The Role: To assist the Head of Risk and Compliance in the implementation and enhancement of a robust second line risk and compliance function across ...
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Practice Group / Department: Risk & Compliance Management UK & Europe - London Job Description We're Norton Rose Fulbright - a global law firm with ov...
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Compliance Monitoring Analyst – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Ref: 4008G2 60K - 75K Bonus & Benefits Hybrid/Kent We have been appointed by our Client, a boutique Retail & Institutional Stockbroker, wh...
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Requirements: · Minimum of 5 years of experience in internal and/or external audit, compliance testing team or a similar function within the financial industry · Extensive experience in compliance test planning, processes and controls design assessme...
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Market Data Admin & Compliance Support Analyst 200 per day Inside IR35 6 Months London-based initially then Hybrid We have an exciting opportunity for an experienced Market Data Administrator & Compliance Support Analyst to join a London based multin...
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Main Duties Assess data and make informed decisions and sound subjective judgments to monitor trading activity for compliance with the relevant rules and regulations. Escalation to LOB Supervisors of issues that require attention Handle "on-the-fly" ...
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OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance...
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A GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTURE As the Global Asset Management business of Prudential, we're always looking for ways to improve financial services. We're passionate about making a meaningful impact - touching the liv...
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Job Description Responsibilities (how we will measure success) The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives (ARs"), and to provide leadership and management within the team. In particular:...
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Responsibilities (brief): Delivery of the annual review plan and reporting Engagement with internal and external audit and regulators Developing the annual control plan Skills required (brief): Experience executing compliance reviews or internal audi...
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Compliance Legal Counsel - Financial Regulatory - Associate Director, Doha, Qatar 130,000 to 150,000 salary package additional benefits (0 % tax) My client in Qatar would like to hire a candidate from the UK market, with FCA Regs. experience, to relo...
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GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide com...
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Key Responsibilities & Tasks Responsibilities will include, but not be limited to: • Support and implement the annual Compliance Plan, identifying areas requiring additional monitoring and testing. • Provide guidance on ethical and conduct related ma...
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Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Business Administration Travel Percentage : 0% Are you ready to unleash your full potential? We're looking for people who are ...
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Key Responsibilities: Provide timely and accurate compliance advice to the private side of the business Interpret and communicate regulatory requirements and industry standards to business units, ensuring adherence to applicable laws and regulations..
Leading global fund manager seeks a compliance advisor with a specialist focus upon product development matters. Reporting to the Head of Product & Investment Compliance, the successful candidate will provide the product development business with adv...
Develop, implement and direct a compliance program for new products and varies business lines in the UK & Europe Hold the Key Person positions of MLCO, MLRO. Responsible for implementing Compliance governance framework. Working with other senior lead...
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Role Profile An exciting opportunity exists for a Senior Associate to join the Capital Markets Compliance team (CMC) of the London Stock Exchange Group (LSEG). CMC provide compliance and advisory support to the Equities and FX Trading businesses with...
Deputy Head of Compliance – International Banking Excellent opportunity opens for an experienced Deputy Head of Compliance/ Compliance Manager from an International Banking background to join an International Bank's London office and work in a crucia...
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One of the most exciting fintech firms in the global financial services industry is looking for a Head of Compliance in their flagship London office. They are looking for a highly experienced, commercially driven Compliance professional who can truly...
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Company Description Wise is a global technology company, building the best way to move and manage the world's money. Min fees. Max ease. Full speed. Whether people and businesses are sending money to another country, spending abroad, or making and re...
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About Revolut People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that. With an arsenal of awesome products that span spending, saving, travel, transfers, in...
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Company Description Wise is a global technology company, building the best way to move and manage the world's money. Min fees. Max ease. Full speed. Whether people and businesses are sending money to another country, spending abroad, or making and re...
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OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance...
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OUR IMPACT At Goldman Sachs, the mandate of Global Compliance is to prevent, detect and mitigate compliance, regulatory, and reputational risk across the firm and help to strengthen the firm's culture of compliance. Compliance accomplishes this manda...
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Key Responsibilities: Develop and maintain robust compliance frameworks and policies in line with regulatory requirements and industry standards. Conduct regular assessments of our compliance programs to identify areas for improvement and implement n...
Job Brief The Risk & Compliance team plays a key role in protecting the clients customers and business. This Compliance Manager role will be a subject matter expert in investments and funds, and be responsible for advising on and overseeing the clien...
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