Compliance Officer, Marketing

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance?An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

THE COMPANY: Our client is an international financial services company focusing on wholesale and corporate banking activities.THE RESPONSIBILITIES:To provide comprehensive advice on regulatory requirementsInterpret and communicate complex regulatory changeTo work closely with key stakeholders and ensure appropriate regulatory advice is providedWork closely...

THE COMPANY:Our client is a successful brokerage firm based in the City. They are looking to hire a Compliance & Money Laundering Reporting Officer on a permanent basis.THE RESPONSIBILITIES:To develop and maintain a robust compliance frameworkDevelop and manage the day-to-day relationship with the FCA and other relevant regulatorsTo chair the Compliance and...

THE COMPANY: An international market maker specialising in FX and commodities that provides liquidity across a variety of exchanges and trading platforms is currently looking to expand their London based compliance team with a new Compliance Manager.THE RESPONSIBILITIES:The Compliance Manager will play a crucial role in ensuring adherence to regulatory...

THE COMPANY: Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Executive on a permanent basis.THE RESPONSIBILITIES:Undertaking detailed thematic Compliance Monitoring reviews, reporting on findings and recommendations and tracking actions to resolutionWorking with the Compliance Manager...

THE COMPANY: Our client is a growing alternative asset management firm based in London. They are looking to hire a Compliance VP, this role will suit someone with experience in Public Markets in the Sell or Buy side.THE RESPONSIBILITIES:Maintain policies, procedures, systems and controls governing IPO and divestment activities.Oversight of compliance with...

THE COMPANY: Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Analyst on a 12 month FTC.THE RESPONSIBILITIES:Best execution outlier monitoring and improvements (using LiquidMetrix)Investigating Market Abuse escalations (we outsource the initial case load)Bloomberg Vault Comms...

THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

New Compliance Officer (Monitoring) hire working with a top performing broker who work closely with the Lloyd’s market. You will work with the business to define the compliance monitoring framework and assist the business to identify, assess and govern compliance risk. Key Responsibilities:To monitor review and report, as 2nd Line of defence, on adherence...

THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.Oversight...

Operational Compliance Officer London – 4 days in the office per weekFinitas are working with a leading quantitative-driven electronic market-maker partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income, Commodity, and Crypto markets. We are helping them search for an Operational...

THE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Act as an escalation point for financial crime compliance queriesWork with the DMLRO to ensure staff in the Bank receive a...

The Value of Active Minds About Jupiter Jupiter is one of the UK's leading investment management companies with over 500 employees and £51.3 billion worth of assets under management (as at 30th June 2024). Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin...

THE COMPANY:Our client is a leading securities firm based in the City. They are looking to hire a Trade Surveillance Manager for their team, it is essential that the candidate has people management experience. THE RESPONSIBILITIES:Managing the Surveillance function and working with the Trade Surveillance analysts to conduct trade surveillance and related...

Our client, renowned for their commitment to integrity, sustainability, and responsible business practices, is seeking a Compliance Officer to help ensure the highest standards of regulatory compliance and ethical conduct.The role will support the Head of Compliance and Senior Compliance Transformation Manager in managing remedial actions in response to a...

Compliance UK now seeks to appoint a Compliance Officer focusing on financial crime prevention and oversight and supporting with regulatory compliance matters. Compliance UK is part of Group Compliance, an independent second line function in the SEB Group responsible for advising, controlling and following up on the Group’s compliance with external and...

We are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. This role will be generalised, duties include: Provide regulatory advice to the trading teams across multiple asset classes (Equities,...

Compliance OfficerLondonAbout the Role:We are partnering with a leading Alternative Investment company that are seeking a Compliance Officer to join their expanding compliance team. Key Responsibilities:Provide regulatory advice across their business linesContribute to the development and implementation of the firm’s compliance monitoring program.Ensure...

Compliance Officer (Part-time, 20-25 hours per week)Our client is a highly successful mortgage brokerage specialising in providing bespoke solutions in areas of residential and commercial mortgage lending.An opportunity has become available for a Compliance Officer / File Checker to support an experienced team of mortgage professionals, ensuring files are...