We have an exciting opportunity for a Compliance Manager to join our UK Compliance team. Reporting into the Deputy Head of UK Compliance, your positio...
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We have an exciting opportunity for a Compliance Analyst to join our UK Compliance team. Reporting into a Compliance Manager, your position will invol...
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Principal Purpose of the role: Duty: The Head of Compliance/CCO (SMF16) & MLRO (SMF17) has a duty to the Bank to work with management and staff to identify and manage regulatory risk and the risk that the Branch may be used for the purposes of financ...
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Job Title: Associate - Compliance Analyst Job Description The Compliance Monitoring and Testing (CMT) Group is an independent oversight function responsible for planning and executing testing and monitoring activities. These activities assess whether...
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Job Overview We are seeking an experienced Compliance Manager to join the London branch of an established foreign bank. This role offers the opportunity to oversee regulatory compliance and ensure the bank’s operations align with PRA and FCA require...
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Our client is a specialist hedge fund, HQ'd in London. After recent good performance and the recent launch of new funds, they are now looking to add a Compliance Manager to their existing team in London. Reporting into the Chief Compliance Officer, t...
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AXA Investment Managers (AXA IM) is a responsible asset manager, actively investing for the long-term to help its clients, its people and the world to prosper. Our high conviction approach enables us to uncover what we believe to be the best global i...
Job Title: Quality Assurance Compliance Manager Location: London, UK Company: [Confidential Bank] Job Summary: The Quality Assurance Compliance Manager will be responsible for ensuring that the operations in London comply with all relevant regulatory...
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Core Responsibilities: Advising traders on compliance matters related to foreign exchange and commodities. Overseeing daily trading activities and conducting communication surveillance. Handling inquiries from regulatory bodies and exchanges. Managin...
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Compliance Manager - 12 Months FTC Department: Compliance Employment Type: Fixed Term - Full Time Location: London Description The candidate will support the Head of Compliance, and the compliance team to enhance, maintain and deliver the Davies Insu...
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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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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 is a large-scale organisation in the financial services industry. They focus on providing unique investment opportunities and have an established presence across the UK. Their team is comprised of individuals who are dedicated, innovative ...
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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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Key responsibilities: Working closely day-to-day with the retail leadership team, you will have a dotted line to the central Risk and Compliance function where you will maintain a clear line of communication sharing best practice and helping to deliv...
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The role will provide oversight of regulatory processes across the business ensuring compliance with regulatory requirements and internal policies and procedures. This will include working closely with the COO to assist in managing the risk framework...
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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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Principal Purpose of the role: Duty: The Head of Compliance/CCO (SMF16) & MLRO (SMF17) has a duty to the Bank to work with management and staff to identify and manage regulatory risk and the risk that the Branch may be used for the purposes of financ...
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This is a generalist compliance role. Candidates will ideally have circa 3-5 years financial services compliance experience and knowledge of implementing assurance and compliance processes. Key Skills Ideally 3-5 years relevant compliance experience ...
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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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The post-holder will: Provide accurate, timely and practical regulatory compliance advice to the Private Client business on lending (regulated, unregulated and consumer credit) For regulated lending, advise on the meaning and application of FCA rules...
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Overview: A leading global investment bank specialises in mergers and acquisitions, capital markets, financial restructuring, and A prominent global investment bank focuses on mergers and acquisitions, capital markets, financial restructuring, and fi...
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Administrator 24,000 basic bonuses benefits packages - some clients also have free parking available Leatherhead, Dorking, Epsom We have a number of administration roles we need to fill for clients based in the immediate local areas. Duties will incl...
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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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A Lloyd's Managing Agency is seeking a compliance analyst. The firm are moving into marine insurance having experienced rapid growth in non-marine markets. As such, they need somebody with circa 2-3 years experience of working on marine insurance com...
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An award winning multi location professional services company based in Weybridge are looking for an experienced administrator from a professional services environment that would like to work in a fantastic progressive company that will nurture your t...
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Required skills and knowledge: • A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses. • An understanding of the FCA rules in relation to ESG, Princip...
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