Compliance Monitoring Officer

Compliance Monitoring Officer Venn Group have partnered with an international banking firm in the City of London seeking an individual to join their Compliance Monitoring function on a permanent basis. In this pivotal role, you'll be instrumental in enhancing the bank’s internal compliance practices, ensuring they align with the highest industry...

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...

THE COMPANY: Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.THE RESPONSIBILITIES:Review/audit/investigation requests from Exchanges and RegulatorsFATCA and CRS Audit and Advisory; ad hoc tax projectsResearch in relation to keeping up to...

Develop and document AML/KYC policies and proceduresConduct audits and reviews to ensure execution of compliance standards regularlyProduce detailed reports with recommendations based on findings during audits.Communicate with clients and address any concerns they have about ethical or other compliance matters within a department or divisionProactively...

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...

Join the investment banking division of a prominent UK bank, where we are seeking an experienced Compliance Monitoring and Testing Officer VP.This role offers the opportunity to work within a dynamic team under excellent leadership, with the flexibility of hybrid working—two days in the office per week.You will work closely with the Head of Compliance...

THE COMPANY: We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.THE RESPONSIBILITIES:Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems...

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...

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.·...

Role & Responsibilities: Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner. Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses...

Kentro Capital are looking for a Compliance Monitoring Manager to join our team in London, reporting to the GRCO, & proactively working with the Chief Underwriting Officer & Business Unit leaders, you will deliver functional &/or thematic reviews throughout the year to provide a robust 2nd line of defence (in line with the model favoured by the FCA) so that...

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

Your new company Looking for a new challenge in the insurance and reinsurance industry? We have the perfect opportunity for a Compliance Monitoring Manager to join our clients' global team. They are a specialty insurance and reinsurance business who are looking to grow their high-performing compliance team.Your new role Based in London and reporting to...

What the Hiring Manager Says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising...

WHAT YOU'LL DORole Overview We are seeking an experienced Compliance Monitoring Manager to join BCG's Global Compliance team within Compliance Excellence. This second line of defence role offers a unique opportunity to contribute to a team that provides innovative support, guidance, and oversight on critical compliance topics. Key Responsibilities...

Our client, a well-established Insurance Managing General Underwriter, are looking to recruit a Compliance Officer to support the Company Secretary in managing corporate governance including SMCR, making company filings, preparing agendas and collating materials for Board and sub-committee meetings. You will be responsible for minute-taking and following up...

We are delighted to be working with a leading Lloyd's syndicate who are seeking a Compliance Officer to add to their team. One of your primary focuses in this role will be ensuring that group regulated companies comply with all internal regulations and policies applicable to their activities, including activities authorised and regulated by the PRA, the...

Compliance Officer - Global Quantitative Investment Management FundWe are excited to assist a leading global quantitative investment management fund in their search for a Compliance Officer to join their expanding team based in London. This is a fantastic opportunity for professionals with a strong background in commodities and experience in derivatives and...

MERJE are partnered with a leading Investment Manager who are looking for a Compliance Officer to join their fast growing and global team. Key Responsibilities: Manage a varied portfolio of regulatory compliance activities including: giving advisory opinions, providing training, developing policies and processes, approving new business initiatives, and...

Our client, a mid-sized financial institution, is looking to hire a Compliance Officer to join on an interim basis with a view to go permanent. The role will involve:Ensure all company activities comply with current regulations, with a specific focus on FCA requirements. Implement and enforce company compliance policies.Develop and maintain effective...