Current jobs related to Compliance Associate - London Area - Compliance Professionals

  • Compliance Associate

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well regarded and fast growing online retail brokerage and is currently seeking a compliance associate to join their teamTHE RESPONSIBILITIES:Provide advice to the businessReview of policies and procedures to ensure that they are in line with applicable requirements and internal processes;Compliance risk assessments and...

  • Compliance Associate

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well regarded and fast growing online retail brokerage and is currently seeking a compliance associate to join their teamTHE RESPONSIBILITIES:Provide advice to the businessReview of policies and procedures to ensure that they are in line with applicable requirements and internal processes;Compliance risk assessments and...

  • Compliance Associate

    3 weeks ago

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

    Compliance Associate - Junior Client Onboarding & KYC OfficerWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team as a Junior Client Onboarding & KYC Officer. As a key member of our compliance team, you will be responsible for assisting with all new client onboarding requirements and documentation, ensuring compliance...

  • Compliance Associate

    4 weeks ago

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

    Compliance Associate - Junior Client Onboarding & KYC OfficerWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team as a Junior Client Onboarding & KYC Officer. As a key member of our compliance team, you will be responsible for assisting with all new client onboarding requirements and documentation, ensuring compliance...

  • Compliance Associate

    2 weeks ago

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

    Compliance Associate - Junior Client Onboarding & KYC OfficerWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team as a Junior Client Onboarding & KYC Officer. This is an excellent opportunity to begin a compliance career in a responsible and broad role with an exciting FinTech business that has seen significant growth...

  • Compliance and KYC Associate

    2 weeks ago

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

    Job Title: Compliance and KYC AssociateJob Summary: We are seeking a highly motivated and detail-oriented Compliance and KYC Associate to join our team. The successful candidate will assist with all new client onboarding requirements and documentation, ensuring compliance with regulatory and legal requirements.Key Responsibilities:Assist with onboarding new...

  • Compliance and KYC Associate

    6 days ago

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

    Are you a recent graduate seeking a challenging role in financial services? We have an exciting opportunity for a Graduate Trainee Compliance/KYC Associate to join our team.As a Graduate Trainee Compliance/KYC Associate, you will assist with onboarding new clients, agents, and distributors, performing all relevant checks on at the client on-boarding stage as...

  • Senior Compliance Monitoring Associate

    3 weeks ago

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

    Senior Compliance Monitoring AssociateCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering the annual compliance monitoring programme by undertaking...

  • Senior Compliance Monitoring Associate

    3 weeks ago

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

    Senior Compliance Monitoring AssociateCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering the annual compliance monitoring programme by undertaking...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...

  • Compliance Associate

    5 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...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Associate Job DescriptionOur client, a global banking group, is seeking a Compliance Associate to join their team. As a Compliance Associate, you will play a crucial role in ensuring the company's compliance with regulatory requirements and internal policies.Key Responsibilities:Conduct regular compliance reviews to ensure adherence to regulatory...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Associate Job DescriptionOur client, a global banking group, is seeking a Compliance Associate to join their team. As a Compliance Associate, you will play a crucial role in ensuring the company's compliance with regulatory requirements and internal policies.Key Responsibilities:Conduct regular compliance reviews to ensure adherence to regulatory...

  • Senior Compliance Monitoring Associate

    2 weeks ago

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

    Compliance Monitoring RoleWe are seeking a Senior Compliance Monitoring Associate to join our team. The successful candidate will have at least 2 years of compliance monitoring experience with a wealth management firm or a retail financial advice firm.The role involves assisting in the delivery of the annual compliance monitoring programme, identifying...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring Associate – Two Years Retail FS or Wealth Management Monitoring Experience RequiredCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be...

  • Compliance Specialist

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Compliance Associate RoleOur client, a leading online retail brokerage, is seeking a skilled Compliance Associate to join their team. As a key member of the Compliance Professionals organization, you will play a vital role in ensuring the company's compliance with regulatory requirements and internal policies.Key Responsibilities:Provide expert advice to the...

  • Compliance Specialist

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Compliance Associate RoleOur client, a leading online retail brokerage, is seeking a skilled Compliance Associate to join their team. As a key member of the Compliance Professionals organization, you will play a vital role in ensuring the company's compliance with regulatory requirements and internal policies.Key Responsibilities:Provide expert advice to the...

  • Compliance Associate

    3 weeks ago

    London Area, United Kingdom Gresham Hunt Full time

    Compliance Associate – 1 Year FTCAsset and Investment ManagerLondon – Up to £70,000Gresham Hunt has been mandated by our Asset and Investment Management client to find an experience Compliance Associate on a one year contractual basis.Our client is a leading provider of asset and investment management services across a diverse range of asset classes....

  • Compliance Associate

    1 week ago

    London Area, United Kingdom Gresham Hunt Full time

    Compliance Associate – 1 Year FTCAsset and Investment ManagerLondon – Up to £70,000Gresham Hunt has been mandated by our Asset and Investment Management client to find an experience Compliance Associate on a one year contractual basis.Our client is a leading provider of asset and investment management services across a diverse range of asset classes....

Compliance Associate

2 months ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is an expanding London-based investment management firm, specialising in distressed credit/special situations.









THE RESPONSIBILITIES:


  • Assist in managing the compliance relationships with the front office team, portfolio managers, research analysts and the finance team.
  • Provide clear and consistent technical advice and guidance to colleagues in respect of the FCA’s rules.
  • Developing, updating and implementing the firm’s compliance policies and procedures.
  • Preparing and maintaining employee certifications in accordance with the FCA’s Senior Management Certification Regime.
  • Proactively review the implications and impact of upcoming regulatory changes.
  • Assist in/ lead on the day-to-day compliance oversight and monitoring activities of the firm including market soundings, management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals, client classification and research.
  • Provide compliance input into a range of projects / initiatives including new fund launches, and other development initiatives.












EXPERIENCE REQUIRED:


  • Prior experience of a compliance role within an Asset Management environment.
  • Strong relationship skills with the ability to engage proactively with portfolio managers, and colleagues at all levels.
  • A good knowledge of the FCA’s regulatory rules as they apply to asset managers.
  • Understanding of the asset management industry, and specific investment asset classes and products.
  • Attention to detail and accuracy, works systematically to meet and maintain standards, and adheres to procedures.
  • Good analytical skills, capable of thinking logically, using initiative and systematically able to resolve problems.















For further information please contact Spencer Evans