- Supporting daily administrative tasks
- Drafting and reviewing legal documents
- Assisting with corporate restructuring
- Ensuring compliance with regulations and best practices
- Conducting legal research
- Being a key member of the Legal and Compliance Committee
- Assisting with regulatory filings and queries
- Previous compliance/legal experience, preferably in investment management
- Relevant legal qualification or experience
- A keen interest in law or asset management
- Strong attention to detail and organizational skills
- Excellent communication skills
- Ability to work well under pressure and in a small team
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Compliance Officer
3 weeks ago
Vontobel London, United KingdomYour opportunity · **Primary Responsibilities**: · - Perform monthly compliance monitoring to assess the adequacy of the Firm's compliance with applicable regulations · - Assist with the review of client communications, including financial promotions and cross border distribution ...
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Compliance Officer
3 weeks ago
Rothstein Recruitment London, United KingdomRothstein Recruitment London, United KingdomPosted 14 minutes ago Hybrid Permanent £40k - £50k · Compliance Officer - Financial Services - Challenger Broker - Key Market Broker · This role reports directly to the Head of Compliance. · Salary - £50k · Hybrid working · Compliance o ...
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Compliance Officer
4 weeks ago
Fraser and Fraser London, United Kingdom**About us** · Fraser and Fraser is a small business in London. We are professional and agile, our goal continues to be the leading firm of probate genealogists in the UK · Fraser and Fraser, is searching for a motivated and experienced compliance officer to guarantee that our bu ...
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Compliance Officer
3 weeks ago
High Finance (UK) Limited T/A HFG London, United KingdomThis role is with a specialist Lloyd's insurance brokerage, one that specialises in a niche, highly-interesting area of the market. · The current compliance officer is moving into a new position with the business and as such, is hiring for her replacement to take the lead on all ...
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Compliance Officer
3 weeks ago
Société Générale London, United Kingdom**Responsibilities**: · **Description of the Business Line or Department** · The SG Kleinwort Hambros (SGKH) Group Compliance Team sits within the Compliance, Anti-Money Laundering and Financial Crime CPLE function and is responsible for monitoring and advising the business in re ...
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Compliance Officer
2 weeks ago
Beazley London, United KingdomJob description · Job Title: Compliance Officer · Division: Compliance · Reports To: Head of Licensing and Contracts · Key Relationships: UK and US Compliance Staff, Claims, Underwriting, Broker Relations, Culture & People, Delegated Authorities · Job Summary: Provide advisory su ...
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Compliance Officer
3 weeks ago
SKU Recruitment London, United KingdomMy Client are seeking **Compliance Officers** · Take the next step and contact us today, this is your chance to work with the recruitment agency of choice. · We are a household name within the industry and are currently seeking a number of Recruitment Consultants for our Nursing ...
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Compliance Officer
3 weeks ago
MCS Group London, United Kingdom Part timeMCS Group are delighted to be partnering with a regional financial planning firm as they seek to hire a Compliance Officer on a part-time basis at around 15/20 hours a week. · **Key Responsibilities** · - To be the Compliance and Money Laundering Officer for the IFPR MiFID busine ...
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Compliance Officer
4 weeks ago
Service Care London, United KingdomJob Advertisement: Compliance Officer - RIPA Covert Authorities Bureau · Pay Rate: £450 - £561 per day Location: London · **Security Clearance: Please note that this role requires live DV (Developed Vetting) clearance and STRAP status in order to be considered.** · Job Summary: J ...
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Compliance Officer
2 weeks ago
Mcgregor Boyall London, United Kingdom*PERM ROLE* · Compliance Officer · £60,000-£70,000 · *Hybrid Model* · The Company: · Currently recruiting for a leading bank, based in London. · The Role: · Looking for a Compliance Officer, who possesses a detailed understanding of appropriate legislation, regulation and guidanc ...
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Compliance Officer
4 weeks ago
EDF Trading London, United Kingdom**Reports to**:Head of Compliance/MLRO · **Location**: London, UK · **Company information** · EDF Trading is a leader in the international wholesale energy markets. The company manages a portfolio of assets which give it the ability to source, supply, transport, store, blend and ...
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Compliance Officer
3 weeks ago
Barclay Simpson London, United Kingdom**Compliance Officer**: · - London · - £90,000 - £120,000 · - Job type: Permanent · - Sector: Asset Management & Funds · - Job reference: JB40143 · Barclay Simpson are currently recruiting for a Compliance Officer to join the London office of a globally renowned real estate asset ...
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Compliance Officer
3 weeks ago
Avencia London, United Kingdom**About Markel**: · Avencia Consulting are an RPO who provide a recruitment service to our client Markel International. · Markel Corporation (NYSE - MKL) a fortune 500 company with over 60 offices in 20+ countries, is a holding company for insurance, reinsurance, specialist advis ...
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Compliance Officer
3 weeks ago
InvestEngine London, United Kingdom**Hey** · We are InvestEngine, an exciting new investment platform in the Fintech space looking to change the way people look after their money and invest in their future. No more flutters on crypto or trading away hard-earned cash on yesterday's biggest tech firm. We are buildin ...
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Compliance Officer
3 weeks ago
Morgan Philips Specialist Recruitment London, United KingdomJob Title: Compliance Officer · Location: London, UK · Job Summary: · **Responsibilities**: · - Assist in the development and implementation of compliance policies and procedures to ensure adherence to regulatory requirements. · - Conduct compliance risk assessments and identify ...
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Compliance Officer
3 weeks ago
BCT Resourcing London, United Kingdom**Compliance Officer - Banking** · **London / Remote** · **£60,000 per annum** · I have an opportunity for a Compliance Officer to join a growing UK bank in the city. · - Permanent role · - Up to £60,000 + package · - Hybrid working · Key responsibilities: · - Regulatoy policy an ...
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Compliance Officer
3 weeks ago
GCB Agency Recruitment London, United KingdomLocation: · London · - Discipline: · Financial Services · - Job type: · Permanent · - Benefits: · £45,000 - £60,000 (Pro-Rated for Part-Time) · - Published: · - Expiry date: · **The successful Compliance Officer will be offered**: · - £45,000 - £60,000 (Pro-Rated for Part-Time) · ...
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Compliance Officer
4 weeks ago
Stephenson Harwood LLC London, United KingdomWhat we will offer: · We will offer you a place where you can be yourself and where there are no limits on what you can achieve. With us, you can take ownership of your career and have honest conversations throughout. You would join an ambitious firm with a clear strategy for pro ...
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Compliance Officer
3 weeks ago
Non-Bank Financial Services Broker Dealer London, United KingdomJob Summary: · We operate as a boutique non-bank financial institution broker dealer (non-retail customers) and seek an experienced individual to step into an SMF16 and SMF17 role to help build and support our business and activity. You may currently be reporting to the Head of C ...
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Compliance Officer
3 weeks ago
TRM International London, United Kingdom**TRM-International **has an opportunity for a Compliance Officer to become part of a multi award-winning company that is revolutionising the mortgage industry through the use of technology. · **Responsibilities as a Compliance Officer**: · - Developing policies and procedures in ...
Compliance Officer - London, United Kingdom - Carnegie Consulting Ltd
Description
Our client, an esteemed name in the emerging investment space are looking for a Compliance Officer to join them reporting to the Compliance Manager and COO.
Who They Are: Not your typical investment firm. They thrive on teamwork, quality research, and a non-hierarchical structure that fosters/nurtures innovation and responsibility. They value mutual respect, diversity, and creating an environment where work is both stimulating and fun.
The Role: As the Compliance/Legal Officer, you'll be the backbone of their legal operations, supporting Head of ESG, Legal & Chief Compliance Officer. From handling legal admin to drafting documents and ensuring compliance, you'll be at the heart of their legal function.
Your responsibilities Include:
What they are looking For: They are on the lookout for someone with:
Why Join Them? You'll not just be an employee, you'll be a valued member of our team. They offer opportunity for growth, a supportive work environment, and the chance to make a real impact in the world of asset management.
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