Compliance Officer

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...

Our client is a leading Algorithmic Trading Firm looking for a Compliance Officer to contribute to the global Compliance processes of the firm with a focus towards Operational Compliance.The Opportunity:You will gain exposure to the Compliance, Regulatory, Operations and Trading control processes of a global electronic trading firm. Reporting to the Chief...

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 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...

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...

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 &...

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...

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...

Lutine Bell are currently supporting the Head of Compliance Monitoring of a Global Insurance Broker to appoint a Compliance Monitoring Officer into the growing team.The role will assist the business to identify, assess and govern compliance risk through the compliance monitoring program. This will be both in the UK and overseas...

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,...

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...

In this role you will be responsible for ensuring activities comply with applicable rules and regulations. You will leverage your compliance experience to develop and advise on policies, processes, and procedures. There will also be opportunities for you to support the business with new initiatives and provide a range of compliance training to ensure robust...

OCR Alpha is currently working with a fast growing, long-short hedge fund headquartered in London. This global firm predominately invests across long/short equity as well as fixed income, commodities, and private investments. The RoleTo support recent growth, our client is looking to hire an experienced Chief Compliance Officer. You will have global coverage...

Our client is a global private credit fund looking for an interim Compliance Officer for a 3-6 month period to conduct ongoing regulatory compliance responsibilities. The Opportunity:The role will involve overseeing delivery of on-going compliance support, periodic on-site FCA-reviews and other significant and complex regulatory projects. The individual will...

A leading Wealth & Asset Management business is looking to hire an ESG Compliance Officer to join their growing Compliance function in a newly created role. The position will be an initial 18 month fixed term contract. This role will require an individual that has a genuine interest in ESG and must be comfortable working very closely with the front office as...