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About Us: BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our...
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Responsibilities: Delivers proactive and efficient compliance advisory and oversight services. Provides guidance on and ensures adherence to relevant regulations. Interprets, analyses, and implements regulatory changes, focusing on their impact on th...
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Are you a Compliance professional , with experience working within a compliance and/or risk department of a FCA regulated company? Honda UK are looking for an experienced Compliance professional to join the team in Bracknell, on a hybrid basis. The C...
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Key Responsibilities: Regulatory Compliance and Oversight: Ensure the company adheres to all applicable FCA regulations, including those specific to the CFD industry such as the FCA’s product intervention measures on CFD offerings (e.g., leverage lim...
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Join our client, a prominent banking organisation, as their Wholesale Compliance Officer and play a key role in ensuring compliance with the UK regulatory regime. As part of their dedicated Compliance team, you will have the opportunity to have a sig...
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Summary: The SEI Group is a leading global provider of asset management and investment technology solutions. SIEL's Compliance department is seeking an experienced Senior Compliance Officer to join the growing team. Reporting to the Deputy Head of Co...
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I am seeking a diligent and detail-oriented individual to join my rapidly growing Black Country based client. The successful candidate will play a crucial role in ensuring that this growing organisation adheres to all financial regulatory requirement...
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We are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. This role will be generalise...
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This prestigious Hedge Fund has a rich history of excellence and innovation in the financial sector. With a strong focus on client satisfaction and ethical practices, the company offers a dynamic and rewarding work environment for ambitious professio...
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Responsibilities: Monitor the regulatory environment to keep abreast of current legislation, key regulatory initiatives and future developments and interpret the impact on all business areas. Assist in the ongoing review and updating of compliance po...
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Compliance Officer, Monitoring Location: London Reports to: Head of Compliance Monitoring Salary: 80,000 per annum Overview: A well established Lloyd broker, is expanding internationally and seeks a Compliance Officer to support the 2nd line of defen...
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Compliance Officer (12-month FTC) Investment Management London – Up to 90,000 Gresham Hunt is currently partnered by a leading global investment management firm in their search for a new Compliance Officer. Our client is one of the largest investment...
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Compliance Monitoring Officer Venn Group have partnered with an international banking firm in the City of London seeking an individual to join their Compliance Monitoring function on a permanent basis. In this pivotal role, you'll be instrumental in ...
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Compliance Monitoring Officer-French / German Speaking Role Overview & Purpose A leading wealth management firm, located in Manchester, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candida...
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Compliance Monitoring Officer-French / German Speaking Role Overview & Purpose A leading wealth management firm, located in Manchester, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candida...
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Compliance Monitoring Officer-French / German Speaking Role Overview & Purpose A leading wealth management firm, located in Manchester, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candida...
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The Value of Active Minds About Jupiter Jupiter is one of the UK's leading investment management companies with over 500 employees and 51.3 billion worth of assets under management (as at 30th June 2024). Jupiter provides investment services to indiv...
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Key responsibilities include but are not limited to: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the Plan and propose remedial actions. Day to day management of t...
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At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset ...
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PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex deb...
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At SEI we value our employees and believe in driving growth through change. Part of building brave futures is making a concerted effort to develop and challenge our employees to achieve their goals through internal job mobility. Summary : The SEI Gro...
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Title: Markets Compliance Advisory Officer Global Broking Credit and Equities Agency Execution Company Overview: The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial...
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Our Commodities and Global Markets businesses provide risk management, lending and financing, and physical execution and logistics services across the energy, metals, and agricultural sectors globally. The division also offers commodity-based index p...
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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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Role responsibilities. Deliver a series of defined monitoring tests to ascertain the firm’s compliance with its regulatory and legal obligations. Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule. Engage wit...
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