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The role supports the further development of the Compliance oversight model of the Corporate Compliance Team. You will be working with the team members and other colleagues within Compliance to ensure efficient, effective and consistent Compliance su...
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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What the Hiring Manager Says What the Hiring Manager Says An exciting opportunity has become available to join an established Compliance Team at Quilter Cheviot, a longstanding investment management firm, reporting to the Compliance Manager responsib...
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The ideal candidate will have 4 years of compliance experience. We will also consider candidates with experience in roles within investment management firms that has given them exposure to, and an understanding of, the investment and/or trading proce...
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Job Purpose ICE Futures Europe (the Exchange"), Intercontinental Exchange's (ICE") European Recognised Investment Exchange, Recognised Auction Platform and Benchmark Administrator, is a dynamic and fast-growing organisation which constantly evolves t...
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We have been exclusively instructed by a Financial Services firm seeking a Compliance Manager to join their business on an initial 12-month Fixed Term Contract. Main Responsibilities: Assist and monitor Personal Account Dealing using the PA Dealing s...
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Position: Head of Compliance Location: London (with possible travel abroad) Full-Time Company Overview: Gold Grain Capital is a boutique firm specialising in structured and alternative investment products, custom securitisation solutions, and wealth ...
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Job Description We have a brand-new opportunity for a Legal & Compliance Officer to join a team in the centre of Leeds. We are looking for an individual with a legal background combined with compliance experience. Salary: 30k - 35k Location: Hybrid (...
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The Vacancy The role The candidate will support the Head of Compliance, and the compliance team to deliver, maintain and help comply with Davies Insurance Services regulatory compliance framework and oversee the Intermediary Services' network of Appo...
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A Wealth Management business is looking to recruit a Compliance Monitoring Associate to join their business. The role will work within a closeknit Compliance Monitoring team which is part of the broader Compliance function. Ideal opportunity for an i...
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Job Description Responsibilities The Senior Compliance Consultant will be able to independently manage and develop key client relationships, lead client project work (client secondments, AML investor refreshes, regulatory change projects e.g. IFPR, F...
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Vice President Compliance Investment Banking London – Up to 100,000 Gresham Hunt has been mandated by our UK Investment Banking client to find a new Compliance Advisory Officer. Our client is a top UK banking group, with a strong worldwide presence. ...
At MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for ...
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Macquarie Asset Management is part of Macquarie Group, a diversified financial group providing clients with asset management, banking, advisory and risk and capital solutions across debt, equity, and commodities. Headquartered in Sydney and with offi...
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Key Responsibilities: Develop and execute an operational risk monitoring plan, including risk frameworks and matrices. Identify key business risks and implement mitigation strategies. Conduct operational risk reviews, draft detailed reports, and moni...
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Location London - One Canada Square, Level 25 Business - Brookfield Oaktree Wealth Solutions Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100 year history of owning and operating real assets and related bu...
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Company Description Legal & General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients mo...
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Role & Responsibilities: Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner. Work proactively to identify control gaps and weak...
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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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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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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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Audit Managers on the team both lead and participate in conducting regulatory focussed internal audits, developing audit planning documentation and testing strategies and maintaining strong relationships with key stakeholders across the bank. Applica...
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My client are boutique consultancy looking to expand their London presence with a newly created role for a determined self-starter. They are looking for a regulatory compliance professional to deliver subject matter expertise to their wide range of f...
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About the Role: Grade Level (for internal use): 10 Compliance Services Lead The Team: S&P is seeking an experienced & motivated Compliance Services Lead to support the growth within the EMEA Compliance Services group. The individual will be responsib...
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About the Role: Grade Level (for internal use): 12 Compliance Services Manager The Team: S&P is seeking an experienced & motivated Compliance Services Manager to support the growth within the EMEA Compliance Services group. The individual will be res...
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