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Compliance & Conduct Manager
4 weeks ago
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 Banking. Internal audit experience would be beneficial but is not a pre-requisite (applications from banking professionals with 2nd line exposure in Compliance or Risk Management would be welcomed)
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Compliance Officer
1 month ago
London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeOur client is a top 100 UK law firm seeking to hire a Compliance Officer in their London office. In this role, you will play a key role in maintaining ethical and compliance standards throughout the firm, including SRA, ICO and Lexcel accreditation.Key responsibilities will include:Supporting fee earners with queries on regulatory requirementsMonitoring...
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Compliance Officer
4 weeks ago
London, UK, UK, United Kingdom ABM Global Compliance Full timeDevelop 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...
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Compliance Advisor
2 weeks ago
London,, UK, United Kingdom Compliance Professionals Full timeTHE 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...
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Central Compliance/Conduct Advisor Officer
3 months ago
London, UK, United Kingdom Jefferies Full timeKey Responsibilities & Tasks Responsibilities will include, but not be limited to: • Support and implement the annual Compliance Plan, identifying areas requiring additional monitoring and testing. • Provide guidance on ethical and conduct related matters, working closely with business units to foster a culture of integrity and...
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Deputy Head of Compliance
2 weeks ago
London,, UK, United Kingdom Compliance Professionals Full timeTHE 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...
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Senior Compliance Analyst
1 month ago
London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeAn International Law Firm is looking for a Senior Compliance Analyst to join their dynamic team in London. This role primarily supports the conflicts team, alongside senior staff and wider departments. Within this role, you will maintain a high standard of service for clients, manage all regulatory aspects relative to the firm’s smooth operation and ensure...
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Regulatory Director
2 weeks ago
London, UK, United Kingdom Holmes Search Full timeKey responsibilitites: Identifying, pitching, winning, and delivering conduct risk regulatory projects as well as managing client engagements in the following areas: Regulatory compliance, regulatory training, skilled persons reviews (s166), past business reviews and remediation, regulatory due diligence, culture, governance and conduct reviews, compliance,...
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Compliance Team Leader
3 months ago
London,, UK, United Kingdom AJ FOX COMPLIANCE Full timeA top global law firm is looking for a Compliance Team Leader to support the Compliance Manager in providing tailored training to new joiners into the Business Acceptance and supervise a team of compliance professionals.This role is ideal for someone with a keen eye for detail and an enthusiastic approach to prioritising complex tasks. You’ll support the...
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Compliance Manager
4 weeks ago
London,, UK, United Kingdom Edenbrook Full timeNew 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...
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Compliance Manager
3 weeks ago
London,, UK, United Kingdom Career Legal Full timeRisk & Compliance ManagerSix OR Twelve Month FTCUp to £80,000pa + BenefitsLondon (2 office days per week)My client, a top international law firm, is actively seeking an experienced and professional Risk & Compliance Manager to join them on either a six or twelve month contract basis in their London office.The Risk & Compliance team at this firm is a dynamic...
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Compliance Manager
6 days ago
London, UK, UK, United Kingdom Asta Capital Limited Full timeMain purpose of job:To act as a deputy to the Head of Regulatory Affairs, supporting day-to-day compliance activities, managing the Compliance Team, attending meetings, producing reports and deputising as required.Generic tasks:ISO 27001 All Staff - to comply with the applicable Information Security Management System (ISMS) policies, including Clear Desk and...
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Compliance Manager
1 month ago
London,, UK, United Kingdom Edenbrook Full timeNew 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...
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Compliance Manager
2 weeks ago
London, UK, UK, United Kingdom Davies Full timeMain purpose of job:To act as a deputy to the Head of Regulatory Affairs, supporting day-to-day compliance activities, managing the Compliance Team, attending meetings, producing reports and deputising as required. Generic tasks:ISO 27001 All Staff - to comply with the applicable Information Security Management System (ISMS) policies, including Clear Desk...
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Student Conduct
1 month ago
London,, UK, United Kingdom TPP Recruitment Full timeJob Title: Student Conduct & Complaints OfficerLocation: Central London – hybrid (2-3 days in office)Hours: 35 hours per weekContract: temporary for 9 monthsPay: £24.09 - £26.92p/h + holiday pay.Join a leading higher education institution in Central London, due to the restructure of the team a new role has arisen.You will manage and resolve student...
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Student Conduct
2 weeks ago
London,, UK, United Kingdom TPP Recruitment Full timeJob Title: Student Conduct & Complaints OfficerLocation: Central London – flexible remote workingHours: 35 hours per weekContract: temporary for 9 monthsPay: £24.09 - £26.92p/h + holiday pay.Join a leading higher education institution in Central London, due to the restructure of the team a new role has arisen.You will manage and resolve student...
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Compliance Manager
3 months ago
London,, UK, United Kingdom mbf Full timeCompliance ManagerLondon / Hybrid - £95,000We are seeking a knowledgeable Compliance Manager to provide the business with day-to-day advisory and oversight activities, assist in the delivery of the compliance plan and manage the compliance relationship with assigned managed client.Responsibilities:Support the Head of Compliance in delivering the compliance...
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Compliance & Risk Manager
4 weeks ago
London,, UK, United Kingdom Fram Search Full timeA central London law firm, who operates a hybrid working policy, is seeking a Compliance & Risk Manager to jon their team. It is a firm with a real niche and they are keen to appoint a strong communicator.The appointee will be responsible for ensuring firm-wide compliance with SRA regulations and the SRA Handbook, as well as identifying and reporting...
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Compliance Manager
1 month ago
London, UK, UK, United Kingdom Apollo Solutions Full timeA global payments firm is seeking a highly skilled and experienced Deputy MLRO to contribute to their growing success. Reporting directly to the Head of Compliance, this role offers substantial autonomy and exposure, providing a unique opportunity to manage a team and play a pivotal role in both strategic and operational decisions.Responsibilities:Execute...
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Regulatory Director
1 month ago
London,, UK, United Kingdom IGA Talent Solutions Full timeIGA is working with an expanding consultancy seeking an experienced Regulatory Director to join their Financial Services Advisory team in London. This is a unique opportunity to play a key role in shaping and growing the business while leading a team of high-performing professionals.Role Overview:As a Regulatory Director, you will balance business...
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Risk Management
4 weeks ago
London, UK, United Kingdom Leverton Search Full timeKey Responsibilities: Develop and execute an operational risk monitoring plan, including risk frameworks and matrices. Identify key business risks and implement mitigation strategies. Conduct operational risk reviews, draft detailed reports, and monitor issue resolution. Manage third-party risk assessments and track counterparty credit exposures. Assist...