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Carrying out daily review and monitoring of the firms Code of Ethics program Assist the compliance team with compliance onboarding and managing employees’ disclosures Conduct new hire and annual compliance trainings, personal trading reviews and appr...
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Compliance Manager, Compliance Advisory 22 Bishopsgate, London - Hybrid Permanent At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we act...
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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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Fixed Term Contract Duration - 11 Months About the Business At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one st...
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Eames Consulting is partnering with a reputable Lloyd's Syndicate to appoint a Compliance Officer in multiple locations, including London, York, and Colchester. We are seeking compliance generalists to support the Head of Compliance with a solid unde...
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Fixed Term Contract Duration - 5 Months About the Business Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK's best wealth manager for clients and their advisers. Quilter oversees 111..
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We are seeking a Compliance Officer to join our clients London office. The Compliance Officer will be responsible for ensuring that the organisation adheres to regulatory requirements and internal policies. This role involves monitoring compliance wi...
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Fixed Term Contract Duration - 11 Months What the Hiring Manager says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to s...
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We are exclusively recruiting for a growing asset management firm looking to hire a Compliance Officer for a newly created role as the business continues to expand. This role will suit someone with a proactive & dynamic working approach, comfortable ...
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Eames Consulting is partnering with a reputable Lloyd's Syndicate to appoint a Compliance Officer in multiple locations, including London, York, and Colchester. We are seeking compliance generalists to support the Head of Compliance with a solid unde...
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Compliance Associate – 1 Year FTC Asset and Investment Manager London – Up to 70,000 Gresham Hunt has been mandated by our Asset and Investment Management client to find an experience Compliance Associate on a one year contractual basis. Our client i...
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We are recruiting for a leading city based Stockbroker / Wealth Management firm are looking for a Compliance Manager to oversee the day to day management of the Compliance Department. Main Responsibilities Submission of RegData regulatory reports, no...
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Compliance Manager, Compliance Advisory 22 Bishopsgate, London - Hybrid Permanent At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we act...
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Job Description: Job Title Compliance Control Room Location London Corporate Title Assistant Vice President The Compliance function is evolving the way in which it manages risk, placing greater emphasis on understanding and measuring the key controls...
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About Us The South Quadrant comprises: Harris Academy Morden Harris Academy Merton Harris Academy Purley Harris Academy South Norwood Harris Academy Sutton Harris Academy Wimbledon Harris Invictus Academy Harris Aspire Academy Harris Professional Ski...
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Job Purpose The Senior Compliance Analyst is responsible for assisting in ensuring that IFEU, IFAD and TVEU (together the businesses") adhere to all applicable regulation and in-house policies. The Senior Compliance Analyst will therefore assist the ...
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A large international bank based in London. Description Compliance Programme Manager will act in a senior capacity supporting the delivery and implementation of the EMEA compliance Transformation initiative by: Ensuring that the transformation initia...
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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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My client a Global Investment Manager is looking for a Compliance Monitoring Consultant for a 6 month contract. This role is an exciting oppurtunity to support the streamlining of their compliance monitoring plan, and is ideal for somone with a stron...
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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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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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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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Description of the Business Line or Department Societe Generale Group's Compliance Controls team operates as a 2nd Line of Defence function covering both regulatory and financial crime compliance risks. Our objective is to assess and test the adequac...
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NT- THIS IS A 15MONTH FTC POSITION 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 orga...
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As part of an established compliance team, you will play a crucial role in maintaining regulatory compliance and safeguarding the company's reputation. You will: Monitor and manage information barriers within the firm Ensure compliance with FCA regul...
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