Compliance Monitoring Associate

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

Working as a member of the Compliance Team, you will be responsible for preparing and delivering the Compliance Monitoring Plan in order to provide assurance on the adequacy of systems and controls and to support the delivery of the Risk and Compliance strategy. In this role you will be instrumental in enhancing the Company’s internal practices and...

Interactive Brokers (U.K.) Limited, based in London, part of IBKR global online financial brokerage services, seeks a generalist compliance professional to join our fast-paced business in a complex operating environment. You will hit the ground running from the start, so we expect you to have relevant experience and a can-do attitude to relish the challenge...

Trident Trust is a leading independent provider of corporate, trust and fund services to the financial services sector worldwide, employing over 1000 staff across a global footprint that spans Africa, the Americas, Asia, the Caribbean, Europe and the Middle East. We are seeking to expand our Group Compliance Monitoring Team through the recruitment of a...

Eames is currently working with a global insurance carrier on the appointment of a Compliance Manager to join their international team in London. As a Compliance Manager, you will provide monitoring services the firm’s governing bodies and a range of business stakeholders.Key Responsibilities:· Draft and implement the annual Compliance Monitoring Plan.·...

This role is a 12 month Fixed Term Contract. Carry out desk based and thematic reviews of the firm's Wealth Management Division, as part of second line of defense and in line with the firm’s risk-based compliance monitoring programme. Skills and Qualifications Required Demonstrable experience in a Compliance Monitoring role preferably gained in a...

Our client is an international independent power producer of renewable energy across the UK and the EU and is actively expanding. They are searching for a Compliance associate that can also support on ESG development. Our client is involved in large-scale solar power generation, land acquisition, development, financing, construction, power sales and asset...

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...

About Allica bank Allica is the UK’s fastest growing company - and the fastest-growing financial technology (Fintech) firm ever. Our purpose is to help established SMEs, one of the last major underserved opportunities in Fintech. Established SMEs are the backbone of local communities - representing over a third of our economy - yet have been largely...

A Wealth Management business is looking to recruit a Compliance Monitoring Associate to join their business. The role will work within a closeknit Compliance Monitoring team which is part of the broader Compliance function. Ideal opportunity for an individual looking to make that next step within a solid buy side business. Main Responsibilities Assist in...

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...

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...

Compliance Monitoring AnalystOur client – a reputable Wealth Manager – is looking for a Compliance Monitoring Analyst to join the Compliance Monitoring team in London. The role will have great autonomy and will be perfect for a self-starter competent in carrying out thematic reviews – preferably within an Wealth manager or another financial services...

My client a leader in the private equity space are looking for a compliance associate. Ideally this person would have at least 12months experience in a alternative fund manager. Generalist compliance experience across a range of topics would be preferred.Key skills:1-4 years experience in an alternative funds environmentWill have covered a range of topics...

Join us as a Compliance Monitoring and Testing ManagerIn your new role, you’ll own and develop appropriate risk and control frameworks and independently oversee and challenge the effective management of risks and controlsWe’ll look to you to provide pragmatic, commercial solutions for compliance, conduct and regulatory issuesYou’ll be recognised for...

Role responsibilities. Deliver a series of defined monitoring tests to ascertain the firm’s compliance with its regulatory and legal obligations. Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule. Engage with business pre and post testing; monitoring and verifying the completion of the actions set, which help the...

The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data...

Purpose of Job Reporting to the Head of Compliance Monitoring, London, the Vice President role is required to execute assigned monitoring reviews to assist in the completion of the Compliance Monitoring Plan (‘CMP’) and the needs of EMEA’s Compliance Monitoring Programme. The role is required to help ensure the Compliance Monitoring function is...

Compliance AssociateGlobal Fintech City of London OfficeUp to £80K plus bonus and benefitsFidarsi are currently representing a rapidly expanding Fintech trading firm that are revolutionizing the way retail customers trade, save and accumulate wealth, through a combination of technology and innovative products. With extensive hiring happening across the firm...

This position will be responsible for ensuring compliance across multiple jurisdictionsKey ResponsibilitiesSupport the Head of Compliance within the compliance functionAssist with development, maintenance and delivery of compliance related materialsReview and approve marketing materialsPreparing and maintaining compliance files Support compliance and...