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Compliance Manager
3 days ago
mbf London Area, United KingdomCompliance Manager · London / Hybrid - £95,000 · We are seeking a knowledgeable Compliance Manager to provide the business with day-to-day advisory and oversight activities, assist in the delivery of the compliance plan and manage the compliance relationship with assigned managed ...
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Compliance Manager
3 days ago
Fintellect Recruitment London Area, United KingdomOur Client · Our client is on a quest to be the world's most proactive bank. They improve lives by providing better clarity, intelligence and technology to empower every individual in making the smartest financial decisions. · The founding team is in place, and they have launched ...
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Compliance Manager
3 days ago
LT Harper - Cyber Security Recruitment London Area, United KingdomCompliance Manager (part time – 3 days a week) · £60k - £70k · London – Hybrid · An opportunity has come up within a cloud led managed service provider, to be a compliance manger and take the lead on managing the Integrated Management System's compliance with standards such as IS ...
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Compliance Manager
1 week ago
Expert Executive Recruiters (EER Global) London Area, United KingdomCompliance Manager (SMF 16&17) · The Compliance Manager will be responsible for overseeing the development and implementation of an effective financial-related compliance program, focusing on anti-money laundering (AML) and counter-terrorist financing (CTF) measures. The succes ...
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Compliance Manager
3 days ago
TikTok Shop London Area, United KingdomResponsibilities · TikTok is the leading destination for short-form mobile video. Our mission is to inspire creativity and bring joy. TikTok has global offices including Los Angeles, New York, London, Paris, Berlin, Dubai, Singapore, Jakarta, Seoul and Tokyo. · Why Join Us · Crea ...
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Compliance Manager
1 week ago
Arthur Recruitment London Area, United KingdomThis is an exciting opportunity to join a reputable General Insurance firm as a Compliance Manager, reporting into the Head of Compliance . This role would suit either an experienced senior officer looking to take a step into management, or a manager looking to take on more respo ...
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Compliance Manager
1 week ago
AMC Insurance Appointments Ltd London Area, United KingdomWe are working with an ambitious, entrepreneurial and growing Life insurance company that is looking for a Compliance Manager to join their London office. Applications from suitably qualified candidates are also welcome for the company's office in Swansea. · Specifically, they a ...
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Compliance Manager
2 days ago
LT Harper - Cyber Security Recruitment London Area, United KingdomCompliance Manager (part time – 3 days a week) · £60k - £70k · London – Hybrid · An opportunity has come up within a cloud led managed service provider , to be a compliance manger and take the lead on managing the Integrated Management System's compliance with standards su ...
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Compliance Manager
3 weeks ago
DFT OLR HOLDINGS LIMITED London Area, United KingdomAn exciting opportunity to join us as a Compliance Manager. · About us · DOHL is the public sector owning group for passenger rail, with responsibility for four train operators; LNER, Northern, Southeastern and TransPennine Express. We have a strong track record of delivering ...
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Risk Compliance Manager
3 days ago
ABL Recruitment London Area, United KingdomRole: Risk & Compliance Policy Manager · Business area: Payments Risk and Compliance Service (Global) · Contract duration: 9 Months · Start: 22/07/2024 or sooner · Daily rate: £500 to £555 per day + Holiday pay (PAYE – Inside IR35) · Location: Hybrid working in Central London – 3 ...
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Senior Compliance Manager
1 week ago
Arthur Recruitment London Area, United KingdomSenior Compliance Manager · London - Hybrid · Duties: · Support implementation of compliance plan to ensure compliance with U.S. & European applicable regulation. · Implement systems and controls, including policies and procedures. · Provide input to the Group Compliance ...
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Trade Compliance Manager
6 days ago
Taylor Root London Area, United KingdomAre you a seasoned trade compliance professional with a passion for streamlining international transactions? · A leading Fortune 500 tech solutions provider is seeking a skilled and experienced individual to join their growing London team You will report directly to the UK Head ...
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CASS Compliance Manager
2 weeks ago
Jacobson Garner London Area, United KingdomRole Overview: · The CASS Compliance Manager will be responsible for ensuring that the firm adheres to the FCA's Client Assets Sourcebook (CASS) regulations. This role demands a professional with significant experience in managing and overseeing client assets, ensuring full compl ...
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Data Protection and Compliance Manager
3 days ago
Taylor Root London Area, United KingdomWe are working with a leading organisation within the automative industry, whose mission is to support and promote the interest of the sector, driving innovation, sustainability, and economic growth. They are looking for a skilled Data Protection and Compliance Manager to join th ...
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Senior Compliance Manager
3 weeks ago
Coopman Search and Selection | B Corp™ London Area, United KingdomWe are currently partnered with a global, Financial Services brokerage firm who, due to continued growth, are looking to add a Senior Compliance Manager to their existing UK Compliance function. This role will have a true generalist nature to it, so will require an individual com ...
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Compliance Officer( Manager level)
3 days ago
FinTop Consulting London Area, United KingdomJob Title: Compliance Officer (Manager Level) · Line Manager: Chief of Legal & Compliance · Location of Work: London, UK (Hybrid) · About the Company: · The organization stands as a leading financial services provider dedicated to inspiring the financial confidence of traders and ...
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Interim Compliance Monitoring Manager
3 days ago
Willow Resourcing Limited London Area, United KingdomInterim Compliance Monitoring Manager · Initial 6-Month FTC – good potential for becoming permanent · FinTech · London (Hybrid, 2-3 days per week in the office) · £60k - £67k + bonus + benefits · Finding the permanent market slow? · Immediately available or available at short not ...
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Senior Compliance Monitoring Manager
3 days ago
Lutine Bell London Area, United KingdomLutine Bell are supporting the Head of Compliance of a Leading Retail Bank to appoint a Senior Compliance Monitoring Manager. · As the Senior Compliance Monitoring Manager you will be responsible for the design and delivery of the Compliance Monitoring Plan. This includes ensurin ...
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Interim Compliance Monitoring Manager
2 days ago
Willow Resourcing Limited London Area, United KingdomInterim Compliance Monitoring Manager · Initial 6-Month FTC – good potential for becoming permanent · FinTech · London (Hybrid, 2-3 days per week in the office) · £60k - £67k + bonus + benefits · Finding the permanent market slow? · Immediately available or available ...
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Compliance Officer
3 weeks ago
Pentasia London Area, United KingdomA successful start-up company in the iGaming sector is keen to hire a Compliance Officer. This role is responsible for managing day-to-day compliance operations, supporting the Compliance Committee, acting as a liaison with regulatory bodies and managing compliance related commun ...
Compliance Manager - Camden Area, United Kingdom - Fintellect Recruitment
Description
Our ClientOur client is on a quest to be the world's most proactive bank.
They improve lives by providing better clarity, intelligence and technology to empower every individual in making the smartest financial decisions.
The founding team is in place, and they have launched with a fully functional App.Starting out with a current account and credit card, they will be broadening their portfolio soon with the foundations in place for a positive, supportive and thoughtful new bank.
We are now looking for an exceptional Compliance Manager to join the second line team.The role of Compliance Manager is principally to lead and support the business in the undertaking of compliance monitoring activities, and also in the development assessment and testing of controls.
There are also wider responsibilities to support the CRO and Head of Risk and Compliance in relation to Compliance Advisory (including Financial Promotions) and/or Consumer Duty.
Responsibilities of the role of Compliance ManagerTo assist and support on all matters relating to Compliance Monitoring and control testing.
To monitor consultation papers and policy statements issued by relevant regulatory authorities and wider bodies, liaising as necessary with the CRO and Head of Risk and Compliance on how any such developments may impact the business.
Provide co-ordination support for regulatory risk assessments and requests for information, thematic reviews, and internal audits.To collaborate with all business functions, ensuring that regulatory risk issues identified are escalated for investigation and resolution as appropriate.
To provide advice and guidance to 1st Line and senior management on regulatory matters, as requiredTo assist with the completion and submission of FCA regulatory returns as necessary.
To assist in production and challenge of relevant Management Information for Head of Risk and Compliance.
Production of/input to Risk and Compliance Reports and provision of management information for reporting to various committees, as required.
To liaise with all business functions as appropriate and respond to regulatory queries comprehensively and in a timely manner.
Essential Skills and Experience of the Compliance Manager
Strong knowledge and experience of Compliance – developing plans and executing monitoring activities
Clear understanding of how 1st Line control effectiveness impacts regulatory and wider risk profile of the firm
Demonstrate a high level of experience in understanding FCA rules, principles and the regulators direction of travel
Demonstrate a risk-based methodology in work methods and reporting.
Strong analytical skills.
Ability to manage own workload, prioritising tasks appropriately and ensuring that agreed delivery dates are achieved.
Excellent interpersonal skills, able to communicate effectively with a wide range of people face-to-face and over the telephone.
Good written communication skills to allow the job holder to write and respond to emails and other written correspondence in a professional manner both internally and externally.
Participate in all departmental activities (training, controls, and reporting) as required.Competent in use of Microsoft Office.
A good understanding of Consumer Duty
Experience in Compliance activities
A broad understanding of FCA regulations in relation to Consumer activity.
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