Compliance & Conduct Manager

Our 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...

Develop 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...

THE 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...

Key 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...

THE 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...

An 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...

Key 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,...

A 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...

New 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...

Risk & 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...

Main 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...

New 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...

Main 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...

Job 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...

Job 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...

Compliance 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...

A 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...

A 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...

IGA 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...

Key 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...