Compliance Monitoring Manager

THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

12 month FTC **EXCLUSIVE ROLE**THE COMPANY: Our client is a prestigious private wealth firm based in the West End. They are looking for a Compliance Manager to join the team on a 12-month FTC basis.THE RESPONSIBILITIES:Assist with ensuring that compliance related directives, policies & procedures remain up to dateAssist staff with interpretation of rules 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...

(12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

Interactive Brokers (U.K.) Limited, based in London, part of IBKR global online financial brokerage services, seeks a generalist compliance professional to join our fast-paced business in a complex operating environment. You will hit the ground running from the start, so we expect you to have relevant experience and a can-do attitude to relish the challenge...

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...

Lutine Bell are currently supporting a rapidly growing Investment Manager looking to appoint a Senior Compliance Monitoring Manager to oversee the monitoring function of the firm. As the Senior Compliance Monitoring Manager, you will report directly to the Group Head of Compliance. Your responsibilities will include managing the Annual Compliance Monitoring...

This is an exciting and challenging position for a highly motivated, customer focused and confident individual who is looking to progress their career in compliance to the next level. The Senior Compliance Monitoring Manager will lead a programme of Monitoring activity in order to produce accurate, complete and insightful Monitoring reports. The individual...

Fidarsi are delighted to be partnering with a Global Investment Manager based in Central London, who are recruiting for a Compliance Monitoring Associate. The role will support the Compliance Manager and ensure the firm meets its regulatory obligations. To work as part of the Second Line of Defence (2LoD) Compliance Monitoring team, assisting with all...

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...

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...

About Allica bank Allica is the UK’s fastest growing company - and the fastest-growing financial technology (Fintech) firm ever. Our purpose is to help established SMEs, one of the last major underserved opportunities in Fintech. Established SMEs are the backbone of local communities - representing over a third of our economy - yet have been largely...

THE COMPANY: We have been exclusively instructed by our client is a leading global commodities organisation. With a global presence they offer a wide range of services to their clients. The position will assist with managing a small team and will be 4 days in the office. THE RESPONSIBILITIES:Consideration of all relevant statutory and regulatory provisions...

THE COMPANY: Our client is a global asset management firm, with 30-40 offices worldwide. They are looking for an Compliance Officer with a focus on Marketing & Distribution. THE RESPONSIBILITIES: Review and approve financial promotions, marketing materials, client reports, RFPs and other client communicationsProvide advice and guidance to client coverage,...

This role is a 12 month Fixed Term Contract. Carry out desk based and thematic reviews of the firm's Wealth Management Division, as part of second line of defense and in line with the firm’s risk-based compliance monitoring programme. Skills and Qualifications Required Demonstrable experience in a Compliance Monitoring role preferably gained in a...

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...

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: 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...

THE COMPANY:An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES:To ensure the business is aware of the regulatory risks it faces and mitigates against themManage stakeholder...

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...