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...

THE COMPANY: Our client is a successful banking firm with a strong global presence across wholesale and capital markets. THE RESPONSIBILITIES:Responding to enquiries from the business in a timely manner.Providing advice and guidance to the business and further areas of the firm To review and assess the appropriateness of financial crime related documentation...

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...

A leading global financial institution is seeking an experienced compliance professional to join its Compliance Service Unit and Senior Managers and Certification Regimes (SMC) advisory team. The ideal candidate will play a crucial role in defining, implementing, and overseeing compliance risk frameworks, as well as supporting the Senior Managers &...

Currently recruiting on behalf of a Global Trading firm, who are looking to recruit and experienced compliance advisory professional with experience in Global Markets to join their team. The business are ideally looking for a candidate with good knowledge of OTC Derivatives and Commodities to join the team. You will report directly into the head of...

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...

Role OverviewOur client is seeking a skilled Compliance Advisor to join their growing compliance team. This position is ideal for a Vice President or a strong Assistant Vice President looking to step up into a dynamic and expanding governance function.The role involves providing hands-on, trading floor-based compliance advice to commodities business units,...

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...

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...

Position Available: Compliance Manager About Us: We are seeking a professional & resilient global Compliance Manager. Requirements: Experience: 6 years compliance experience, within a fund management environment. Knowledge: Strong of FCA handbook & proficiency in UK financial products, including UCITS & other regulated fund structures. Qualifications:...

Responsibilities Please apply with a cover letter 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...

The Role (Financial Restructuring)Our Financial Advisory team is expanding, and we are looking for a talented and ambitious individual at Assistant Director level with a financial advisory or banking background to join our growing team in London. This is an excellent opportunity to work alongside our established team who will support you to utilise and...

The Role Join the UK’s market leading restructuring and advisory tax team and make a real difference on a range of high profile and dynamic transactions, advisory projects and complex insolvencies. The Teneo Tax Team specialises in providing tax advice on the restructuring of financially distressed businesses as well as advisory services as part of our...

Danos have been exclusively engaged by a really exciting lending fintech for a Compliance Manager hire in London. They are looking for those with generalist compliance experience in the fintech/ lending space who must have a strong understanding of consumer credit and CONC.Responsibilities include: Compliance MonitoringActing as compliance advisory for all...

TeamMy client is a Global firm, with a London Advisory business that has both M&A and Debt Advisory teams. The team provides advice to a broad range of listed, privately owned and private equity backed clients on debt raisings, refinancings, amendments and other capital related matters, both in the UK and globally, as well as assisting other areas of the...

Compliance AssociateGlobal Fintech City of London OfficeUp to £80K plus bonus and benefitsFidarsi are currently representing a rapidly expanding Fintech trading firm that are revolutionizing the way retail customers trade, save and accumulate wealth, through a combination of technology and innovative products. With extensive hiring happening across the firm...

The Role (Turnaround / Transformation / Operational Role)Our Financial Advisory team is expanding, and we are looking for a talented and ambitious individual at Assistant Director level to join our hands-on, delivery focused performance improvement team.We support a wide range of businesses from those that are Private Equity backed through to large...

Are you looking for a wide and varied role, have a passion for regulation and compliance and are great with clients? We are working on a fantastic opportunity to join one of our client's compliance process outsourcing advisory team where you will have the opportunity to ​set up and execute policies and procedures, compliance monitoring, provide...

Professional Department – London The Professional Department at Hartnell Taylor Cook LLP has an established client base for its lease advisory work including corporate occupiers, property companies, institutional investors, retailers and local authorities. We work across a range of property sectors.The Professional team has a position immediately available...