Compliance Training

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...

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...

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...

A seasoned Compliance and Training Supervisor is needed to support the expanding team. This role involves driving internal quality initiatives, known as the "Excellence" process, while also providing essential support to the Financial Planning and Defined Contribution (DC) Consulting teams on routine compliance matters. The role will work closely with the...

A seasoned Compliance and Training Supervisor is needed to support the expanding team. This role involves driving internal quality initiatives, known as the "Excellence" process, while also providing essential support to the Financial Planning and Defined Contribution (DC) Consulting teams on routine compliance matters. The role will work closely with the...

Our client, an International Law Firm is seeking a Risk Lawyer to join their Risk and Compliance team. The role supports senior management in managing regulatory, compliance and professional risks associated with the Firm.The ideal candidate is a qualified lawyer with 5+ years of experience working in an international commercial law environment, with...

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...

Job DescriptionTo act as Approved Person undertaking Controlled Function SMF16 and Member of CARC.To ensure that the Company is acting compliantly and in line with regulation as well as supporting the business to achieve its overall strategy.Job Activities and ResponsibilitiesDevelop, maintain and manage compliance risk assessments; and compliance...

Have you secured a training contract with a law firm?Do you want to gain skills to stand out from the crowd?Do you want to broaden your experience?Do you want to do something different & interesting before you start?We are a specialist legal recruitment agency looking for future trainee solicitors to work with us in our Law Firm Risk & Compliance recruitment...

MERJE are partnered with a leading Investment Manager who are looking for a Compliance Officer to join their fast growing and global team. Key Responsibilities: Manage a varied portfolio of regulatory compliance activities including: giving advisory opinions, providing training, developing policies and processes, approving new business initiatives, and...

Compliance Executive/Head of ComplianceBrokerage - CFD'sLondonUp to £100K BasicFidarsi are pleased to be working with a global brokerage, specialising in CFD's to help them find a compliance executive/Head of Compliance.This is a great opportunity for an experienced compliance executive to take ownership of a compliance function in a growing...

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...

Develop, implement, and maintain comprehensive compliance policies and procedures specific to the UK’s:CFD and spread betting industry;Commodity derivative brokerage industry; and Investment research industry aligned with FCA regulations, exchange rules, best practicesConduct regular compliance reviews and audits to identify and address potential risks and...

My client is a progressive compliance consultancy – historically its client base has been asset management led but this is very much evolving In addition to assisting with FCA regulation it has an increasing number of clients which it assists with SEC and NFA/CTFC regulation A full specification is available however Key tasks will include : Responsibility...

A top law firm in London is looking to hire a Compliance Lawyer at 2+ PQE with experience in a City or large national law firm. Responsibilities:Develop and maintain expertise in SRA/other relevant regulation and legislation affecting the firm’s businessHelp partners to review clients’ terms and conditions of business and draft engagement lettersAssist...

Compliance Officer - Global Quantitative Investment Management FundWe are excited to assist a leading global quantitative investment management fund in their search for a Compliance Officer to join their expanding team based in London. This is a fantastic opportunity for professionals with a strong background in commodities and experience in derivatives and...

We are currently for a Head of Compliance on behalf of a Commercial Bank in London. Our client are looking for an experienced compliance candidate who will hold the SMF 16/17 and be responsible for the oversight of the Bank's regulatory framework and controls. This is an excellent opportunity to join an established bank in London who are looking to grow...

ROLE OVERVIEW //We are recruiting for a qualified lawyer with compliance experience in a City or large national law firm, to join our Legal, Risk and Compliance department as a Compliance Lawyer. This is a permanent, full-time role. The Legal, Risk and Compliance department is headed by the firm’s General Counsel, supported by the firm’s Head of...

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...

Our client, an electrical technology solutions provider, is seeking a Governance, Risk & Compliance Adviser to work within their corporate head office in London. This role will offer blended working after probationary period (6 months).You will act as a point of reference to manage and develop business and project governance, risk and compliance and you will...