Compliance Monitoring Associate, Wealth Management

Associate Wealth ManagerWe are a fast-paced company that prides itself on our culture and we’re looking for an Associate Wealth Manager to join our friendly team. We are a sociable bunch who all share a love for learning and teaching and are always willing to help each other out. We like to acknowledge hard work and commitment and celebrate our successes....

MERJE is currently working exclusively with a well known financial planning and wealth management business in their search for a Interim Head of Compliance & Risk.The role holder will hold the SMF16 & 17 for the business.Manage the Compliance team and co-ordinate regular management informationEnsure full compliance with the FCA’s Consumer Duty by embedding...

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...

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...

THE COMPANY: We are working with an international Wealth Management Firm who are searching for a Compliance Manager to join the team. The firm has offices across the globe and assists UHNI and Family offices to manage their wealth.THE RESPONSIBILITIES:Perform independent review of High-Risk client onboardings and periodic reviews submitted by the first...

THE COMPANY: Our client is a specialist Real Estate Investment firm. This is a generalist role but candidates must have exposure to Financial Promotions.THE RESPONSIBILITIES:Responsible for social media/LinkedIn reviews Support/manage review of Financial Promotion and other marketing presentations/materialsManage ongoing investor/key supplier due-diligence...

THE COMPANY:Our client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital. They also run an Equities fund.THE RESPONSIBILITIES:Proactively identify and review regulatory developments and changes, pre-emptively assess impact on the Business and its products and servicesA strong...

MERJE is currently working with a highly reputable discretionary wealth management business in their search for a Business Quality/File Review specialist.The successful individual will lead the Business Quality Unit to ensure the firm meets its regulatory requirements in relation to standards of investment advice, portfolio management, and record keeping.You...

MERJE is currently working with a highly reputable discretionary wealth management business in their search for a Business Quality/File Review specialist.The successful individual will lead the Business Quality area to ensure the firm meets its regulatory requirements in relation to standards of investment advice, portfolio management, and record keeping.You...

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...

THE COMPANY: Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Executive on a permanent basis.THE RESPONSIBILITIES:Undertaking detailed thematic Compliance Monitoring reviews, reporting on findings and recommendations and tracking actions to resolutionWorking with the Compliance Manager...

THE COMPANY: Our client is a successful UK-based wealth management firm, focused on providing top-quality wealth management services to retail and professional clients.THE RESPONSIBILITIES:Adviser Supervision Provide ongoing assessment of adviser competence in line with the Training & Competence requirements, typically twice per year, and ensure that the...

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...

A top London-based Wealth Management company is looking for a permanent Business Analyst with Client Lifecycle experience to work on projects across multiple functions of the business and IT. This role will create capacity in front office teams through implementing technologies through digital and creating efficiencies in the client journey. help deliver the...

THE COMPANY: Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Analyst on a 12 month FTC.THE RESPONSIBILITIES:Best execution outlier monitoring and improvements (using LiquidMetrix)Investigating Market Abuse escalations (we outsource the initial case load)Bloomberg Vault Comms...

Currently recruiting for a monitoring and testing manager for a systematic hedge fund based in London. This is a hands on role where you will be responsible for thematic and desk based reviews, as well as further strengthening the monitoring framework. You should have experience in either am Investment Bank, Hedge Fund or Asset manager, and should ideally...

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 brokerage is seeking a Compliance Monitoring Analyst to join its growing Compliance Team. This opportunity is a growth hire aimed at supporting the Head of Compliance and the wider team as the firm continues to bolster its compliance function.ResponsibilitiesConduct monitoring reviews on specific thematic topics where compliance or regulatory risks...

Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices. With a...

M&A Associate – Private Equity Backed Wealth Management CompanyLocation: LondonCompensation: Competitive Base + Bonus.NBX12404Finatal is excited to share that Finatal is currently partnered with a PE backed Wealth Management company based in London. They’re looking for an M&A associate to join their team and aide in their expansion throughout the Wealth...