The Company Multinational consulting firm with offices around the UK and overseas. Renowned for offering excellent career opportunities including the chance to specialise in a number of disciplines and to advance up the management ladder. The Role Working in a specialist financial services division you will spend the majority of your time interacting with clients, whether that be meeting them to discuss the...
The Company Multinational consulting firm with offices around the UK and overseas. Renowned for offering excellent career opportunities including the chance to specialise in a number of disciplines and to advance up the management ladder. The Role Working in a specialist financial services division you will spend the majority of your time interacting with clients, whether that be meeting them to discuss the...
My clients, a global merchant bank are expanding their regulatory function and seek a Legal & Compliance Officer to join their team on a full-time, permanent basis. The Role As Compliance Officer, you will report directly into Compliance & Corporate Operations Manager, where you will be required to take ownership of company's regulatory obligations. Key duties include: ? Providing assistance to Deal Originators wi...
This highly acclaimed national IFA and Wealth Manager, who are a provider of services to private and institutional clients, are recruiting a Business Risk Manager. The Role As Regulatory Risk Manager, you with report to the Area Business Risk Manager and key duties will include; Provides Risk oversight and consultancy for Area Manager Business Risk and Head of Business. Ensures safe growth of our business by pro...
Compliance Officer - Insurance - £50,000 A growing Insurance organisation is looking for a Compliance Generalist and Monitoring Professional to join their team based West Sussex. Successful candidates will be rewarded with opportunities for progression and a salary up to £50,000 plus benefits. The Compliance Officer will be responsible for monitoring compliance with the Financial Conduct Authority (FCA) and sha...
This is the investment management division of recongnised leader in the financial services sector with nearly £400 billion under management. Due to a focus on developing and expanding their product range they are now seeking a compliance manager with knowledge of Unit Linked Products or life fund structures. The Role You will be responsible for ensuring that the highest standards of compliance within the business areas ar...
Hudson Accounting & Finance are currently working with an East Midlands based Financial Services organisation to recruit an interim Risk & Compliance Manager. This role is likely to last nine to twelve months and during this time you will be responsible for leading compliance and risk reviews in line with the compliance monitoring plan. The successful candidate will have extensive Financial Services experien...
Organisation Description We are currently recruiting for a leading Legal Services company who require a Senior Risk and Compliance officer to join them on a Fixed Term Contract. The role itself is to work alongside a team and must have a strong background handling complaints and a superb knowledge of the SRA Handbook. Job Description Key Skills required: - Strong SRA Handboo...
A well established Financial Services Broker operating globally have an exciting position for a Compliance Trade Monitoring Officer to join their London based team. The Role The main purpose of role would be to monitor client and proprietary trading activity to detect potential regulatory and exchange breaches. Main duties will include: Responsible for supervision and operation of electronic trade monitoring surve...
Our Client A boutique Regulatory Consultancy with a long standing track record of success within the Financial Services industry are presently embarking on some very ambitious expansion plans to capitalise on their outstanding reputation in the market place. They are presently looking for a very experienced Regulatory professional who has an extensive background within the Fund Management and/or Private Equity space to oversee...
Our Client A reputable Investment/Wealth Manager are presently looking to recruit a Senior Risk and Compliance Monitoring specialist. The Role Supporting the Head of Risk and Compliance in the ongoing management and monitoring of risk you will be responsible for - Working with business unit heads and managers to assess and identify the potential risks that may damage its re...
Our Client A reputable Investment/Wealth Manager are presently looking to recruit a Senior Risk and Compliance Monitoring specialist. The Role Supporting the Head of Risk and Compliance in the ongoing management and monitoring of risk you will be responsible for - Working with business unit heads and managers to assess and identify the potential risks that may damage its rep...
Our Client Our client are one of the fastest growing global Technology firms within the Card Payments space and are currently looking to recruit a Risk & Compliance Director in London. The Role Reporting directly into the CEO and providing oversight for a team of Anti-Fraud and AML specialists, you will be responsible for - Identifying and maintaining oversight of all ke...
8 jobs matching this search were posted in the last week
Are you looking to move your career to an international level, and gain global exposure in beautiful Bermuda? On behalf of our Client, we are keen to recruit an experienced Senior Officer to help direct and support their Policy team. The ideal candidate will assist with meeting the Team objectives, and will be responsible for providing a range of technical policy support activities - including: Researching complex regula...
Organisation Description Our client, a multinational Investment Bank is currently in search of a Compliance and Conduct Risk Quality Assurance Manager. Job Description The successful candidate will be responsible for and have experience in: - Developing the risk based Compliance and Conduct Risk quality assurance plans. - Have a strong working knowledge of F...
This well respected online trading company seeks to grow their compliance department and is recruiting for a Compliance Analyst on a full time, permanent basis. The Role As Compliance Analyst, you will report directly into the Deputy Head of Compliance. Key duties include: ? Plan and undertake the execution of compliance desk reviews/monitoring in accordance with an established review plan. ? Work with the business ...
An opportunity has arisen to work within the investment operations division of a large well respected Discretionary Wealth manager. Currently profitable and expanding this organisation is in a strong position to add an additional regulatory specialist to the department. The Role """Working quite autominously alongside the head of department this will be a varied role being the focal point for regulatory issues f...
A rare and exciting opportunity has arisen for a Head of Compliance to join a highly established Investment Manager in London. The Role Working closely with the Risk and Compliance Director, the role of Head of Compliance will be oversee the entire Compliance team based In London including the Policy and Monitoring teams. In addition to this you will assist with the production of the annual Risk and Compliance Plan by producin...
A well established Commodities Broker based in London have an exciting opportunity for a Compliance Monitoring officer to join their organisation. The Role Working within an established Compliance team the main duty of the role will be to overtake all monitoring activity using the SMARTs operating system to detect potential regulatory and exchange breaches. You will be responsible for the operation of the SMARTs electronic tra...
Our client is seeking an experienced Compliance Manager to join their team on a 6month contract. As a Regulatory Compliance Manager, you will support the business to maintain the regulatory conduct compliance through pro-active and consistent advice and guidance with specific responsibility for the oversight and approval of all financial promotions and customer communications including all digital, electronic and social media channe...
Alexander Daniels is searching for an Interim Senior Compliance Manager to commit for an initial 6-12 month contract working for a leading financial services organisation located within the Midlands. The Role: A high level of transformation is taking place which generates additional regulatory risk. An interim senior Compliance manager is required to provide additional bandwidth to enable the Compliance function to provide a reas...
A well established Financial Panning and Investment manager have an exciting opportunity for a compliance monitoring officer to join their London based team. The Role Working closely with the Group Compliance Monitoring Manager, you will undertake and report the results of independent risk-based monitoring to all businesses within the Group. The main duties of the role will include the following: To assist i...
Hudson Accounting & Finance are currently working with an East Midlands based Financial Services organisation to recruit an interim Risk & Compliance Manager. This role is likely to last nine to twelve months and during this time you will be responsible for leading compliance and risk reviews in line with the compliance monitoring plan. The successful candidate will have extensive Financial Services experien...
Our Client a well respected small boutique Wealth Management firm needs an experienced Compliance Manager to head up their compliance function You will be responsible for taking strategic and overall operational responsibility for compliance, audit and training within the Firm in accordance with both regulatory requirements and best practice. To oversee internal and external compliance and regulatory reporting requirements, ens...
A respected broker dealer based in the City have an exciting opportunity for an AML Surveillance Officer to join their Regulatory Compliance team. The Role The main purpose of this role will be to support the Firm's Compliance function through the ongoing monitoring and surveillance of transactions to identify, manage and report potential incidents of financial crime. You will also be responsible for performing daily trade sur...
