Compliance Monitoring Officer
Found in: Talent UK C2 - 1 week ago
Our client – a leading Asset Manager – is looking for a Compliance Monitoring Consultant to join the Compliance Monitoring team in London. The role will be focused on end to end Thematic reviews. They are ideally looking for someone with good Monitoring experience, preferably within an asset management firm. The salary is circa £65-70k.
About you:
- Will have at least 3 years year experience within Compliance Monitoring plans.
- Extensive regulatory compliance knowledge within the asset management industry.
- Experience within thematic reviews (deep dives).
- Great attention to detail, planning and organisational skills.
- High initiative and business understanding.
If this role sounds of interest, please apply using the link or email me your CV to alice.dee@bruinfinancial.com Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons - men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.
-
Compliance Officer Monitoring
4 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...
-
Compliance Monitoring Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...
-
Compliance Monitoring Manager
2 days ago
London, United Kingdom Compliance Professionals Full timeOur client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...
-
Compliance Officer
6 days ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients. **THE RESPONSIBILITIES**: - Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP); - Conducting surveillance...
-
Senior Compliance Monitoring Manager
2 weeks ago
London, United Kingdom Compliance Professionals Full timeWe are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due diligence in respect of customers at take-on,...
-
Compliance Officer
6 hours ago
London, United Kingdom The Risk Partners London Full time**Our Client**: We are working with a boutique Asset Management firm, supporting their search for a Compliance Officer in their London based office. The roles primary function will be carrying out tasks related to the Compliance Monitoring Programme, however there will be wider tasks given the small team. **Responsibilities**: - Compliance Monitoring -...
-
London, United Kingdom Compliance Professionals Full timeOur client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Implement and carry out the Compliance Monitoring programme, including...
-
Compliance Monitoring Officer
2 days ago
London, United Kingdom ETRA Full timeOur client a Financial Services firm is looking to hire a Compliance Monitoring Officer to join a fantastic compliance team (for full job description please apply): Role Responsibilities: - Ensure that monitoring and surveillance activities are undertaken according to agreed procedures and frameworks. - Monitoring and surveillance activities will include...
-
Compliance Monitoring Officer
21 hours ago
London, United Kingdom eFinancialCareers Full timeAn expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function in the London Officer. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the Compliance Monitoring Methodology. This include the ability to lead...
-
Compliance Monitoring Officer
7 days ago
London, United Kingdom eFinancialCareers Full timeMy Insurance client is urgently seeking a Compliance Monitoring Officer to assist with the below; - Provide robust regulatory advice, guidance and support, on all aspects of distribution related activities - Contribute to the development of the Compliance Department - Promote strong regulatory awareness within the business - Lead on delivering risk based and...
-
Compliance Monitoring Officer
7 days ago
London, United Kingdom eFinancialCareers Full timeAn expanding international bank are looking to recruit a Compliance Monitoring Officer to join their broader Compliance function. The role will work closely with Senior Management both in the team and wider business. **Main Responsibilities** - Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the...
-
Compliance Officer
5 days ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and asset and wealth managements services. **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and keeping updated, the departments...
-
Chief Compliance Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...
-
Compliance Monitoring Officer
21 hours ago
London, United Kingdom Morningstar Full time**Compliance Monitoring Officer - Wealth Platform**: **Location**:London, EC1 / Hybrid**: **About the role**: **The role is primarily focused **on compliance monitoring **for our investment platform** to test systems and con**trols** and adherence **with** **FCA **regulatory rules**, guidance and principals**.** **There will also be some responsibilities...
-
Compliance Monitoring Officer
3 days ago
London, United Kingdom Salary Finance Full time**About Salary Finance** Salary Finance is a leading global FinTech platform. We support a community of 4M employees across 575 clients (inc 20% of the FTSE 100) in the UK and US, and provide a suite of financial employee benefits, to help employees improve their financial health and happiness. Our platform provides salary-linked savings, loans, pay...
-
Compliance & Monitoring Officer
6 days ago
London, United Kingdom AKTON Resourcing Ltd Full timeCompliance & Monitoring Officer Enfield We are looking for a proactive person who will be responsible for ensuring all properties within the Housing Gateway Ltd. (HGL) and Enfield Let (EL) portfolios (the portfolios) have all statutory certificates and licences. The Compliance & Monitoring Officer (CMO) will be expected to liaise with contractors, tenants...
-
Senior Compliance Monitoring Analyst
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is a leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Preparation and review of documentation for high-risk clients, escalating to the MLRO as required; Daily monitoring of transactions in respect of AML and MAR Assisting with ongoing Compliance...
-
Compliance Monitoring Officer
7 days ago
London, United Kingdom LHH Recruitment Solutions Full timeResponsibilities: - Provide an in-depth understanding of the regulatory framework, whilst ensuring effective risk management procedures are put in place at all times - Leading the execution of the Compliance Monitoring programme and contributing to annual Compliance Monitoring risk assessment processes - Maintaining Compliance Monitoring testing...
-
Compliance Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata...
-
Compliance Officer
Found in: Talent UK 2A C2 - 2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...