Jobs: compliance

**THE COMPANY**: Our client is an international bank based in the City. The firm offers comprehensive financial solutions, ensuring excellent service, reliable banking, and trusted expertise for customers **THE RESPONSIBILITIES**: - Performing Compliance Risk Assessments - Second line oversight of the Bank’s compliance with the applicable law,...

**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...

Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

THE 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...

THE 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...

THE 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...

THE 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...

THE 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...

THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the...

**THE COMPANY**: Our client partners with exceptional managers and hedge funds to create leading funds globally. **THE RESPONSIBILITIES**: The role will cover the compliance for three entities within the group and will consist of the following main responsibilities: - General Compliance Monitoring - Thematic Reviews - Trade Surveillance (using TZ Trade...

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking...

THE 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...

THE 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...

**THE COMPANY**: Our client is a leading retail and private wealth firm *** **THE RESPONSIBILITIES**: - Undertake wide range of checks of specified system reports and/or alerts, for example, AML, deals transacted, reports on cash position, asset allocation etc. to ensure that clients and the firm is not at risk - Act as administrator for branch...

**THE COMPANY**: Our client is a global investment and wholesale banking group. **THE RESPONSIBILITIES**: - Monitoring and assessing the impact of regulatory developments in relation to AML financial crime and sanction regulation, and engage with the relevant business areas to ensure they are implemented. - Review high risk sanctions alerts referred to...

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The ClientWe are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of...

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The Client We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of...

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The ClientWe are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of...

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The ClientWe are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of...

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The ClientWe are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of...