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Compliance Monitoring Officer
5 days ago
Britannia Global Markets Limited London Area, United KingdomThe Compliance Monitoring Officer plays a critical role in ensuring the adherence of the brokerage firm to regulatory requirements and internal policies. This position involves undertaking compliance monitoring in accordance with the task driven schedule outlined in the Complianc ...
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Compliance Monitoring Associate
5 days ago
Austin Andrew Ltd London Area, United KingdomThe primary objective of the role will be to assist in the execution and ongoing improvement of the Compliance Monitoring Programme as well as to act as a Compliance generalist and provide ad-hoc support to the wider business. · Key Responsibilities · Assist the Compliance Office ...
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Senior Compliance Monitoring Manager
5 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
5 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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Interim Compliance Monitoring Manager
4 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
5 days ago
Bruin London Area, United KingdomCompliance Advisory at a reputable Wholesale Bank · Duties to include but not limited to: · Provide Compliance Advisory to UK business units. · Implements, advises on and monitors adherence to relevant regulations · Horizon scanning · Work closely with and assist the Compliance ...
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Head of Compliance
5 days ago
Edenbrook London Area, United KingdomHead of Financial Services Compliance opportunity working with a FTSE 250 multiservice provider. Reporting into the Legal and Compliance Director, you will lead the compliance function for the Financial Services ("FS") division and ensure the business adheres to all regulatory an ...
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Compliance Associate
5 days ago
Compliance Professionals London Area, United KingdomTHE COMPANY: · We are working with an international financial service provider who support corporate and institutional clients across the globe. They are looking for a Compliance Officer to join the team on a permanent basis. · THE RESPONSIBILITIES: · Supporting in the developme ...
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Compliance Officer
5 days ago
One Ten Associates London Area, United KingdomOne Ten Associates are exclusively representing a global private equity fund which is looking to hire an experienced Compliance professional. The fund is headquartered in London and this role will be based in London. · The role will be generalised and you'll be expected to lead ...
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Senior Compliance Manager
2 weeks 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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Regulatory Compliance Officer
5 days ago
Alexander Barnes London Area, United KingdomOur client is a leading European bank with a significant presence in the UK. · Their central London teams serve as a key hub for their international operations. Primarily focusing on Large Corporates & Financial Institutions, offering services in Investment Banking, Financial Spo ...
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Compliance Analyst
5 days ago
Edenbrook London Area, United KingdomAn all-encompassing Compliance Analyst opportunity working with a rapidly growing Lloyd's/ London Market insurer looking to double in size over the next two years. Reporting into the Compliance Manager, you will support on a wide range of day-to-day Compliance activities. · Key R ...
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Compliance Manager
5 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 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 ...
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Commodities Compliance Advisory
2 weeks ago
Jacobson Garner London Area, United KingdomThe Commodities Compliance Officer will be responsible for ensuring compliance with all regulatory requirements and internal policies related to our metals trading activities. This role demands a professional with in-depth knowledge of base metals compliance, while also consideri ...
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Deputy Head of Overseas Branch
1 week ago
Market Talent Ltd London Area, United KingdomOur banking client is seeking a senior banking figure to become their Deputy Head of Overseas Branch (officially Deputy Country Manager) supporting and covering when required, the Head of Overseas Branch SMF19 in ensuring the bank is meets its strategic commercial goals, regulato ...
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Team Leader
2 weeks ago
UNCOVER London Area, United KingdomA leading international law firm is looking for an experienced Compliance Team Leader (AML Focus) to join their team based in London. This role would be suitable for an experienced Team Leader or a Senior Analyst who is looking to take the next step in their career. Prior experie ...
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Data Protection and Compliance Manager
5 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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Surveillance Officer
5 days ago
Danos Group London Area, United KingdomOur client, a leading energy brokerage, are looking for a Surveillance expert to help conduct electronic communication (ecomms) surveillance for their London team. This role is ideal for someone with an understanding of Market Abuse (MAR) and is a 6-month contract looking to pay ...
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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 ...
Compliance Monitoring - Camden Area, United Kingdom - Bruin
Description
Join a Leading Private Bank as a Compliance Monitoring OfficerFRENCH OR GERMAN LANGUAGE SKILLS REQUIRED
About the Firm:
Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services.
They are searching for a Compliance Monitoring Officer to work in either their London or Manchester office who is highly proficient in French or GermanPurpose of the Job:
As a Compliance Monitoring Officer at this firm, you'll play a crucial role in ensuring compliance with regulatory and legal obligations.
You'll contribute to the compliance monitoring program by conducting tests, maintaining thorough record-keeping, and supporting the closure of any compliance gaps identified.
Key Accountabilities:
Conduct defined monitoring tests to assess compliance with regulatory requirements.
Deliver compliance tests according to schedule and maintain meticulous record-keeping.
Engage with business units pre and post-testing to verify completion of necessary actions.
Contribute to the evolution and design of testing sheets under the direction of your manager.
Perform continuous gap analysis of the compliance monitoring program scope.
Support compliance reporting activities, including notifications to regulatory bodies and internal management reporting.
Conduct yourself with professionalism and integrity, maintaining independence within the second line of defense.
Knowledge And Experience:
Good working knowledge of regulatory and legal requirements in banking activities.
Experience in delivering regulatory change within a financial firm.
Understanding of outcomes-based regulatory compliance work.
Familiarity with the Three Lines of Defense (3LOD) model.
Attributes and Qualities:
Effective communication and engagement skills.
Ability to interpret regulatory text and apply it practically.
Strong business writing skills, with the ability to summarize findings clearly.
Proficient in root cause analysis and creating effective actions.
Excellent record-keeping and work management abilities.
Commitment to honesty, integrity, and ongoing professional development.#
Technical Skills:
Excellent written, verbal, numeric, and comprehension skills.
Proficiency in IT.
Relevant qualifications from industry bodies or educational institutions.
Language Skills:
High proficiency in French or German is required
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