Compliance Officer

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 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,...

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: 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 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 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...

THE COMPANY: Our client is a specialist Real Estate Investment firm. This is a generalist role but candidates must have exposure to Financial Promotions.THE RESPONSIBILITIES:Responsible for social media/LinkedIn reviews Support/manage review of Financial Promotion and other marketing presentations/materialsManage ongoing investor/key supplier due-diligence...

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...

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...

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...

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...

Currently recruiting on behalf of an insurance firm who are looking to hire an compliance officer to join their business on an initial 6 month contract. You will be responsible for further development of the compliance and non-financial frameworks, as well as working closely with the business to ensure compliance on new products. You should have previously...

ROLE OVERVIEW //The Legal, Risk and Compliance Department is headed by the firm’s General Counsel and comprises a team of Compliance Lawyers and the Compliance Services team, within which this role sits. The Compliance Officer will report directly to the Compliance Services Manager but will have wider interactions with all members of Compliance.The...

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...

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...

An ambitious, Global firm are looking for a Compliance Officer to join their Business Acceptance Team. This firm is committed to fostering an inclusive, dynamic environment where your potential can be fully realised. You'll have the opportunity to take ownership of your career, with the support and resources to enable you to succeed from the offset. You...

One Ten Associates are exclusively partnering with an exciting Private Credit Fund that is looking to hire an experienced Compliance professional, joining the London office. As the first dedicated compliance hire, you'll be expected to help build, oversee and manage the compliance programme across the UK and US. Within time, you'll become the funds...

We are currently recruiting for our client, a leading international law firm, in their search for a motivated and detail-oriented Compliance Officer to join the Business Acceptance Team. The successful candidate will play a pivotal role in ensuring the firm complies with regulatory requirements in conflicts, Anti-Money Laundering (AML), and sanctions...

Compliance Officer - InsuranceLondon/HybridThe Compliance Officer will operate in a Regional Compliance Function offering wide exposure across a number of areas of compliance. DutiesConduct horizon scanning for new UK and EU regulatory developments.Work with local compliance across the region to ensure policies fit local requirements.Lead the roll out of new...