Regulatory Compliance Associate - London, United Kingdom - Finitas

Compliance Associate

3 days ago

**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 ...

Compliance Associate

1 week ago

Maldon 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 ...

Compliance Associate

1 week ago

Compliance 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 ...

Compliance Associate

1 week ago

Compliance 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 ...

Compliance Associate

1 week ago

**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 ...

Compliance Associate

1 week ago

**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 ...

Compliance Associate

1 week ago

**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 ...

Compliance Associate

1 week ago

Job 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 ...

Compliance Associate

3 days ago

At 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 ...

Compliance Associate

1 week ago

Provide 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 ...

Compliance Associate

4 days ago

**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 ...

Compliance Associate

1 week ago

In 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 ...

Compliance, Associate

5 days ago

Blackstone 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 ...

Compliance Associate

1 week ago

**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 ...

Compliance Associate

2 days ago

**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 & ...

Compliance Associate

1 week ago

Looking 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 ...

Compliance Advisory Associate

1 week ago

Job Description · The TP ICAP Group is a world leading provider of market infrastructure. · Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovativ ...

Senior Compliance Associate

1 day ago

Do you have around 4 - 5 years plus compliance experience in an FCA regulated firm? · - Do you have good knowledge of FCA industry standards and regulations, along with knowledge of anti-financial crime related matters (ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance)? · Seni ...

Content Compliance Associate

1 week ago

**About our Client** · Our client is the global leader in knowledge on-demand. They connect investors and business leaders with the knowledge they need to succeed. Working from nine cities globally, their 1500+ colleagues provide round-the-clock coverage to the world's top invest ...

Content Compliance Associate

1 day ago

**About AlphaSights** · AlphaSights was born with a purpose: to unlock human knowledge and power success. From our state-of-the-art offices in nine major world cities, we connect business leaders seeking knowledge with the experts who possess it. We're one of the fastest-growing ...