Compliance Manager

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 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...

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 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: 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: 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...

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 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 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...

THE COMPANY: Our client is a growing alternative asset management firm based in London. They are looking to hire a Compliance VP, this role will suit someone with experience in Public Markets in the Sell or Buy side.THE RESPONSIBILITIES:Maintain policies, procedures, systems and controls governing IPO and divestment activities.Oversight of compliance with...

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 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: 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 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...

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...

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...

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...

THE COMPANY:We have been engaged by an international banking Group who are looking to establish a control room in the UK.THE RESPONSIBILITIES:Establish and Lead the Control Room Function: Build the Control Room department from scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor...

About the Company - OCR Alpha is currently working with one of Europe’s leading hedge funds with over $20 billion AUM. They are a truly global business with a multi-strategy approach. Our client prides itself on its’ cohesive and collaborative culture.About the Role - We are looking for an experienced Compliance Manager to join on a permanent basis. In...

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...