An exciting opportunity has arisen for a Financial Crime Manager in our Compliance team based in our London offices. The primary responsibility of the role is to working as a member of the Financial Crime Team, the manager will take responsibility for the day-to-day assessment and monitoring of Third Party relationships for bribery & corruption risk. This is an opportunity for someone with a compliance background, rigorous ...
Very well respected and established private client investment manager with a number of offices nationally are looking for an assistant compliance manager due to an internal promotion. The Role Working in the specialist division managing the Unit Trusts and OEIC's product area. You will be working alongside the compliance director supporting the unit trust manager. This is a generalist role where you would be expecte...
A medium-sized insurance brokerage have an exciting position for a Compliance officer to join them in a permanent part time - working one day a week from their Croydon based offices. The Role The main purpose of this role will be to oversee the compliance requirements of the firm from a regulatory stand point. Reporting directly into the Compliance Director you will ensure that the business and staff are compliant with insuranc...
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 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...
In order to apply for this position candidates MUST have COMPLIANCE EXPERIENCE COUPLED WITH LEVEL 4 DIPLOMA. Please note as we receive a high volume of applications we are only able to respond to those candidates who are shortlisted. This role would be suited to any of the following; Compliance Officer Compliance Supervisor Compliance Manager T...
Recovery and Resolution Plan Manager - Investment Banking - City of London RRP Dependency/Requirements - ICAAP, ILAA - Stress Testing - Cross functional Remit coming from Risk, Strategy, Finance, Legal, Compliance function - Regulatory Requirements/Knowledge of Legislation - IB A global investment bank based in the City require a strong finance professional with previous knowledge of Risk to take control of their Recovery...
Purpose of the role: To provide a proactive compliance consultancy service to directly authorised clients and institutions, presenting compliant solutions in general compliance areas. To deliver professional and valued support services and provide effective customer relationship activity to influence positive customer sentiment Responsibilities: <...
Job Title: AML Manager Location: London Job type: Contract Team: Forensic The role will be involved in some of the largest AML assignments in the financial services industry. With a reputation as one of the world's leading specialist advisors, our Client has established Forensic practices throughout UK and a European netwo...
Mortgage Complaints Specialists required for a mortgage servicing in London. Responding to customer complaints, providing analysis and management information and ensuring service and regulatory standards are maintained. Responsibilities for the role of Mortgage Complaints Specialist Handling complaints in accordance with company policy and regulatory guidelines Provide MI for the monthly com...
Job Title: AML Assistant Manager Location: London Job type: Contract Team: Forensic The role will be involved in some of the largest AML assignments in the financial services industry. With a reputation as one of the world's leading specialist advisors, our Client has established Forensic practices throughout UK and a Euro...
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...
An opportunity has been created due to growth, for an experienced Training and Competence Manager to join the London based team of this international financial services provider which covers investment and wealth management. As a T&C Manager, you will sit within a certain segment of the business which covers Employee Benefits Consulting for larger corporates and Wealth Advisory for SME clients. Respon...
16 jobs matching this search were posted in the last week
Our client is seeking an experienced complaint handler who will be accountable for customer complaints relating to pension and structured and investment products. You will ensure that complaints are managed and progressed to resolution in line with regulatory requirements. The role holder will be responsible for: Ensuring that complaints are investigated fully and dealt with in accordance with FSA regul...
A leading wealth manager based in the city is currently recruiting for a temporary Compliance Officer to assist with the provision of regulatory advice to the UKwealth management business. You will be responsible for representing Compliance to the business and providing appropriate advice with regard to regulations and compliance related matters. Responsibilities Advise on regulatory changes that may im...
Training and Competence Manager Due to growth an opportunity has been created, for an experienced Training and Competence Manager to join this major international banking organisation who is major provider of investment and wealth management. As a Training and Competence Manager , you will sit within a certain segment of the business which covers Employee Benefits Consulting for...
Title: Arabic speaking KYC Analyst Skills: Fluent Arabic and English, attention to detail and a strong team work ethic, some knowledge of KYC and FSA regulations, excellent communication skills Salary: c.£25,000 Duration: 9-12 months maternity cover Location: Central London Work schedule: 7.5 hour shifts between 6:45am - 10pm Mon-Fri Our client, a dynamic and expanding provider of financial trading and ...
A leading custodian based in the city is currently seeking to appoint a compliance officer for an initial 6 month contract. You will be responsible for working with the business and peers within the compliance function to ensure that regulatory matters are managed in a professional manner. Responsibilities Advise and consult the business on regulatory laws and regulations and their interpretation <...
Compliance Monitor - Reg Reporting - brokerage firm - a great company with excellent work/home life balance. Located in the heart of the City - £35,000 to £45,000 A full service investment brokerage company, with a strong corporate history and a global reach within the international investment markets are looking for a Compliance professional to make sure the business is conducted in an appropriate manner and is in accordan...
Payroll coordinator – nine month fixed term contract Our client is one of the fastest growing organisations in the UK. They are currently looking for an experienced Payroll Coordinator- to work on a Part-time basis supporting their finance team. As payroll coordinator you will make sure that the day-to-day activities of the payroll function are done in a timely, efficient and effective manner. You will need to demons...
This is a superb new role within a respected Wealth Manager who has an exciting opportunity has arisen for Compliance Officer. You will be required to provide a high level of support to the Compliance Officer (CF10) and T&C supervisor. The role involves compliance management and data analysis; maintaining, creating, administering, and proposing policies, procedures and activities. You will work closely with the Financial Pl...
An exciting opportunity has arisen within a leading Wealth Management firm for a Compliance and Data Manager. The company provides independent holistic financial planning to both private and corporate clients. The Role: • You will be required to provide a high level of support to the Compliance Officer (CF10) and T&C supervisor. • The role involves compliance management and dat...
A confident professional with an insurance background is sought to join a global insurer in a challenging Compliance role in the City. You will be responsible for monitoring and reporting on global compliance; developing relationships with the FSA and other regulators; and ensuring all internal strategy issues are dealt with effectively. Applicants need to display good knowledge of general insurance compliance procedure, FSA principles and ...
Compliance Monitoring Contractor- £40K- 6 month contract pro rata Compliance contract role, must have inurance experience Key Responsbilities: Undertake compliance monitoring views Draft terms of reference for each review, together with a work plan, based upon the controls to be tested, relevant to the risk area being used Maintain the adequ...
Job Description: Provide assistance in coordinating the global SOX process for the UK. Provided assistance in assessing risk categories (likelihood and impact) of key risks. Assist in the mapping of the risk to the control framework, SOX procedures controls, balance sheet and profit and loss line items. Assess any gaps in the procedure controls.<br...
