable laws, regulations, and internal policies. As part of a collaborative...

New Compliance Manager (Monitoring) opportunity working with a global specialty insurer. Reporting into the Head of Compliance, you provide timely, top-quality compliance monitoring services to a range of business stakeholders and to the firm’s governing bodies.Key Responsibilities:Develop and continuously improve the methods for monitoring...

New Compliance Manager opportunity working with a top performing global specialty insurer. Reporting into the Head of Compliance, you will manage the day-to-day operation of the Regulatory Compliance Framework.Key Responsibilities:Support the Head of Compliance in the preparation of the annual group Compliance Plan.Supporting in the preparation of regular...