Compliance Officer

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...

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...

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...

About Us: BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our operations. To strengthen our team, we are seeking a diligent and knowledgeable Compliance Officer who shares...

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...

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...

A global investment bank offering wealth management, investment management, and wholesale banking are now looking to grow further with the addition of a new Compliance Officer. You role will include providing advisory support and second line challenge to the relevant Corporate Functions on: n Non-Financial Regulatory Reporting (MiFID, EMIR, SFTR, CFTC &...

Lutine Bell are supporting a leading Global specialist insurer to appoint a Compliance Officer in the companies Lloyds syndicate division.The role:You will understand and manage regulatory risk, establish control frameworks, and drive regulatory change across the business. This role requires a broad knowledge of insurance regulatory matters particularly...

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...

Job Title: Operations Officer (Compliance)Overview:Our client is seeking a detail-oriented and proactive Operations Officer (Compliance) to support our compliance and operational functions. This role will ensure that our business operations align with regulatory requirements and internal policies, playing a crucial role in maintaining the integrity and...

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...

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...

Meraki Talent are currently working with a growing London, Mayfair based overseas wholesale and private bank that are looking to hire a regulatory compliance officer. Working closely with the Head of Compliance to ensure that the Bank complies with regulatory and legal compliance requirements as well as internal policies. Responsible for the execution,...

Monday at Nine is delighted to once again be supporting a premium global business in the payments industry, known for their innovative solutions and commitment to secure, efficient transactions. They are at the forefront of technology and financial services, providing cutting-edge payment processing services to a global client base. As they continue to...

Regulatory compliance officer Full time/ Permanent Bank - City of London 3 days per week in office Paying up to £60,000 Day to Day Maintain a culture of compliance and ethical behaviour Proactive management of performance and targets Development of appropriate control and reporting structures, including that of segregation and resilience Open and timely...

We are InvestEngine, an exciting new investment platform in the Fintech space looking to change the way people look after their money and invest in their future. No more flutters on crypto or trading away hard-earned cash on yesterday’s biggest tech firm. We are building the platform for real people to make the most of their investments in the right way...

Prestigious International Bank, based in the City of London, are looking to recruit a Senior Compliance Officer. The role will include various duties in relation to Compliance. The role will assist the Branch’s Head of Compliance & MLRO in ensuring that the Bank meets its UK legal and regulatory requirements. Main responsibilities will include;Identifying...

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...