Associate Director, Compliance

2 months ago

London, United Kingdom Fitch Ratings Full time

Associate Director - Fixed Term Contract

Fitch Ratings is currently seeking an Associate Director based out of our London or Manchester office.

Fitch Ratings is actively seeking an experienced professional to represent the Personal Conflicts Monitoring (PCM) team as temporary maternity cover for a permanent employee. The individual will work closely with their PCM colleagues in other regions, along with Legal, business management, Human Resources and other internal support and control functions. They will gain an understanding of both Fitch Ratings’ business and operations, and the rules and regulations under which the agency operates. 

What We Offer:

Great development opportunities within the Compliance team with high visibility to various levels of stakeholders Join an amazing team across New York, London, and Frankfurt

We’ll Count on You To:

Provide a practical and supportive role in maintaining, advising, and overseeing compliance with the Firm's Code of Conduct and Global Securities Trading and Conflicts of Interest Policy provisions relating to employee trading, gifts, outside interests, and annual certifications by sharing a core set of responsibilities with the compliance team in London and the US Manage the full employee onboarding process for assigned geographical region(s), which includes coordinating between Human Resources, the business lines, and the new candidate to complete and review his or her compliance disclosures. Investigate facts and circumstances to assist Human Resources and the business lines, where applicable, regarding potential conflicts of interest inquiries identified in the surveillance of securities trading or recusal process. Collaborate and communicate extensively with business heads, shared support groups and compliance/risk and other colleagues to provide guidance on policies and procedures relevant to monitoring and surveillance of securities trading and recusals resulting from potential conflicts of interest. Have a hands-on approach with a sense of ownership and leadership for the assigned geographical region(s).

What You Need to Have:

Significant hands-on, demonstrable experience in the financial services industry monitoring for conflicts arising from employee securities trading, outside interests, gifts, and entertainment. Effectively communicate policy requirements to employment candidates, employees and managers on pertinent policies and procedures. Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes. Highly organized with good time management skills and a responsive nature and advanced ability to identify discrepancies and determine alternative courses of action.

What Would Make You Stand Out:

Knowledge of investment securities Experience using MyComplianceOffice GDPR and privacy law experience Professional Compliance qualifications

#LI-TD1

#LI-Ratings

#LI-Hybrid

  • Compliance Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description 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...

  • Compliance Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    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...

  • Senior Compliance Director

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Title: Senior Compliance DirectorSalary Range: £100,000 - £130,000 per annumAbout the Role:This is an outstanding opportunity for an experienced Senior Compliance Director to join a leading Global Payments business in a key role at an exciting time of their growth and expansion.Key Responsibilities:Leading the Compliance monitoring programme and...

  • Compliance Associate

    2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    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...

  • Compliance Associate Specialist

    3 weeks ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    At Sovos Compliance, we are seeking a talented Compliance Associate Specialist to join our team. As a key member of our growing Compliance Services team, you will play a crucial role in ensuring the accurate preparation and filing of IPT returns for our clients.The ideal candidate will possess excellent attention to detail, strong analytical skills, and the...

  • Risk & Compliance Officer

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...

  • Compliance Director

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job TitleCompliance Director - Financial Crime SpecialistCompany OverviewOur client is a leading global investment management business with offices in the West End. We have been exclusively instructed to assist with their hire of a Compliance Director on a 13-month fixed-term contract.About the RoleThe Compliance Director will work within the region to...

  • Compliance Director for Global Operations

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Compliance Director to lead our global operations and ensure we maintain the highest standards of regulatory compliance.About the RoleDevelop and implement effective global compliance strategies, ensuring alignment with relevant regulations and industry best practices.Manage and oversee our global regulatory...

  • Compliance Associate

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. **THE RESPONSIBILITIES**: - Performing, supporting & enhancing monitoring and surveillance activities. - Managing, supporting and...

  • Ad Regulatory Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global institutional investment management firm, based in the City. They are looking for a Regulatory Compliance specialist to join the team. The role is hybrid with 2/3 days expected in the office each week. **THE RESPONSIBILITIES**: - Assist in the management, supervised by the Director, Risk & Compliance, of the risk and...

  • Corporate Tax Compliance Associate Director

    3 weeks ago

    London, United Kingdom CV-Library Full time

    Corporate Tax Compliance Associate Director  Salary: Starting from £85,000 per annum (flexible based on experience) London - Hybrid  The Opportunity Our client provides tailored advice in all areas of taxation, helping their clients to navigate the complexities of tax codes, often in multiple areas of sector jurisdictions, and to help...

  • Compliance Director

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewWe are seeking a seasoned Compliance Director to join our team at Compliance Professionals.The ideal candidate will have extensive experience in senior-level compliance roles within the derivatives brokerage industry.About the RoleThis is an exceptional opportunity to oversee a small team and play a pivotal role in developing our compliance...

  • Associate Director Regulatory Compliance

    5 days ago

    London, United Kingdom Fitch Group, Inc. Full time

    Associate Director, Compliance - Fixed Term Contract Requisition ID: 47206 Business Unit: Fitch Group Category: Legal & Compliance Location: London, GB; Manchester, GB Date Posted: Oct 16, 2024 Fitch Ratings is currently seeking an Associate Director based out of our London or Manchester office. Fitch Ratings is actively seeking an experienced...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryWe are seeking a highly skilled and experienced Compliance Officer to join our team at Compliance Professionals in London. The successful candidate will be responsible for ensuring that all regulatory requirements are met and maintained, while also providing administrative support to the legal department.Key Responsibilities:Writing minutes and...

  • Corporate Tax Compliance Associate Director

    3 weeks ago

    London, United Kingdom Your Talent Solutions Full time

    Corporate Tax Compliance Associate Director Salary: Starting from £85,000 per annum (flexible based on experience)London - Hybrid The OpportunityOur client provides tailored advice in all areas of taxation, helping their clients to navigate the complexities of tax codes, often in multiple areas of sector jurisdictions, and to help them ensure they are...

  • Head of Risk

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and...

  • Compliance Director

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Leader WantedAj Fox Compliance is seeking a seasoned professional with a passion for AML, regulatory compliance, and conflict management to lead their compliance strategy and team. This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best practices across the firm.Key responsibilities...

  • Compliance Director of Operations

    3 weeks ago

    London, Greater London, United Kingdom Compliance Wise Full time

    This is an exciting opportunity for a seasoned compliance professional to lead our firm's global Compliance function at Compliance Wise.Lead the development and implementation of a comprehensive Compliance strategy.Ensure continued compliance with all legal and regulatory requirements.Promote a culture of compliance throughout the organization.Manage a team...