Compliance Manager

16 hours ago


London, UK, United Kingdom Selby Jennings Full time

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: Accountancy or law Degree/ relevant qualifications & certifications.

Responsibilities:

  • Compliance Advisory: Provide compliance advisory related to fund service & current FCA requirements, such as AML & Financial Crime. Efficient in advisory of current & new regulatory requirements.
  • Monitoring & testing: Conduct second-line compliance monitoring in line with regulatory guidelines. Maintain documentation of compliance activities and findings, keeping records of audits, training sessions, and any instances of non-compliance and the actions taken to address them.
  • Policies & Procedures: Maintain & enhance relevant compliance policies and procedures, influenced by the FCA. Conduct regular audits to ensure they are adhering to established policies.
  • Compliance Oversight: Oversee compliance of Appointed Representatives with relevant policies and procedures & investigate suspicious activities and report to the appropriate authorities.
  • Risk Management: Identify potential risks related to non-compliance and develop strategies to mitigate these risks. This can involve creating contingency plans and conducting risk assessments.

We have a current opportunity for a Compliance Manager on a permanent basis. The position will be based in London. For further information about this position please apply.


  • Compliance Manager

    2 weeks ago


    London,, UK, United Kingdom Compliance Professionals Full time

    (12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

  • Compliance Manager

    2 weeks ago


    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: An international market maker specialising in FX and commodities that provides liquidity across a variety of exchanges and trading platforms is currently looking to expand their London based compliance team with a new Compliance Manager.THE RESPONSIBILITIES:The Compliance Manager will play a crucial role in ensuring adherence to regulatory...

  • Compliance Manager

    2 weeks ago


    London,, UK, United Kingdom Compliance Professionals Full time

    12 month FTC **EXCLUSIVE ROLE**THE COMPANY: Our client is a prestigious private wealth firm based in the West End. They are looking for a Compliance Manager to join the team on a 12-month FTC basis.THE RESPONSIBILITIES:Assist with ensuring that compliance related directives, policies & procedures remain up to dateAssist staff with interpretation of rules and...

  • Compliance Officer

    2 weeks ago


    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international financial services company focusing on wholesale and corporate banking activities.THE RESPONSIBILITIES:To provide comprehensive advice on regulatory requirementsInterpret and communicate complex regulatory changeTo work closely with key stakeholders and ensure appropriate regulatory advice is providedWork closely...

  • Compliance Associate

    16 hours ago


    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Officer

    15 hours ago


    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...


  • London,, UK, United Kingdom Compliance Professionals Full time

    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...

  • Head of Compliance

    2 weeks ago


    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES:To ensure the business is aware of the regulatory risks it faces and mitigates against themManage stakeholder...


  • London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...


  • London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global asset management firm, with 30-40 offices worldwide. They are looking for an Compliance Officer with a focus on Marketing & Distribution. THE RESPONSIBILITIES: Review and approve financial promotions, marketing materials, client reports, RFPs and other client communicationsProvide advice and guidance to client coverage,...

  • Compliance Manager

    4 weeks ago


    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been exclusively instructed by our client is a leading global commodities organisation. With a global presence they offer a wide range of services to their clients. The position will assist with managing a small team and will be 4 days in the office. THE RESPONSIBILITIES:Consideration of all relevant statutory and regulatory provisions...


  • London,, UK, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...


  • London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a leading securities firm based in the City. They are looking to hire a Trade Surveillance Manager for their team, it is essential that the candidate has people management experience. THE RESPONSIBILITIES:Managing the Surveillance function and working with the Trade Surveillance analysts to conduct trade surveillance and related...


  • London,, UK, United Kingdom Compliance Professionals Full time

    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...


  • London,, UK, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a fantastic boutique city law firm assisting them to hire a Data Protection Manager. This role is a fantastic opportunity for somebody who has experience in data protection, risk and compliance and who would like to broaden their skill set.In this role, you will work alongside a small team consisting of a compliance assistant, a senior...

  • Compliance Manager

    1 month ago


    London,, UK, United Kingdom Artemis Talent Group Ltd Full time

    Compliance ManagerLocation: London Hybrid/Remote UKSalary: Up to £70,000Skills: Compliance Manager, Risk, AML, Financial Services, Compliance Specialist, CASS, FCA Regulations, FSMA2000, Mifid, Sanctions, Cross Boarder PaymentsFantastic opportunity has come available to work with my client who are leading London based Fintech software provider enabling...

  • Compliance Manager

    3 weeks ago


    London,, UK, United Kingdom DiverseJobsMatter Full time

    The teamYou will be part of Finance, Risk and Compliance team which is one of the key support services of our organisation. The team deals with all aspects of financial operations and supporting the business in risk and compliance matters, contract reviews and sustainable and value for money procurement, including compliance with public sector procurement.As...

  • Compliance Manager

    3 weeks ago


    London,, UK, United Kingdom William Rose Associates Full time

    William Rose Associates is currently partnering with an established Investment Bank firm based in London, which is looking for a Compliance Manager to join the team.ESSENTIAL SKILLS | Compliance Manager• At least 3-5 years of relevant experience within the industry.• Experience in audit or controls is beneficial.• Well-versed in regulations and...

  • Compliance Manager

    4 weeks ago


    London,, UK, United Kingdom HCLTech Full time

    Key tasks & responsibilities To manage the financial crime compliance requirements for HCLIBS and our client companies.To support the Head of Compliance and Financial Crime with financial crime relationship management to our clients’ counterpart functionsTo identify and review Financial Crime and Data/Information security related regulatory publications,...

  • Compliance Manager

    2 weeks ago


    London,, UK, United Kingdom Danos Group Full time

    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...