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...
Vertex Financial Services, Compliance Monitoring Officer, £30000-£35000, Cheltenham. Vertex Financial Services is a leader in Business Process and Customer Management outsourcing, serving over 200 clients worldwide across many sectors. Our focus is on providing value-based solutions for our clients that deliver exceptional customer experience, and do so cost effectively. An exciting opportunity has b...
Vertex Financial Services, Assistant Compliance Monitoring Officer, £24000-£28000, Cheltenham. Vertex Financial Services is a leader in Business Process and Customer Management outsourcing, serving over 200 clients worldwide across many sectors. Our focus is on providing value-based solutions for our clients that deliver exceptional customer experience, and do so cost effectively. An exciting opportu...
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...
Organisation Description My client is a successful assurance company based in the heart of Brighton. Job Description This will be a varied and challenging role which will include the following duties - - To carry out monitoring checks and calendar tasks. - Carry out detailed Checks on the compliance monitoring plan in order to ensure the Societys compliance with the FSA...
Organisation Description My client is a successful assurance company based in the heart of Brighton. Job Description This will be a varied and challenging role which will include the following duties - - To carry out monitoring checks and calendar tasks. - Carry out detailed Checks on the compliance monitoring plan in order to ensure the Societys compliance with t...
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...
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<...
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...
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...
A well established global Financial Services company specialising in Insurance have an exciting opportunity for a compliance monitoring officer to join their organisation. The Role he main purpose of this role is to provide compliance assurance through undertaking risk based compliance audit reviews, provision of advice to the business on regulatory matters, and through the review and approval of key compliance related material...
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 CF10/11 in the implementatio...
-
Date: 30 April
-
Bristol, Avon
-
£35,000 - £38,000 per annum, inc benefits
-
3 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: The variation on ...
37 jobs matching this search were posted in the last week
A highly established Wealth and Investment Manager based in the City have an exciting opportunity for a Compliance Monitoring Officer to join their successful Compliance team. The Role Working within the Wealth Management and Discretionary wealth side of the business the role will include working with the Group Compliance Monitoring team and, where necessary, specialist external compliance monitoring assistance to perform both ...
Organisation Description My client is a successful assurance company based in the heart of Brighton. Job Description This will be a varied and challenging role which will include the following duties - - To carry out monitoring checks and calendar tasks. - Carry out detailed Checks on the compliance monitoring plan in order to ensure the Societys compliance with the FSA...
Job Description This is a unique opportunity to join a fast expanding Investments firm based in the West End. Reporting directly to the Corporate Operations Manager, this role will involve day to day responsibility for regulatory obligations across all relevant verticals, save only for the compliance oversight and Money Laundering Officer ("MLRO") function. The role will encompass ensuring that regulated entities stri...
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...
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 ...
An Investment Management organisation based in Sussex are looking for a Compliance Monitoring Officer to join their team. The salary is £25k - £30k. This is an excellent opportunity to grow your career in Compliance. They are looking for someone with Compliance experience in Investment Management or Client money or product administration in Bonds/ ISAs/ CTFs/ Collectives Investment Schemes (Unit Trust or ICVCs). Pleas...
Compliance Officer Dubai - only apply if you are located in Dubai £80,000 - Yearly Pro-Finance is currently recruiting for a compliance officer to work in Dubai - you must be located in Dubai. Core Activities Establishing and maintaining effective Compliance and anti money laundering policies, procedures, systems and controls in compliance with applicable legislation in the DIFC and the UAE; ...
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 ...
Our client based in Reading is currently recruiting for a Compliance Monitoring Officer. Key responsibilities include - Execute a risk based Compliance Monitoring Plan by way of conduct risk based reviews, drafting reports and compiling evidential working papers To identify areas of regulatory control weakness and work with the business and compliance advisers to develop controls to address...
This top Lloyd’s Syndicate are seeking a Compliance Officer to join their growing team to focus across Compliance Monitoring / Assurance. This will be a key role within a small commercially focused Compliance function. You will hold responsibility for overseeing and providing assurance of achievement of the businesses Compliance objectives. You will achieve this via designing and implementing an effective Compliance Monitoring / Assu...
An opportunity has arisen to work with a specialist provider of investment services. With sustained growth throughout the business and a recent internal promotion they now require a monitoring specialist to work in the compliance team. The Role You will be working closely with other business areas of the company providing input on service level agreement etc. The role will be conducting formal thematic reviews as outlined...
