Jobs
>
London

    Senior Asset and Compliance Officer - London, United Kingdom - Compliance Professionals

    Compliance Professionals
    Compliance Professionals London, United Kingdom

    5 days ago

    Default job background
    Description
    They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.

    Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
    Support the development of new compliance standards.

    Serve as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.

    Manage regulatory visits and inspections.
    Provide guidance to mitigate compliance risks and control gaps.
    Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
    Support the development of new compliance standards.
    Report on the results of compliance and ethics initiatives of the business.
    Maintain a deep knowledge and awareness of the investment industry with particular focus on multi-asset solutions.
    Stay abreast of current market, regulatory and industry relevant news. Serve as an expert on compliance related issues. Act as a liaison to regulatory agencies.
    Participate in special projects and perform other duties as assigned.

    Minimum of five years related work experience, with solid knowledge of distribution compliance
    Ability to stay on top of compliance policies and advise senior management and other stakeholders.
    Attention to detail and commitment to high quality and timely delivery.
  • United Trust Bank

    Compliance Officer Compliance

    2 days 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 ...

  • Société Générale

    Compliance Officer

    3 days 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 ...

  • Arthur

    Compliance Officer

    1 day ago

    Arthur London, United Kingdom

    Arthur 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 ...

  • FE fundinfo

    Compliance Officer

    11 hours ago

    FE fundinfo London, United Kingdom

    FE 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 ( ...

  • TFS Healthcare

    Compliance Officer

    11 hours 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 ...

  • Career Legal

    Compliance Officer

    1 week ago

    Career Legal London, United Kingdom

    Job Details · Compliance Officer · Up to £45,000pa + Benefits · London, Permanent · International Law Firm · My client, a top international law firm, is actively recruiting for a risk and compliance professional to join them on a permanent basis in London - working as their new C ...

  • eFinancialCareers

    Compliance Officer

    4 days 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 ...

  • PineBridge Investments

    Compliance Officer

    1 day ago

    PineBridge Investments London, United Kingdom

    PineBridge Investments is seeking a Compliance Officer to join its EMEA Compliance team and assist with the execution of its compliance program and support PineBridge's financial crime prevention framework. This role will be based in PineBridge's London office and report into the ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    **About Us** · **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than60 countr ...

  • Harrison Holgate

    Compliance Officer

    1 week ago

    Harrison Holgate London, United Kingdom

    A 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 ...

  • Oliver James Associates

    Compliance Officer

    4 days ago

    Oliver James Associates London, United Kingdom

    **Job Title**:Compliance Officer · **Duration**:12 months · **Rates/Salary**:£75,000-90,000 FTC plus 17.5% bonus · **Location**:London based (2-3 days in office per week, plus home working) · **The Role**: · - Ensuring that the Advisory and Assurance Compliance function within th ...

  • MERJE Ltd

    Compliance Officer

    1 week ago

    MERJE Ltd London, United Kingdom

    MERJE are supporting this highly prestigious Financial Services in their search for a Compliance Officer. · Our client's focus is to build a financial plan & investment strategy for their clients by providing a tailored discretionary, advisory and execution · - only services to i ...

  • BETA CAPITAL MANAGEMENT (UK) LIMITED

    Compliance Officer

    1 week ago

    BETA CAPITAL MANAGEMENT (UK) LIMITED London, United Kingdom

    About Us: · BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our operations. To strengthen o ...

  • AmTrust International

    Compliance Officer

    1 week ago

    AmTrust International London, United Kingdom

    Collegiate Management Services, part of the AmTrust group, is the UK's largest Professional Indemnity MGA. We provide niche insurance solutions to professionals to ensure they have the right protection to meet their liabilities. · We're now recruiting a Compliance Officer to join ...

  • eFinancialCareers

    Compliance Officer

    5 days ago

    eFinancialCareers London, United Kingdom

    The Compliance Officer will also be responsible for: · - Creating and implementing annual monitoring plans · - Executing monitoring plans · - Horizon scanning for new regulatory developments which may impact the bank · - Assisting with policy implementation, advisory and other co ...

  • The Independent Parliamentary Standards Authority

    Compliance Officer

    6 days ago

    The Independent Parliamentary Standards Authority London, United Kingdom

    The 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 ...

  • GCB Recruitment

    Compliance Officer

    1 week 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 ...

  • Certus Sales Recruitment

    Compliance Officer

    4 days ago

    Certus Sales Recruitment Greater London, United Kingdom

    **Compliance Officer - Cloud Technology** · **London / Norwich - Hybrid** · **40-45k Base + Executive Benefits** · Our client's award-winning hybrid cloud connectivity platform provides the link between traditional networking infrastructure and cloud services. This trailblazing c ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    An exciting opportunity has come up with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team in a broad and generalist compliance role based in London. · The role will involve working closely with the front desks, op ...

  • Ortus PSR

    Compliance Officer

    2 days ago

    Ortus PSR London, United Kingdom

    A 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 ...