Jobs: investment compliance

**About us** We are a dynamic and innovative start-up company dedicated to creating a leading global investment business with a commitment to excellence and a passion for creativity. We believe in fostering a collaborative and empowering work environment where talented individuals can thrive and make a significant impact. We are a start-up looking for the...

Compliance Advisory Manager – Wealth/Investment Management Compliance Experience Required   Ref: 4012G   £75K - £85K + Good Benefits                                                                Hybrid (West End)   Our client, a boutique wealth manager and part of a larger global banking...

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 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. -...

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...

Job description FinTech Compliance is a consultancy providing compliance advice to a wide variety of FCA regulated financial services firms, with a particular focus on technology-based, innovative and alternative finance businesses. Our core services include FCA authorisations, ongoing advice and support, the authoring of policies/procedures, compliance...

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...

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 global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for providing Compliance Advisory support to the Business -...

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 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...

We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of...

We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. The role is a 3 to 6 month contract THIS ROLE IS NOT SUITABLE FOR KYC AND AML CANDIDATES - IT IS A REGULATORY COMPLIANCE FOCUSSED ROLE. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of...

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. Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Implement and carry out the Compliance Monitoring programme, including...

**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...

**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...