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Compliance Monitoring
3 weeks ago
Barclay Simpson London, United Kingdom**Compliance Monitoring**: · - London · - £75,000 · - Job type: Permanent · - Sector: Banking · - Job reference: NE39507 · My client is a medium sized investment bank in central London. They have an exciting opportunity for a compliance monitoring officer to join an established t ...
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Compliance Monitoring
2 weeks ago
Barclay Simpson London, United Kingdom**Compliance Monitoring**: · - London · - £75,000 · - Sector: Banking · - Job reference: NE40798 · My client is a medium sized investment bank in central London. They have an exciting opportunity for a compliance monitoring officer to join an established team. This is an avp leve ...
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Scotiabank London, United KingdomRequisition ID: 173129 · Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. · **_ · Purpose_** · Contributes to the overall success of GBM&T Europe Compliance in the UK and Ireland ensuring specific individual goals, plans, init ...
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Coinbase London, United KingdomAt Coinbase, our mission is to, and we couldn't do this without hiring the best people. We're a group of hard-working overachievers who are deeply focused on building the future of finance and Web3 for our users across the globe, whether they're trading, storing, staking or using ...
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Compliance Monitoring Officer
3 weeks ago
Quintet Private Bank London, United Kingdom**Purpose of the Job**: · - Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our client and their families and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to ...
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Compliance Monitoring Consultant
2 weeks ago
M&G plc London, United KingdomAt M&G our purpose is to help people manage and grow their savings and investments, responsibly. As a business, we are continuing to take steps towards a sustainable future, delivering better long-term solutions for our customers and clients and identifying new opportunities to m ...
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Compliance Monitoring Executive
3 weeks ago
eFinancialCareers London, United KingdomResponsibilities: · The incumbent shall work to implement and perform monitoring of first level trade and order alerts across all of the bank's business lines. At the same time s/he will give input for the improvement of the monitoring tools to reduce noise or false positivesand ...
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Compliance Monitoring Officer
3 weeks ago
Ameriprise Financial London, United KingdomThe position as Compliance Monitoring Officer is a newly created position within the Global Compliance Monitoring Office 'GCMO' team, which is part of the Columbia Threadneedle General Counsel's Office (GCO). The position will report in to the London based EMEA Compliance Monitor ...
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Compliance Monitoring Officer
2 weeks ago
eFinancialCareers London, United Kingdom**About Columbia Threadneedle Investments** · You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority. · Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help yo ...
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Compliance Monitoring Officer
3 weeks ago
Guy's and St Thomas' NHS Foundation Trust London, United KingdomDo you have a background in auditing? Do you want to join a dynamic team who are passionate about maintaining high standards to keep our patients, visitors and staff safe? Do you have experience in carrying out high level audits and reports? If so, we would like to hear from you. ...
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Compliance Monitoring Executive
3 weeks ago
ACA Group London, United Kingdom**Date**:Mar 14, 2023 · **Location**: London Hybrid, GB · **Company**:ACA Group · **The Opportunity**: · As part of ACA Mirabella, the Compliance Monitoring Executive is responsible for the compliance oversight of a variety of clients requiring regulatory hosting solutions from A ...
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Compliance Monitoring Officer
3 weeks ago
Bionic Services Ltd London, United KingdomAt Bionic, we're making life radically easier for small business owners. We're building a one-stop shop for business essentials that's powered by smart technology and world class human service giving them an experience so good that they trust Bionic to sort all their business nee ...
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Head of Compliance Monitoring
4 weeks ago
eFinancialCareers London, United KingdomA leading Lloyd's Insurance broker is hiring a Head of Compliance Monitoring to lead and manage their monitoring team. · **Reporting into**: Group Chief Compliance Officer · **Responsibilities**: · - To provide compliance oversight and leadership across the company structure. · - ...
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Compliance Monitoring Officer
3 weeks ago
ETRA London, United KingdomOur client a Financial Services firm is looking to hire a Compliance Monitoring Officer to join a fantastic compliance team (for full job description please apply): · Role Responsibilities: · - Ensure that monitoring and surveillance activities are undertaken according to agreed ...
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Head of Compliance Monitoring
3 weeks ago
Eames Consulting London, United KingdomDue to a number of successful acquisitions this global insurance intermediary is seeking a seasoned compliance monitoring professional to join their senior management team. This newly created role will provide compliance oversight and leadership across theirUK&I structure. Your k ...
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Compliance-business Monitoring
4 weeks ago
Financial Divisions London, United Kingdom**plus excellent benefits listed below** · My Client is a rapidly growing IFA firm based in London where long term client relationships based on trust are the result of regular ongoing referrals and recommendations. Due to their success and growth, they are looking to offer this ...
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Compliance Monitoring Contractor
4 weeks ago
eFinancialCareers London, United Kingdom FreelanceReporting to the Head of Compliance Monitoring, the role will primarily focus on the development and execution of a risk based program of thematic and desk based monitoring · Applicants should have compliance monitoring experience from within the asset management sector and be ab ...
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Compliance Monitoring Associate
2 weeks ago
BRUIN Financial London, United KingdomPermanent · - London, · **Ref**: 35405 · Compliance Monitoring Consultant · Role and responsibilities: · - Identify need and carry out thematic reviews for the compliance monitoring team. · - Regular testing, thematic and ad-hoc reviews to be carried out to ensure the business co ...
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Compliance Monitoring Manager
4 weeks ago
Mazars London, United KingdomOur Business Services team is a collective set of creative, strategic, forward-thinking business enablers. Together the People & Culture, Marketing & Communications, IT, Operations, Finance and Quality & Risk Management teams make it their mission to ensureMazars has the right to ...
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Compliance Monitoring
1 week ago
Bruin London, United KingdomJoin a Leading Private Bank as a Compliance Monitoring Officer · Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below. · FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED · About the Firm: Join a leading private bank in the weal ...
VP - Compliance Monitoring/Testing - London, United Kingdom - Meraki Talent Limited
Description
Meraki Talent are working with a global Fintech/FX client that are looking for a VP of Compliance to join their innovative and dynamic team in London.
Position Overview:
As the Vice President of Compliance, you will play a pivotal role in ensuring that our client operates within regulatory frameworks and maintains the highest standards of compliance.
You will be responsible for developing and implementing compliance policies and procedures, conducting risk assessments, and overseeing regulatory reporting.Additionally, you will serve as a trusted advisor to senior management on compliance-related matters and lead a team of compliance professionals.
Key Responsibilities:
Develop and implement comprehensive compliance policies and procedures to ensure adherence to applicable laws and regulations, including but not limited to AML, KYC, and GDPR.
Oversee regulatory reporting requirements and ensure timely and accurate submission of reports to relevant authorities.
Stay abreast of regulatory developments and industry trends, and advise senior management on potential impacts to the business.
Lead and mentor a team of compliance professionals, providing guidance and support to ensure departmental goals are met.
Collaborate cross-functionally with other departments, including Legal, Risk Management, and Operations, to address compliance-related issues and implement solutions.
Serve as a primary point of contact for regulatory inquiries and examinations, and coordinate responses as necessary.
Qualifications:
Bachelor's degree in Business, Finance, Law, or related field; advanced degree preferred.
Minimum of 15 years of experience in compliance roles within the financial services industry, with a focus on Fintech/FX.
Strong understanding of relevant regulatory requirements, including but not limited to SEC, CFTC, FINRA, and FCA regulations.Proven track record of developing and implementing effective compliance programs and policies.
Excellent leadership and interpersonal skills, with the ability to effectively communicate with stakeholders at all levels of the organization.
Detail-oriented with strong analytical and problem-solving abilities.Professional certification (e.g., CAMS, CRCM, CCEP) preferred.
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