Compliance Monitoring

The Compliance Monitoring Officer plays a critical role in ensuring the adherence of the brokerage firm to regulatory requirements and internal policies. This position involves undertaking compliance monitoring in accordance with the task driven schedule outlined in the Compliance Monitoring Program.Key Responsibilities:Assist in the design and...

The primary objective of the role will be to assist in the execution and ongoing improvement of the Compliance Monitoring Programme as well as to act as a Compliance generalist and provide ad-hoc support to the wider business.Key ResponsibilitiesAssist the Compliance Officer in designing/improving the Compliance Monitoring Programme framework and carry out...

Compliance Monitoring Manager is required by our client in City of London within Financial Services to take ownership of multiple aspects of internal, market conduct, and consumer protection compliance; including any associated second-line controls, and manages advisory and regulatory change projects. As Compliance Monitoring Manager, your primary focus will...

Key responsibilities include but are not limited to: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the Plan and propose remedial actions. Day to day management of the Plan ensuring tests are completed on time and that progress is made against the overall plan. Assist with...

Currently recruiting on behalf of a boutique investment bank for a Monitoring & Testing professional to join their compliance team. You will be responsible for performing the ongoing review, management, and testing of regulatory and operational risk controls, and will be given a significant amount of autonomy within the business, as well as the opportunity...

Our client, a well-established global investment management firm, are currently going through an exciting period of growth and are looking to add a motivated and driven Compliance Officer to their team. The Compliance Officer will be supporting the Head of Compliance with the exciting and fast paced workload within the function. This is a fantastic...

Our client, a well-established global investment management firm, are currently going through an exciting period of growth and are looking to add a motivated and driven Compliance Officer to their team.The Compliance Officer will be supporting the Head of Compliance with the exciting and fast paced workload within the function. This is a fantastic...

Lutine Bell are supporting the Head of Compliance of a Leading Retail Bank to appoint a Senior Compliance Monitoring Manager.As the Senior Compliance Monitoring Manager you will be responsible for the design and delivery of the Compliance Monitoring Plan. This includes ensuring that the monitoring framework is focused on key regulatory risks and priorities,...

Our client, a Magic Circle Law Firm, is seeking a Compliance Lawyer to join their office in London. Within this role, you will advise the firm on issues relative to new clients and matters, such as client confidentiality, conflicts of interest and reputational/commercial risks.The ideal candidate has multiple years of experience within a reputable,...

A forward-thinking, ambitious, well-respected regional law firm is looking for a Risk and Compliance Manager to join them in South East London. Within this role, you will be leading a small team of risk and compliance professionals in their day-to-day tasks. You will collaborate on a variety of risk and compliance tasks, such as AML, complaints and...

Our client, a Magic Circle Law Firm, is seeking a Senior Compliance Analyst to join their office in London. Within this role, you will advise the firm on issues relative to new clients and matters, such as client confidentiality, conflicts of interest and reputational/commercial risks.The ideal candidate must have experience within a reputable, international...

A leading wealth management firm are currently looking to recruit a Compliance Monitoring Officer to join a newly formed European compliance team. With a European remit, its essential candidates have French or German language skills.Role responsibilities.Deliver a series of defined monitoring tests to ascertain the firm’s compliance with its regulatory and...

About the Role Our client is a fast growing, fully independent bank who offer an alternative ethos centred around positive social impact lending. Due to continued growth, they have a brand-new role for a Compliance Monitoring Analyst - Retail/SME Banking to join their growing Risk team.. Responsibilities of the Compliance Monitoring Analyst - Retail/SME...

4 MONTH TEMPORARY OPPORTUNITYLEGAL AND COMPLIANCE MANAGEMENT PRODUCT COMPANYUP TO £40,000 (as hourly rate)LONDON OFFICEMONITORING ANALYSTMy client, a market leading legal and compliance management product company, is actively seeking an experienced Legal Assistant to join them on a temporary basis - working as their new Monitoring Analyst. The role involves...

Good knowledge of the FCA Rules Undertake monthly communications monitoring. Undertake other compliance monitoring in accordance with the firm’s CMP, under guidance from the Compliance Officer. Prepare reports in respect of all monitoring for review by/discussion with the Compliance Officer, in accordance with Company guidelines. Assist the...

JOB PURPOSEThe Anti Financial Crime Screening Officer is responsible for the execution of first line activities in relation to Transaction Monitoring, ongoing client name screening, payment screening and performing Customer due diligence tasks.THE RESPONSIBILITIES:Carrying out transaction monitoring for clients’ accounts and transactionsAnalysing...

My Client, an International Fund Manager, are looking for a Compliance Manager to join their team of 4 in London. The role will largely be focussed on guideline monitoring while taking on ad-hoc generalist compliance responsibilities including pa dealing and thematic monitoring.The role will offer the opportunity to work closely with the senior members of...

My Client, an International Fund Manager, are looking for a Compliance Manager to join their team of 4 in London. The role will largely be focussed on guideline monitoring while taking on ad-hoc generalist compliance responsibilities including pa dealing and thematic monitoring.The role will offer the opportunity to work closely with the senior members of...

THE COMPANY:Our client is an international bank, with offices based in the City. They specialise in both private and retail banking. THE RESPONSIBILITIES:Respond and promptly treat client requests, queries, and enquiries. Unresolved requests by COB should be duly escalated daily.General Administrative support on client onboarding and retention, Account...

New Compliance Manager (Lloyd’s) opportunity working for a top performing specialty insurer. Reporting into the Head of Compliance, you will play a key role in the management, and day-to-day operation of the Regulatory Compliance Framework.Key Responsibilities:Establishing the structure for Regulatory Risk Assessments and undertaking the assessments where...