Jobs
>
London

    Compliance Officer - United Kingdom - Clayton Davies

    Clayton Davies
    Clayton Davies United Kingdom

    1 week ago

    Default job background
    Description

    Our client, a successful Investment Management firm, are looking for an experienced Compliance Officer to join the team to lead, oversee and manage the day to day compliance and operational aspects of their investment management business unit and platform offering, ensuring issues and risks of a compliance and regulatory nature are appropriately managed.

    Develop and maintain regulatory compliance policies and procedures to ensure the highest standards in line with investment management and platform regulatory obligations and expectations, including but not limited the requirements of MiFID, GDPR, SMCR, AMLD, etc.

    Provide day-to-day assistance and advice on regulatory issues (including regulatory change) to investment management line management and platform operations staff, ensuring an appropriate focus on good client outcomes at all times.

    Oversee the CASS activities and monitoring programme in place with our platform partner to ensure that solid operational process, reporting, resolution forum, experience and knowledge remain in place.

    Maintain awareness of market, industry and regulatory developments and how these may impact on CASS compliance.
    Participate in joint service review meetings and/or joint risk and compliance meetings.
    Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme.

    Form part of the review and approval process in respect of financial promotions issues by investment management business unit and/or platform.

    Ensure compliance risks are appropriately identified and managed effectively, providing direction on corrective measures to the compliance advisory team and business alike so that these risks remain within acceptable and agreed parameters.

    Assist in the production and presentation of compliance reports and compliance MI to various boards and committees.
    Promote a good risk and compliance culture.

    Demonstrable knowledge of UK policies that reflect regulatory requirement, identify additional policies, procedures and ensure compliance
    A background in regulatory compliance and change initiatives is essential
  • United Trust Bank

    Compliance Officer Compliance

    1 day 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

    2 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

    15 hours 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 ...

  • 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 ...

  • 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 ...

  • The Independent Parliamentary Standards Authority

    Compliance Officer

    5 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 ...

  • Hudson Belgium

    Compliance Officer

    6 days ago

    Hudson Belgium United Kingdom

    Secteur industriel - Environnement régulé - FR/UK · Vous rapportez auDirecteur Département Juridique et Secrétaire Général du Groupe. Vous renforcez ainsi l'équipe juridique et conformité constituée d'une dizaine de collaborateurs. Vous êtes basé à Herstal. · Fonction · Vous i ...

  • Ortus PSR

    Compliance Officer

    1 day 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 ...

  • PineBridge Investments

    Compliance Officer

    15 hours 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 ...

  • INTERIM PROFESSIONALS LIMITED

    Compliance Officer

    1 week ago

    INTERIM PROFESSIONALS LIMITED London, United Kingdom

    **Operations & Compliance Officer** · Interim Professionals is a specialist recruitment consultancy recruiting senior interim managers to the Healthcare market. We are a successful, growing business with a respected reputation and a very positive, collaborative and success driven ...

  • Wise May

    Compliance Officer

    1 week ago

    Wise May London, United Kingdom

    **Wise May are looking for a Compliance Officer to join a lovely insurance team based in Central London.** · **Duties to include**: · - Ownership of the delegated underwriting agreements · - Monitor and advise the Business on all relevant compliance developments impacting on the ...

  • Oliver James Associates

    Compliance Officer

    3 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 ...

  • Certus Sales Recruitment

    Compliance Officer

    3 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

    **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 ...

  • iProov

    Compliance Officer

    1 week ago

    iProov London, United Kingdom

    Compliance (Projects) Officer · If you'd like to make the online world a safer place, come and join us. · **About iProov**: · iProov is the world leader in face biometric verification. We establish trust in remote users and deliver effortless, customer centric, device independent ...

  • Hackney Education

    Compliance Officer

    1 week ago

    Hackney Education London, United Kingdom

    **Job Title**: Compliance Officer · **Salary**: PO3, £43,701 to £45,711 · **Terms and Conditions**: Full time, Permanent · At Hackney Education, we're set to reshape how we manage and respond to compliance-related requests, and we need an experienced and confident Compliance Offi ...

  • 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 ...

  • Page Personnel HR

    Compliance Officer

    1 week ago

    Page Personnel HR London, United Kingdom

    Based near excellent transport links, in leading London School Federation, an exciting opportunity for a Compliance Officer to help out in head office. · **Client Details** · A leading London School Federation. · **Description** · The main responsibilities for the Compliance Offi ...

  • Barclay Simpson

    Compliance Officer

    1 day ago

    Barclay Simpson London, United Kingdom

    **Compliance Officer**: · - London · - £400 - £500 Per day · - Job type: Contract · - Sector: Financial Services · - Job reference: MPC41130 · - Advising on domestic compliance rules and regulations · - Conducting compliance monitoring reviews · - Engaging in trade surveillance a ...