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Head of Compliance Monitoring
Head of Compliance Monitoring – Tier 1, City based Investment Bank A Tier 1, City based investment bank is looking to recruit a Head of Compliance Monitoring to lead their growing team.Naturally inquisitive, in the course of your role, you will be able to break down complex issues, assess regulatory risk and recommend appropriate actions on the back of the reviews you carry out. You will be instrumental in developing the existing Compliance Monitoring Plan, as well as building out the current team from 4 to 12 people. Working closely with the wider compliance team and with key stakeholders Read more […]
Group Compliance Monitoring Manager
CASS focused compliance role in the city. £50 – 60,000 in a firm with an amazing culture Regularly voted one of the best places to work in the city, a banking group with an unrivalled culture are looking to make a key hire into its compliance team to focus on CASS issues.The Bank sits in the top 20 and is very highly regarded both for its operations and its culture. They regularly win awards for the culture and are often cited as being the best place to work in the city. The bank has recently merged with the investor and treasury services unit and this means the compliance team are now Read more […]
Senior Compliance Manager / CF10 / CF10a / CF11
Senior Compliance Manager / CF10 / CF10a / CF11 My client, a market-leading, fund administration firm, is looking for an aspiring Senior Manager to join them with a view to attaining CF10 / CF10a / CF11 approval. The successful candidate will provide support to the Director by becoming the main point of contact for the regulator, and eventually taking responsibility for the firm’s compliance. Currently, you will be working as a Manager or Senior Manager within a Regulated Third Party administrator or Investment Management firm, and maybe feel frustrated by limited opportunities to progress Read more […]
Compliance Monitoring Associate
A global Fund Manager based in the City of London requires an exceptionally talented Compliance Analyst to join their Central Compliance Team, with a focus on Compliance Monitoring. The role will report in to a senior manager within this team who has extensive Fund management Compliance experience specialising in regulatory review monitoring. This role offers the opportunity to partner with and learn from a very well regarded compliance specialist.The role will have coverage across all of the business including Equities, Fixed Income, Real Estate and Fund of Funds. The team are recently created Read more […]
Senior Compliance Manager
A market leading fund manager based in the City of London require a Senior Compliance Manager to join its specialist front office compliance team. The role reports directly in to the Head of this team and amongst a team of 9. This role will have oversight of front office related regulatory issue management. Covering advisory work as well as managing regulatory processes such as reporting and logging issues as well as high impact processes such as regulatory reporting, Personal Account Dealing and related MI.This role will require a very commercially focused and hands on compliance officer, Read more […]
Front Office Compliance Advisory
Compliance – Front Office AdvisoryI am recruiting for one of the most reputable global wealth managers in the city who are looking for a Front Office Compliance Advisory Officer- This is a truly unique opportunity- the organisation is renowned for its excellent culture, environment and values and is regularly voted one of the best places to work in the city.The Bank sits in the top 20 and is very highly regarded both for its operations and its culture. They regularly win awards for the culture and are often cited as being the best place to work in the city. The bank has recently merged with Read more […]
Compliance Monitoring & Testing Manager
An opportunity has arisen to work for a global financial services organisation based in Northampton as a Compliance Monitoring and Testing manager. You will be required to undertake the completion of a continuous programme of monitoring and testing activities, in line with the agreed Plan. You will also need to provide quality written reports and provide support to leadership / the wider Compliance team. You will need to be ACA qualified with proven audit experience. For further information, please contact Ashira Siraj on 0121 212 3301.
Senior Auditor Conduct and Compliance
An exciting opportunity has arisen for an Internal Auditor to join a leading European banking institution within their Conduct and Compliance team. This is a great opportunity for someone who is looking to gain high level experience, senior stakeholder exposure and to grow within an exciting, fast paced environment. The bank is dedicated to developing your career, as well as skills through training. Based at the heart of the city of London this job will allow you to be part of an expanding team. You will be working in their Conduct Risk and Compliance team focusing on the wholesale, corporate Read more […]
Capital Markets Compliance Advisory
A bulge bracket Bank, based in The City, is looking to recruit a Capital Markets Advisory Manager into their market leading Compliance function.-The primary function is to act as a Compliance Advisory Partner to Capital Markets and to engage with other functional support teams across Commercial Banking, as required.The role is part of a small, tight-knit team which prides itself on its supportive culture. You will provide first hand Compliance advice with a focus on regulatory requirements applicable to Capital Markets products; in particular Debt Capital Markets, Bond Syndication, Loan Markets, Read more […]
Senior Compliance Manager
A very well known and well regarded Fund Manager based in the City of London are growing and developing their compliance team. The most recent hire is at Senior Manager level, to Head up their Front office Compliance Advisory. The role will report in to the Head of Front office Compliance and will be the lead contact for the business on regulatory issues.The role will manage relationships across all of their product classes including Equity, Fixed Income, Real Estate and Hedge Funds. Being a new role you will need to have demonstrable compliance advisory experience and be capable of building Read more […]