COMPLIANCE & RISK OFFICER (ref AL325) LOCATION - FLEXIBLE, WITH UK TRAVEL SALARY TO £36,000 + BENEFITS A Compliance & Risk Officer is required to join this outstanding national Financial Services Organisation. You may be home-based or work out of any of their UK-wide offices, and will be required to travel to any of the offices in order to conduct the role. Your purpose will b...
COMPLIANCE & RISK OFFICER (ref AL325) LOCATION - FLEXIBLE, WITH UK TRAVEL SALARY TO £36,000 + BENEFITS A Compliance & Risk Officer is required to join this outstanding national Financial Services Organisation. You may be home-based or work out of any of their UK-wide offices, and will be required to travel to any of the offices in order to conduct the role. Your purpose will b...
COMPLIANCE & RISK OFFICER (ref AL325) LOCATION - FLEXIBLE, WITH UK TRAVEL SALARY TO £36,000 + BENEFITS A Compliance & Risk Officer is required to join this outstanding national Financial Services Organisation. You may be home-based or work out of any of their UK-wide offices, and will be required to travel to any of the offices in order to conduct the role. Your purpose will...
An exciting opportunity has arisen for Regulatory Officer to work for a leading Corporate and Investment Bank. You will be responsible for tracking legislative and regulatory developments that impact the bank’s businesses in the UK, Middle East and Europe and managing associated regulatory change projects. The incumbent will also be designing and implementing a monitoring and review program for all business lines across the UK,...
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Date: 4 June
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Bristol, Avon
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£35,000 - £38,000 per annum, inc benefits
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5 applications
An excellent opportunity has arisen for a Compliance Monitoring Officer to join the Life and Pensions division of our large FTSE100 organisation. The role: To monitor and report on the compliance of this financial services division with FCA, or local Regulator, other regulatory requirements and internal company policies (where appropriate) in line with the Compliance Monitoring Plan. Key Purpose: <b...
A well respected investment bank based in the city is currently seeking to appoint a compliance officer to join their monitoring and surveillance team. You will be responsible for supporting the team in designing and conducting compliance surveillance and testing for the Global Markets division. Responsibilities assist in designing and conducting monitoring controls for GMD including; Market...
Our client is an award winning Privatly owned Brokerage. Specialising within Investment Management, Equity Sales, FX and CFD's. The office is a very busy and lively trading floor. This is a great oppertunity for someone to join an award winning and growing company and be a key memeber to the team. Responsibilities: The main responsibility for this role is to support the Head of Compliance. This is ...
A rapidly expanding FTSE 250 Insurance firm are looking for a Compliance Monitoring Professional to join their team based in luxurious offices in the City of London. Successful candidates will be rewarded with unrivaled 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). You will also be requ...
My client a fast pace stockbrokers based in the city is looking to recruit a compliance assistant for their London office. Working closely with the Head of Group compliance this wide ranging role encompass all compliance function with the exception of client monies; Perform monitoring work in accordance with the company’s monitoring programme to demonstrate that business is being conducted in compliance with regulatory requirements<...
An exciting opportunity has arisen in a leading independent provider of a number of services such as forensic services and litigation support, corporate tax, business advisory services, audit etc. With offices all over the UK they are looking for a compliance Officer to be based in the heart of London. My client requires a Compliance officer to assist in the regular monitoring of various business areas and provide AML advice to TSB b...
Our Client: Our client is a growing Bank looking to strengthen their compliance team for the Retail Banking Arm. To join the new team an opportunity for a Compliance Monitoring Officer in this newly created team. The Role: Assist the compliance monitoring manager to develop a risk based compliance monitoring programme. Produce compliance risk assessments. Prepare compliance risk monito...
Our client is in urgent need of a commercially experienced candidate to promote and support the aims of our client. The role is to be our clients UK Company’s Compliance Officer and Money Laundering Reporting Officer and to ensure our client meets its regulatory requirements. The Compliance Officer is the CF10/CF11 and they will be expected to perform and undertake the necessary tasks to safeguard the Company in terms of Compliance and Regu...
A highly successful asset management organisation based in London are looking for a Legal and Compliance officer to join their team. Successful candidates will receive a salary of up to £50,000 plus a generous benefits package. This Legal and Compliance role will see you be responsible for monitoring compliance with the Financial Conduct Authority (FCA) where you will specialise in UCITS. You will also be required to assis...
22 jobs matching this search were posted in the last week
A leading wealth manager based in the city is currently looking to appoint an interim compliance officer to join a well established compliance team. You will be responsible for supporting the Head of Compliance and the Compliance team with all aspects of Wealth Management Compliance to deliver an effective compliance service to the business. Responsibilities Provide an advisory service to th...
A rapidly expanding global asset management firm are looking for an Associate Compliance Officer to join their team based in luxurious offices in the City of London. Successful candidates will be rewarded with unrivaled opportunities for progression and a salary up to £40,000 plus benefits. The ideal candidate will speak one of French, German, Spanish or Italian fluently and will have Compliance experience covering monitor...
Financial Ltd, Trainee Internal Compliance Officer.£18,000-£23,000 DOE. Company - "Financial" was established over 10 years ago, a steadily growing IFA network with over 500 advisors. An exciting opportunity has become available within our Internal Compliance department for a Trainee Internal Compliance Officer. The successful candidate will undertake activities to fulfil key functions within the Inte...
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...
A leading FX Brokerage in the city are seeking an experienced Compliance Officer for a newly created role reporting into the Group MLRO. You must have at least 18 months experience within a Bank of Financial House and have good knowledge of AML & KYC requirements. You will be responsible for: The entire compliance spectrum across KYC & AML procedures Assist the Compliance Manager on the companies compliance ...
Compliance Monitoring Officer, Cheltenham £30,000 - £35,000 per annum Reports To: Head of Compliance An exciting opportunity has become available within my client's Financial Services Compliance Team to assist Financial Services Management in mitigating the company’s exposure to regulatory risk. Main Duties Champion and drive a strong culture of Compliance ...
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Date: Yesterday
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Rhyl, Clwyd
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£24,000 - £26,500 per annum
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9 applications
Organisation Description Join an internationally known financial services organisation in North Wales as a Compliance Auditor. This is an award winning private wealth company who have a reputation for excellence and have won awards for training and performance. The Compliance Auditor role is full time, permanent and gives an fantastic opportunity for a motivated individual to join the team in this fast pace...
A fast growing, trustworthy association for online marketers are looking for a Compliance and MLRO officer who will be responsible for ensuring company’s compliance with all applicable FCA laws, regulations and company policies and meeting the expectations of regulators for e-money issuing. The Electronic Payments Association (EPA) is a business membership organisation, established in 2010, and registered in the United Kingdom in 201...
Home based role with access to local offices for a large national insurance broker providing monitoring services to different business units located predominately in Scotland. This is a new position within an expanding team needed as the group grows. You will be given the opportunity to work autonomously within the parameters of the role and would need to have similar experience of running your own diary. The Role Working on y...
Search Global finance are currently recruiting an experienced Compliance Officer for the Guernsey office of their prestigious private equity firm client. Reporting to the London based Head of Group Compliance, the Compliance Officer will be responsible for all compliance matters on Guernsey and supporting the local management team. Specific duties and responsibilities include: Understanding Guernsey regulatory rule...
Job Description A temporary role has arisen in Manchester for a Business Support Officer, for up to 6 months working within a public sector division within Manchester city centre. Previous experience within a similar role is essential, the hourly rate will be £12.30-13.20, based on 35-37.5 hrs week, working Monday to Friday. Key Role Accountabilities Supports ma...
Assistant Compliance Monitoring Officer £24,000 - £28,000 per annum Reports To: Head of Compliance An exciting opportunity has become available within my clients Financial Services Compliance team. The successful candidate will assist in conducting comprehensive, rigorous Compliance reviews to assess Regulatory standards being achieved throughout Financial Services, along...
