- documentation and staff interviews to ensure the firm is not exposed to risks
- the firm meets all regulatory requirements and or conduct risks
- reporting that is clear and conclusive of assurance activities
- and advise head of compliance on findings on monitoring activity
- and manage a junior compliance monitoring Analyst
- the head of compliance with the implementation of compliance policies and regulator rules
- regulatory changes and ad hoc compliance changes
- experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
- knowledge of AML/ Audit process
- ability to interpret financial regulation and regulatory requirements as asses operational compliance with financial crime risk
- attention to detail
- ability to manage own workload with minimal supervision
-
Compliance Manager
1 week ago
eFinancialCareers Tonbridge, United Kingdom**The Role** · - Ensure the company complies with regulatory requirements placed upon it by all of the appropriate authorities/acts, through the effective provision of policy guidelines, monitoring programmes, compliance reviews and associated management reporting. · - Perform th ...
-
Quality Assurance Compliance Manager
14 hours ago
Vital Human Resources Ltd Tonbridge, United Kingdom Full timeAssurance & Compliance Manager · Salary: £55,000 - £60,000 · Location: Tonbridge, Southeastern area · ***Immediate Opportunity – open for applications until closing date *** · One of our expanding established clients are currently offering an amazing salary package for a Assuranc ...
-
Compliance Manager
1 week ago
eFinancialCareers London, United KingdomA boutique Real estate Investment Manager are looking for a Compliance Manager to support the Head of Compliance. They are looking for someone with a strong generalist compliance background within an investment/asset Manager or Hedge fund to join them. Inthis role, you will be em ...
-
Compliance Manager
1 week ago
Southern Housing Maidstone, United Kingdom Full timeHybrid working - Maidstone, Sittingbourne, Hastings, Croydon or Farringdon · The roleDo you have a high level of skill in electrical works? Are you a great communicator with the ability to inspire others? If yes, this may be the perfect role for you · We have a great opportunity ...
-
Compliance Manager
1 week ago
eFinancialCareers London, United Kingdom**Tradition is currently seeking to appoint a Compliance Manager to be based in London.** · **Role synopsis and key accountabilities within the Compliance Manager position**: · The Tradition Managed Services (TMS) Compliance Manager is a key member of the TMS Compliance team supp ...
-
Compliance Manager
1 week ago
eFinancialCareers London, United Kingdom**Compliance Manager - Insurance** · **City of London** · **Permanent** · **£dependant on experience** · cer Financial are working alongside an International insurance company, who are looking for a Compliance Manager to join them on a permanent basis and support the Head of Comp ...
-
Compliance Manager
1 week ago
Supporting Education London, United KingdomCompliance Manager - Educator Talent Solutions Division · **Salary**: £37,825-£44,500 (DOE) & competitive benefits · Contract type: Full Time, Permanent · Location: Southern Region (London, Hertfordshire, Northampton Milton Keynes, etc), with regular travel between Kingston and W ...
-
Compliance Manager
2 days ago
Page Personnel Finance Brighton, United KingdomAs a Compliance Manager you will be responsible for the coordination and management of data & privacy compliance for the business. · **Client Details** · Based in Brighton, our client is within the Education and Training industry. · **Description** · As a Compliance Manager your ...
-
Compliance Manager
10 hours ago
Office Angels London, United Kingdom**Are you?an expert?Compliance Manager with exceptional analytical skills?** · **Want to work for an incredibly well known and respected business?** · **Our client is offering competitive salary, fantastic benefits and the chance to be part of a great team** · This company needs ...
-
Compliance Manager
1 week ago
eFinancialCareers London, United KingdomOur client is FCA Regulated, full scope AIFM, Private Equity Investment firm based in London, dedicated to Technology Sector and Digital Asset investments. · They are seeking a Compliance Officer / General Counsel (GC) with a strong background in Compliance, and experience workin ...
-
Compliance Manager
6 days ago
Avencia Consulting London, United Kingdom**About us** · Avencia Consulting are currently recruiting on behalf of a leading Specialty Insurer based in the City, who are looking to hire a Compliance Manager to join. · The Company currently writes lines of business including; specialty insurance: aviation & aerospace, ener ...
-
Compliance Manager
10 hours ago
eFinancialCareers London, United Kingdom**Compliance Manager - Private Equity (12 month Mat Cover)** · My client is one of London's most impressive funds which leads the way in their particular niche. · This is a 12 month maternity cover contract which can start in February or March allowing for a month or so hand over ...
-
Compliance Manager
3 days ago
Clear IT Recruitment Limited London, United Kingdom**My client, a Top 50 International firm, is recruiting for a Compliance Manager to join their law firm in Finsbury, London. The firm is happy for 3 days of remote working per week.** · **Role overview** · To support the Compliance team to ensure the firm remains compliant with A ...
-
Compliance Manager
1 week ago
Spencer Clarke Group Lewisham, United KingdomSpencer Clarke Group are looking for a Compliance Manager to work within the Estates and Facilities team in the NHS in Lewisham. · Contract - 3 months initial contract with the view to being extended to an ongoing basis · Salary - £30.00 per hour - negotiable dependent on experie ...
-
Compliance Manager
1 week ago
Twenty84 Ltd City of London, United KingdomTwenty84 is working with a firm in the investments platform sector and they are looking for a dedicated and collaborative Compliance Manager to join their friendly and inclusive workplace. This full-time role is based in London and offers hybrid working(2 days in the office) and ...
-
Compliance Manager
6 days ago
eFinancialCareers London, United KingdomWe are recruiting for growing Institutional Brokerage firm looking to hire a Compliance Manager to assist with the day to day running of a busy compliance function. · **Main Responsibilities** · - Trade monitoring to support compliance with the firm's regulatory monitoring requir ...
-
Compliance Manager
1 week ago
LHH Recruitment Solutions Redhill, United KingdomLocation: Redhill · Contract type: 12 month FTC · **Salary**: £60,000 - £65,000 + car allowance · Hybrid working · Financial Services Firm are looking for a Compliance Manager on a 12 month FTC. As Compliance Manager, you will be responsible for the scoping and delivery of the Co ...
-
Compliance Manager
1 week ago
eFinancialCareers London, United KingdomResponsibilites: · To possess a good, up-to-date understanding of both the PRA and FCA regulatory requirements in particular in relation to COBS, execution only investment business, COBS 10 appropriateness assessments, training and competence, GDPR, MiFID2 and DISP. · - Remain up ...
-
Compliance Manager
1 week ago
mbf. City of London, United Kingdom**Compliance Manager - Hybrid - 3 days in London.** · **£90,000** · To manage the day-to-day activities of the compliance function, assisting in the maintenance and development of a robust compliance framework and in the provision of information and assurance to senior management ...
-
Compliance Manager
1 week ago
Colyer Dodd & Co Ltd London, United KingdomOur client is an established, specialist global fund manager, which is looking to recruit an experienced and capable individual to report to the General Counsel and take overall responsibility for the day to day aspects of compliance. · Working within this small but highly profes ...
Compliance Manager - Tunbridge Wells, United Kingdom - Meraki Talent Ltd
Description
Job Description
Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.
There is an excellent opportunity for a Compliance Monitoring Manager to join their team, this role is based in Kent and operates on hybrid model. This is permanent role.
This role will report directly to the head of compliance & MLRO
Key Responsibilities include.
The ideal candidate will have.
Please be advised there is no sponsorship available for this role.
They are looking for a candidate who is analytic, flexible, great at planning and organising they will also have great people management skills and can manage information well
