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Compliance Associate
4 hours ago
Douglas Scott Legal Recruitment London, United KingdomAn ambitious and diligent Compliance Associate is wanted for a growth driven opportunity with a fast growing financial services regulatory consultancy with a global footprint. Applications are invited from commercially minded Compliance Associates with upwards of 2 years payment ...
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Compliance Associate
1 week ago
Barclay Simpson London, United Kingdom**Compliance Associate**: · - London · - £70,000 - £80,000 · - Job type: Permanent · - Sector: Asset Management & Funds · - Job reference: JB41244 · Barclay Simpson are currently recruiting for a Compliance Associate to join a globally renowned asset management house. This is rar ...
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Compliance Associate
1 week ago
eFinancialCareers London, United KingdomMaldon Partners are recruiting a **Compliance Associate **on a permanent basis for a market leading Fixed income Asset Management firm based in the city. · The firm has a global reach with offices in London and NY and has a current AUM £18bn · Hybrid working is on offer · **The R ...
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Compliance Associate
2 weeks ago
Alchemy Prime Limited London, United Kingdom**What are we looking for?** · The Compliance Associate will be a member of the Compliance team and will successfully support the Head of Compliance. Your role would be to support all aspect of the MiFID business, including a variety of core compliance areas and technical AML ass ...
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Compliance Associate
2 weeks ago
Millennium Management LLC London, United KingdomCompliance Associate · Principal Responsibilities · - Administer the SMCR certification process including maintaining and improving the process · - Assist with other SMCR processes including reasonable steps · - Provide guidance and assistance regarding SMCR to various internal s ...
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Compliance Associate
4 hours ago
Fiera Capital London, United KingdomAt Fiera Capital · We invest in creating a culture of purpose that makes our people feel valued, cared for, seen, and heard. Our approach to employee experience is tailored to your needs and ambitions: · - Your Inclusive Experience: We are committed to cultivating an inclusive, s ...
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Compliance Associate
4 hours ago
Synchronicity Group London, United Kingdom**Compliance Associate, London. c£45,000 plus bonus & benefits. (Hybrid working)** · **Synchronicity Compliance** are working with a leading global Consultancy Practice who are looking for someone to join their Insurance & Lending team. · This is a great opportunity to further de ...
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Compliance Associate
1 week ago
DNA Payments Group London, United Kingdom**The opportunity** · We're looking for a Compliance Associate to join our expanding team based in London. Reporting to the Head of Compliance, the purpose of your role is to implement and maintain the firm's 2nd line Compliance Oversight Programme with the support of the Complia ...
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Compliance Associate
2 weeks ago
Millennium Management LLC London, United KingdomCompliance Associate · Principal Responsibilities · - Assist in the maintenance and administration of the Firm's personal account dealing programme including account approvals, trade pre-clearance, reconciliation and monitoring and sampling · - Assist in the maintenance and admin ...
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Compliance Associate
1 week ago
Thriva London, United KingdomAt Thriva, we're constantly trying new things to understand how we can improve people's lives by **putting better health in their hands** with **tools they can trust, advice that they can action, and the support to get them there**. · We're rated as the **best preventative health ...
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Compliance Associate
1 week ago
DNA Payments Group London, United Kingdom**The opportunity** · We're looking for a Compliance Associate to join our expanding team based in London. Reporting to the Head of Compliance/MLRO, the purpose of your role is to undertake financial crime risk reviews on DNA Payments systems and controls with the support ofthe M ...
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Compliance Associate
1 week ago
Intermediate Capital Group London, United KingdomJob Title: Compliance Associate (12 month FTC) · Location: London, St Pauls · Department Compliance · Reporting to: Compliance Director · ICG Summary · ICG (Intermediate Capital Group) is a FTSE-listed, FCA-regulated alternative asset manager creating sustainable value by partner ...
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Compliance Associate
1 day ago
SEI1GLOBAL London, United KingdomThis role is a fantastic opportunity to start your Compliance career and we are looking for an enthusiastic, self-motivated, inquisitive team player with effective communication and problem-solving skills. You will be hard working with a desire to contribute to the success of a f ...
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Compliance Associate
2 weeks ago
Morgan McKinley London, United KingdomProvide Regulatory/Compliance support including but not limited to: · - Assistance with regulatory filings and related compliance requirements · - Maintenance of written policies and procedures whilst contributing to regulatory analysis · - Development and delivery of training to ...
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Compliance Associate
4 hours ago
eFinancialCareers London, United KingdomIn this position you must: · - Be able to review Financial Promotions to ensure compliance with Laws and Regulations globally · - Assist with the review and update of policies and procedures · - Keep up to date with regulatory developments · To be considered for this position you ...
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Compliance Associate
1 week ago
Compliance Professionals London, United Kingdom**THE COMPANY**: · Our client is a prestigious private wealth firm based in the West End. · **THE RESPONSIBILITIES**: · - Review and closure of daily Market Abuse and Transaction Monitoring alerts - working closely with the Front Office to ensure timely closure. · - Escalation to ...
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Compliance, Associate
1 week ago
Blackstone Group London, United KingdomBlackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help c ...
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Compliance Associate
6 days ago
Compliance Professionals London, United Kingdom**THE COMPANY**: · Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. · **THE RESPONSIBILITIES**: · - Performing, supporting & ...
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Compliance Associate
2 weeks ago
Willow Resourcing London, United KingdomLooking to use your experience with the Ombudsman or the Regulator to move into an in-house Compliance role? · Here's your chance. This is an ideal opportunity to do exactly that in a broad, generalist Compliance role that will provide a fantastic foundation on which to build you ...
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Compliance Associate
1 week ago
Charles Stanley London, United Kingdom**Job Purpose**: · To support the Head of Advisory & Complaints with providing advice and guidance to the business, and in ensuring that client complaints are handled promptly and properly. · **Key Areas of Responsibility**: · - Provide advice and support to the business regardin ...
Senior Compliance Associate - London, United Kingdom - Attribution Search
Description
Conducting compliance testing in accordance with the CMP and assist the Head of Compliance in the preparation of written reports for senior management and the Board.
Maintaining compliance policies and procedures.
Supporting the Head of Compliance in identifying, responding to, and preparing for, regulatory change.
Assisting the Money Laundering Reporting Officer (MLRO) in countering the risk that the Firm might be used to further financial crime.
Working with the Head of Compliance in assisting the business areas with recommendations from CMP.
Reviewing and approve marketing materials promoting the Firm, its products and services for compliance with all applicable marketing/advertising rules.
Supporting the Head of Compliance in providing advice to Investor Relations and the Firm's Investment Professionals on cross-border marketing rules.
Assisting front office in drafting the compliance responses to RFP's / RFI's / Research Papers and Due diligence requests
The business are looking for a candidate with a minimum of three years buy side experience ideally working in Real Estate, Alternatives or a Multi strat fund. The role presents an exceptional opportunity for the individual to gain exposure to senior stakeholders and progress quickly as the business completes a number of acquisitions. Please apply or reach out to find out more.