-
Compliance Officer
4 days 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 ...
-
Compliance Officer Compliance
2 weeks ago
United Trust Bank London, United Kingdom**Responsibilities** · - Maintain and execute the Compliance Monitoring Plan, by conducting thematic and area specific reviews against KPI's; provide output in the form of written reports, suggesting severity of issue/s found, remedial actions, timescales and monitoring for closu ...
-
Compliance Officer
3 weeks ago
Hudson Belgium United KingdomSecteur industriel - Environnement régulé - FR/UK · Vous rapportez auDirecteur Département Juridique et Secrétaire Général du Groupe. Vous renforcez ainsi l'équipe juridique et conformité constituée d'une dizaine de collaborateurs. Vous êtes basé à Herstal. · Fonction · Vous i ...
-
Compliance Officer
2 weeks ago
Société Générale London, United Kingdom**Responsibilities**: · **Description of the Business Line or Department** · The Compliance and Financial Crime Team (CPLE) is a key 2LOD control function within SG Kleinwort Hambros. CPLE comprises the Regulatory Compliance team, UK Financial Crime team and local offshore Compli ...
-
Compliance Officer
2 weeks ago
Arthur London, United KingdomArthur is delighted to be partnered with a Lloyd's syndicate looking to enhance their Compliance operations by adding a Compliance Officer to their team. · Acting as part of a centralised Compliance function, the Compliance Officer will provide a range of compliance support for c ...
-
Compliance Officer
2 weeks ago
FE fundinfo London, United KingdomFE fundinfo is a global leader in investment fund data and technology. We are proud of our vast, diverse, and highly skilled team, who help to make our industry Better Connected and Better Informed. We are currently recruiting for a Compliance Officer to join our team in London ( ...
-
Compliance Officer
3 weeks ago
Harrison Holgate London, United KingdomA brand new Compliance Officer position (12 Month FTC) is available with a market leading Lloyd's Market Insurance specialist · **Compliance Officer (12 Month FTC)** · **London/Hybrid** · **Leading Lloyd's Business** · **Salary - Up to £ Bonus + Excellent benefits** · Acting as p ...
-
Compliance Officer
3 weeks ago
Glencore London, United Kingdom**Job highlights** · - Full time · - London, Greater London, United Kingdom · - Compliance · **Job ID** · - R **Closing date** · - 28/06/2024**Last Updated** · - 10/05/2024*** · **Summary** · The role of the Compliance Officer will be split across Glencore's Oil Marketing and Ass ...
-
Compliance Officer
1 week ago
Artemis Recruitment Consultants Ltd London, United KingdomFinancial Services · London · 04/01/2023 · Type of Position: Compliance Officer · Pay: £50k - £60k · **Compliance Officer - London**: · We are working with an IFA firm based in London looking for a Compliance Officer to join their team. This is a permanent position with hybrid wo ...
-
Compliance Officer
2 weeks ago
Riley Personnel London, United KingdomJoin the Riley Personnel Team as a Recruitment Compliance Officer & Administrator · Are you looking for an exciting opportunity in the education recruitment sector? Look no further than Riley Personnel We are currently seeking a proactive and passionate individual to fill the rol ...
-
Compliance Officer
3 weeks ago
The Independent Parliamentary Standards Authority London, United KingdomThe Compliance Officer for IPSA was established as part of the reforms to the regulation of MPs' business costs under the Parliamentary Standards Act 2009 as amended by the Constitutional Reform and Governance Act 2010. As an office holder appointed understatute, the Compliance O ...
-
Compliance Officer
3 weeks ago
GCB Recruitment London, United Kingdom**The successful Compliance Officer will be offered**: · - £45,000 - £60,000 (Pro-Rated for Part-Time) · - Great progression opportunities · - Competitive benefits package · **To be considered for the Compliance Officer role you must have**: · - Minimum 5 years' experience in ass ...
-
Compliance Officer
1 week ago
ITI Capital Limited London, United KingdomITI Capital Limited is a financial technology business focusing on global brokerage, asset management, fintech investments & technology transfer globally. It is authorized and regulated by the FCA. · The Head office is in the City of London - UK · **Compliance Advisory** · - Prov ...
-
Compliance Officer
2 weeks ago
TFS Healthcare London, United Kingdom**Compliance Officer - Nursing Recruitment** · After amazing growth within our 12 years, we are now looking for our next generation of top talent to join our rapidly growing compliance team. · This is a fantastic opportunity for an experienced Nursing Compliance Officer to join T ...
-
Compliance Officer
2 weeks ago
Ortus PSR London, United KingdomA distinguished boutique firm specialising in investment, security, and wealth management services is looking to hire a Compliance Officer in London. With a commitment to excellence, integrity, and personalised client relationships, they have built a reputation for delivering exc ...
-
Compliance Officer
3 weeks ago
INTERIM PROFESSIONALS LIMITED London, United Kingdom**Operations & Compliance Officer** · Interim Professionals is a specialist recruitment consultancy recruiting senior interim managers to the Healthcare market. We are a successful, growing business with a respected reputation and a very positive, collaborative and success driven ...
-
Compliance Officer
3 weeks ago
Wise May London, United Kingdom**Wise May are looking for a Compliance Officer to join a lovely insurance team based in Central London.** · **Duties to include**: · - Ownership of the delegated underwriting agreements · - Monitor and advise the Business on all relevant compliance developments impacting on the ...
-
Compliance Officer
2 weeks ago
Eames Consulting London, United Kingdom**Job Details**: · **Sector**: General Insurance, Insurance, Compliance, Compliance- · **Location**: City of London- · **Job Ref**: JN _ · **Job Type**: Permanent- · **Salary**: Up to £ per annum- · **Contact**: Aysima AhmadliEames is currently working with a Global insurer to h ...
-
Compliance Officer
2 weeks ago
eFinancialCareers London, United KingdomThey are looking for a financial services compliance professional that is looking to make a move to platform that is pioneering making the private equity industry more accessible. · The business already has a number of offices globally and a strong network with investors, which m ...
-
Compliance Officer
2 weeks ago
eFinancialCareers London, United Kingdom**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 leading financial newsand in ...
Compliance Officer - London, United Kingdom - eFinancialCareers
Description
Compliance OfficerJob Title:
Compliance Officer
Job Type:
Permanent
Hours:
Full Time, 08:00 – 18:00, Monday to Friday
Office Location:
West End
Bonus, pension, healthcare and other benefits
We have an exciting opportunity for a highly motivated individual to join our team as a Compliance Officer, based in our offices in London's West End.
You will be responsible for the effective management of the relationships of our clients and implement the firms Compliance and Financial Crime Program, functioning as an independent and objective body that reviews and evaluates compliance and financial crime issues/concerns within the organisation.
As part of the Compliance team you will assist with ensuring the firm's Board of Directors and employees are in compliance with the FCA and SEC rules and regulations and that company policies and procedures are being followed.
In order to do this, you will need to have a strong understanding of financial services, and have experience with working in the world of investment management.
We are a private multi-family office and work with individuals and institutions.Maintain and implement a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
Assist with the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.Assist the Money Laundering Reporting Officer (MLRO), ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
Assist with the conduct of risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
Provide wider team with advice and guidance on compliance-related matters.Collaborate with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
Establish and maintain effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders.Ensure that client files are maintained in accordance with Company policies, take compliance ownership of the accounts and lead/run file reviews for all accounts alongside the Company's compliance department;
Review sales and marketing documentation to ensure it is line with financial promotion rules;
Extensive experience in a senior compliance role within an FCA-regulated environment, ideally in the wealth management and investment management sectors.
Thorough understanding of AML, KYC, and financial regulatory frameworks.Proficiency in compliance software and technology platforms.
The successful candidate will be degree educated and must have gained a minimum of seven years of investment management FCA compliance experience, with a good knowledge of relevant UK and EU rules and regulations (including (MIFID, UCITS, AIFMD).
Previous MLRO experience is useful but more important is good product knowledge (Equities, FI & FX) as well as a "sleeves rolled up approach", willing to learn new material, taking responsibility and getting involved in the details of compliance issues.
We are an equal opportunity employer and value diversity at our company.We do not discriminate on the basis of race, religion, colour national origin, gender, sexual orientation, age, marital status, veteran status or disability.