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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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Company Overview ITI Capital Limited is an esteemed FCA-regulated multi-asset brokerage firm in The City of London. Specializing in various asset classes and account types, including Equities, ETF's, Futures, Options, FX, CFD's, ETF's, Managed Funds ...
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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. SEI is seeking to hir...
Our Team: Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's lead...
Key responsibilities: Act as a Subject Matter Expert on AML, CTF, PEPs and Sanctions for the Business, MLRO and other relevant stakeholders (e.g. Internal/External Audit. Provide timely advice to the business on high risk client onboarding/review ref...
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As part of a geographically diverse team, the Subcustodian Network Manager role is responsible for establishing and maintaining relationships with local market infrastructure entities, regulators, contractual subcustodians and the correspondent banks...
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Responsibilities: To assist in the day to day running of all credit administration matters. Ensure that there is full liaison with Relationship Managers and Assistant Relationship Managers relating to any credit admin matters. To ensure agreements wi...
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Responsibilities (brief): Maintain regulatory developments and support the business in assessing impacts Facilitate compliance with regulatory requirements Be a trusted advisor for any regulatory or governance queries by providing guidance and steer ...
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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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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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Our client, a Global Bank, are looking for an Financial Crime Officer to join their AML Advisory team based in London. Responsibilities below: Act as a Subject Matter Expert on AML, CTF, PEPs and Sanctions for the Business, MLRO and other relevant st...
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Our client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment ...
This specific role will focus on Data Risk and Information Risk, as well as managing BCBS239 PERDARR implementation in the UK Bank. The Senior Data Risk Officer will improve Risk Reporting in the UK Bank to drive Data Compliance across Data Governanc...
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Chief compliance Officer - SMF16/17 Permanent Paying up to 150k City of London We are currently recruiting for a Chief compliance officer on behalf of a well-established bank based in the city of London. The banks core business is corporate loans (sy...
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A prestigious international Bank is seeking a dynamic new addition to its Risk area. Your duties will be varied to include: Daily risk management with a particular focus on liquidity risk and ALM, as well as enterprise risk management Supporting and ...
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Client Relationship Officer - Corporate Banking Excellent opportunity opens for an enthusiastic individual to join the Corporate Banking team of a famous Private Bank as a Client Relationship Officer , supporting the Client Relationship Supervisor an...
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starting at 3 years experience in a Regulatory Transaction Reporting or a broader role including coverage of regulatory reporting Previous experience of a Delegated Service Expert knowledge of EMIR and/or MIFID regulations. experience in Microsoft Ex...
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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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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. Proactively consider compl...
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Role Responsibilities Income events Preparation of event data using external vendors and custodial sources, ?Crediting and debiting trading book Profit and Loss sheet, ?Event reconciliation of trading and custody positions with settled depot holdings...
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The Compliance Officer is responsible for preparing and submitting mandatory reports to clients and regulatory authorities across various jurisdictions. This role includes making statutory disclosures, establishing a strong control environment, and u...
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Who we are looking for A Transfer Agency specialist, at Officer level , to join our Transfer Agency team. You will be responsible for collecting and processing complex data, exercising due diligence as well as reviewing and implementing strict data q...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk ass...
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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...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk ass...
Go to similar: Compliance Officer jobs in underhill hertfordshire
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