Current jobs related to Compliance Monitoring - london - Austin Andrew

  • Compliance Monitoring

    4 days ago

    Austin Andrew greater london, england, United Kingdom £60,000 - £80,000 per year

    Compliance Monitoring in Investment Management · This role will involve monitoring and ensuring compliance with regulatory requirements in the investment management industry. · ...

  • Compliance Monitoring

    4 days ago

    Robert Walters UK London, England, United Kingdom £50,000 - £65,000 per year

    Job Description: · The Compliance Monitoring Specialist will be responsible for enhancing the strong Risk & Compliance culture within the organisation by providing proactive advisory services to support the UK R&C Team, Money Laundering Compliance Officer and Compliance & Nominat ...

  • Compliance Monitoring

    5 days ago

    Austin Andrew London £60,000 - £80,000 per year

    A leading firm is seeking a Compliance Monitoring Officer to oversee the company's compliance monitoring programmes and ensure adherence to regulatory requirements. · Key Responsibilities: · Predominantly responsible for completing the Compliance Monitoring Programmes, including ...

  • Compliance Monitoring

    1 week ago

    Austin Andrew London

    Job Title · A key role at a leading financial firm in Austin and Andrew, requiring expertise in compliance monitoring and regulatory affairs. · Key Responsibilities: · Predominantly responsible for completing Compliance Monitoring Programmes, including collating information, cond ...

  • Compliance Monitoring

    4 days ago

    ZipRecruiter London, England, United Kingdom £60,000 - £80,000 per year

    Job Description · A new role at a leading firm in the financial industry. · The Compliance Monitor will be responsible for ensuring the firm's compliance with relevant regulations and laws, including AIFMD, MiFID II, UCITS/COLL, and US Investment Company Act 1940. · Key Responsib ...

  • Compliance Manager – Compliance Monitoring

    3 weeks ago

    Only for registered members London Full time £60,000 - £100,000 per year

    Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK's best wealth manager for clients and their advisers. · Undertaking rule based thematic monitoring reviews involving interpretation of regulation; designing and exe ...

  • Compliance Monitoring Manager

    4 weeks ago

    Only for registered members London Full time £90,000 - £120,000 per year

    BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are seeking an experienced and highly motivated Compliance Monitoring Manager to shape and execute the compliance monitoring prog ...

  • Compliance Monitoring Manager

    1 week ago

    BBVA London Full time - Permanent

    Establishing a Strong Career in Compliance · BBVA, a global banking institution with over 160 years of history and operations in more than 25 countries serving over 80 million customers, seeks an experienced and highly motivated Compliance Monitoring Manager for its London branch ...

  • Compliance Monitoring Officer

    1 day ago

    MERJE London, England, United Kingdom £45,000 - £55,000 per year

    As a Compliance Monitoring Officer, you will be responsible for ensuring the smooth operation of our client's Insurance Broker in London. The role involves contributing to specific initiatives and projects that delve into metrics and data across the business. · The ideal candidat ...

  • VP Compliance Monitoring

    1 week ago

    Morgan McKinley London, England, United Kingdom

    Head of Governance (Audit, Risk and Compliance) · The successful candidate will have overall responsibility for the management of the Compliance Control & Risk Management (CCRM) framework. · Independent testing (verification & re-performance of Generic Control Library (GCL - 1LoD ...

  • AVP, Compliance Monitoring

    4 days ago

    First Abu Dhabi Bank (FAB) London, England, United Kingdom £70,000 - £90,000 per year

    Job Purpose · To work as part of the Compliance Monitoring Team (CMT) on the annual risk-based Compliance Monitoring Program (CMP), to ensure that the businesses, functions, and other areas of FAB UK operate in accordance with local (and wider, where relevant) rules and regulatio ...

  • Senior Compliance Monitoring

    1 week ago

    MERJE Ltd London Full time - Permanent

    Compliance Monitoring Specialist Role · MERJE is representing a large global investment firm in the search for an experienced Compliance Monitoring specialist. With £50B in assets under management, the firm employs around 400 individuals across a number of global offices. · The s ...

  • Compliance Monitoring Officer

    4 days ago

    LGBT Great London, England, United Kingdom £55,000 - £65,000 per year

    Job Description: · We are seeking a Compliance Monitoring Officer to contribute to our firm's compliance monitoring programme. · This role requires the delivery of assigned monitoring tests on time, providing clear guidance to the first line of defence and supporting the closure ...

  • Compliance Monitoring Manager

    6 days ago

    Willow Resourcing Limited London, England, United Kingdom

    Compliance Monitoring Manager (Insurance) · This role offers a great opportunity to broaden your experience and develop your career in a highly successful insurance firm that has been experiencing international growth. · Key Responsibilities: · Support the creation and delivery o ...

  • Compliance Monitoring Analyst

    4 days ago

    Mason Blake London, England, United Kingdom £55,000 - £75,000 per year

    Job Description: · We are seeking a highly analytical Compliance Monitoring Analyst to join our team on a one-year contract. The ideal candidate will have experience working in an investment compliance role with an asset manager and a working knowledge of various asset classes. · ...

  • Compliance Monitoring Officer

    5 days ago

    Flight Jobs London

    Compliance Monitoring Officer · Take your career to new heights as a Compliance Monitoring Officer at Flight Jobs. · About Us · Flight Jobs is a leading charter and ACMI operator, specialising in short-notice ACMI and wet lease operations, as well as ad-hoc passenger and cargo ch ...

  • VP Compliance Monitoring

    6 hours ago

    Morgan McKinley London Full time - Permanent £90,000 - £120,000 per year

    Job Summary · We are seeking a VP Compliance Monitoring to lead our compliance monitoring efforts in London. The successful candidate will be responsible for carrying out testing and monitoring work, quality controls over processes, and risk assessment exercises. · ...

  • Compliance Monitoring Manager

    3 days ago

    Banco Bilbao Vizcaya Argentaria, S.A. (BBVA) London, England, United Kingdom £70,000 - £90,000 per year

    BBVA is a global company with over 160 years of history operating in more than 25 countries serving over 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with diverse profiles including financiers, legal experts, data scientists, dev ...

  • Compliance Monitoring Officer

    1 week ago

    Investigo London

    Senior Compliance Monitoring Analyst Opportunity at Investigo · We are seeking a skilled Senior Compliance Monitoring Analyst to join our team on a 6-month contract basis, working in the office three times a week. This role requires strong regulatory knowledge, excellent communic ...

  • Compliance Monitoring Manager

    4 days ago

    ZipRecruiter London, England, United Kingdom £80,000 - £120,000 per year

    Job Description · We are seeking an experienced Compliance Monitoring Manager to join our team. This role offers genuine autonomy, allowing you to own and execute the Compliance Monitoring Plan. · This is an opportunity to join a highly successful insurance firm that has enjoyed ...

  • Compliance Monitoring

    1 week ago

    Austin Andrew Greater London

    Compliance Monitoring in Alternative Asset Management · A critical role that involves monitoring and ensuring compliance with relevant regulations, laws, and industry standards in alternative asset management. · The Compliance Manager will be responsible for completing the Compli ...

    • Compliance Monitoring - london - Austin Andrew

    Austin Andrew
    Austin Andrew london

    4 weeks ago

    Description

    Compliance Manager Role at a Market Leading Firm

    The Compliance Manager will be responsible for monitoring compliance with regulatory requirements and implementing best practices in the organization. This role will also involve conducting third-party due diligence, reviewing policies and procedures, and preparing regulatory filings.

    Key Responsibilities:

    • Predominantly responsible for completing Compliance Monitoring Programmes which includes collating information and documentation, conducting tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports
    • Review of Compliance Policies and Procedures
    • Assistance in implementing regulatory change and conduct regulatory change horizon scanning
    • Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits
    • Preparing regulatory filings and applications
    • Produce training slides and conduct compliance training
    • Review and approve financial promotions
    • Conduct thematic reviews and gap analyses; and
    • Provide compliance advice and respond to queries

    Competencies:

    • Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable
    • Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable
    • Strong experience conducting tests and making recommendations through compliance monitoring programmes
    • Knowledge and experience of best execution and post-trade surveillance monitoring
    • Strong experience in reviewing Compliance Policies and Procedures
    • Knowledge and understanding of ESG regulation
    • Demonstrable knowledge and understanding of the financial promotions rules
    • Able to work independently and within a team with strong interpersonal skills to work with various stakeholders across the business
    • Willing to do simple administrative and also more complex advisory work
    • Interest in using technology to find solutions to maintain compliance; and
    • Organized, analytical with strong attention to detail

    Qualifications:

    4-7 years' experience working with buy side Alternative Investment Fund Manager or similar firm

Jobs
>
London
>
Compliance monitoring