Senior Compliance Officer

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...

Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance?An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

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...

THE COMPANY:Our client is a successful brokerage firm based in the City. They are looking to hire a Compliance & Money Laundering Reporting Officer on a permanent basis.THE RESPONSIBILITIES:To develop and maintain a robust compliance frameworkDevelop and manage the day-to-day relationship with the FCA and other relevant regulatorsTo chair the Compliance and...

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,...

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...

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: 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:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Act as an escalation point for financial crime compliance queriesWork with the DMLRO to ensure staff in the Bank receive a...

THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

Our client, renowned for their commitment to integrity, sustainability, and responsible business practices, is seeking a Compliance Officer to help ensure the highest standards of regulatory compliance and ethical conduct.The role will support the Head of Compliance and Senior Compliance Transformation Manager in managing remedial actions in response to a...

Profectus is working with a global fintech organisation looking for Senior Compliance Officer. The ideal candidate for this role will have key experience with investment service regulations. You will be working for an impressive global company that promotes a positive work culture. This is a Hybrid role with three days in the office a week. They’re located...

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...

Job Title: Senior Compliance Officer Location: London / Travel required / Hybrid Term: PermanentSalary: £65,000 (Depending on Experience)Reports to: Deputy MLRO About usB4B Payments is part of the Banking Circle ecosystem, a Payments Bank for financial institutions. We operate as an independent affiliate of Banking Circle and whilst we are separate...

Senior Risk & Compliance Officer (Investment Management) - 12 Month Contract - £70k - £80kRole and responsibilitiesTo provide compliance advice and guidance to business stakeholders to facilitate delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the Group’s business model and strategy.Key ResponsibilitiesCompliance...

Nicholas Howard are delighted to be recruiting for a Senior Compliance Officer to join a well established and growing specialist FCA regulated mortgage lending client, supporting the ongoing development of the compliance function. As a fast moving business, there is a great opportunity here for an ambitious and driven compliance professional to really make...

MERJE is delighted to be partnering with an established and highly reputable global Hedge Fund in their search for a Senior Compliance Officer for their London office.This prestigious Hedge Fund has a long standing history of excellence and innovation in the financial sector. With a strong focus on client satisfaction and ethical practices, the company...

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 &...

New Compliance Officer (Monitoring) hire working with a top performing broker who work closely with the Lloyd’s market. You will work with the business to define the compliance monitoring framework and assist the business to identify, assess and govern compliance risk. Key Responsibilities:To monitor review and report, as 2nd Line of defence, on adherence...