Markets Compliance Advisory

Compliance Advisory VPA leading corporate brokerage and market-making firm based in London is seeking a Compliance Advisory VP to provide expert compliance guidance across diverse markets, including FX, Credit, Rates, Equities, and Commodities. This strategic role requires a highly experienced professional with a deep understanding of regulatory compliance...

Interpath is a financial advisory business with a broad range of specialisms, established to provide our professionals with an agile, independent, and conflict-free environment to excel. We support our clients in creating, defending, preserving, sustaining, and growing value through the business cycle, serving both regional SMEs and large, complex...

The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data...

Interpath Advisory is a financial advisory business with a broad range of specialisms that was formed to allow our people to do what they do best in an agile, independent and conflict-free setting. Its marketleading restructuring department is the largest independent team in the UK. Interpath was previously part of KPMG, before being sold to private equity...

Interpath Advisory is a financial advisory business with a broad range of specialisms that was formed to allow our people to do what they do best in an agile, independent and conflict-free setting. Its marketleading restructuring department is the largest independent team in the UK. Interpath was previously part of KPMG, before being sold to private equity...

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit...

Regulatory Compliance Advisory Consultant - £500 - £600 per day.Can you provide outstanding technical compliance guidance on Investment Management solutions?If so, please do apply.We're looking to hire a contractor for 6 months, to support a friendly, collaborative and professional Investment Manager, who are looking for a consultant in Compliance...

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 firm is a major algorithmic trading entity in digital assets Key Responsibilties It is looking for a Compliance Advisory Senior Associate who has in-depth expertise from traditional financial markets The Senior Compliance Associate will be responsible for ensuring compliance with regulatory requirements, laws, and regulation across multiple...

Key Duties Provide accurate compliance advice to the business and internal stakeholders Provide trainning to the business and internal stakeholders To conduct Regulatory Reviews of the firm and its functions through the Compliance Monitoring Programme as part of the Compliance Framework To conduct internal investigations when directed by Compliance...

Lutine Bell are currently supporting a leading Investment Manager looking to appoint a Senior Compliance Advisory Analyst on a 12 month FTC.Responsibilities:Provide compliance advisory support to the business in respect of one or more asset classes or business areas, advising on application of applicable regulatory rules including global compliance policies...

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...

Coopman Search and Selection are currently partnered with a private funds advisory business who are HQ'd in the UK but have a global presence. The role will report in directly into the COO. In this role you will be responsible for the running of the compliance programme whilst holding the SMF16/17 functions for the business. The role will see you cover...

(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...

Required skills and knowledge: • A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses. • An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II. • Experience of portfolio...

Compliance Advisory - AVP Level (Credit, Rates, FX, Commodities)A global investment bank is seeking a talented Compliance Advisory professional at the AVP level to join their dynamic team. This is a key role, providing essential advisory services across the firm's product range, including Credit, Rates, Foreign Exchange (FX), and Commodities.Provide...

Responsibilities The Compliance Service Unit (CPLE) is responsible for the definition and consistency of the compliance risk prevention and control system, and for coordinating the framework aimed at preventing, identifying, assessing, and controlling reputational risk. In conjunction with the Business Units and other Service Units (BU/SUs), CPLE...

The Financial Markets Advisory business delivers a range of advisory services including capital markets, sustainability, portfolio construction and data & analytics solutions to official sector and financial institution clients globally, including banks and insurance companies. We support our clients on their most critical and complex financial issues –...

THE COMPANY:Our client is a successful brokerage firm based in the City. They are looking to hire a Market Surveillance Officer on an FTC basis.THE RESPONSIBILITIES:Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviourCalibration and tailoring of monitoring systems to ensure that alerts are...

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...