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Finance Compliance Auditor
Talk to a consultant Talk to Renee Raichura, the specialist consultant managing this position, located in London Contact consultant ttelephone:02034650012 ffax:020 3465 0003 4th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB Read more […]
Compliance Manager
Our client, a Global Insurance firm, is looking for a Compliance advisory manager to join a growing and dynamic team based in London. Offering unparalleled career opportunities in a entrepreneurial business that is at the forefront of its specialist market. The position of Compliance Manager is aligned to the brokers to help facilitate the insurance deals.The job:You will be reporting to the Senior Compliance Manager / Head of Compliance and will have direct performance management of a Compliance Assistant. Your main accountabilities will be:• Maintaining and building up relationships with Read more […]
Senior Compliance Assistant
My client, a leading international Bank is currently recruiting for a Senior Compliance/Financial Crime professional. The bank has a worldwide presence. The Senior Compliance Assistant will be responsible for performing all of the KYC and CDD requirements for new and existing international clients. They will be involved in the Sanctions Checks and Monitoring of existing clients. They will ensure that the compliance function is up to date with new FCA requirements and the procedures being followed are relevant. This is an interactive role that will involve interaction with Operations, Sales Read more […]
Portfolio Compliance Manager
A leading global Fund Manager based in the City require a Portfolio Compliance Manager to join their business. The role is responsible for system rule coding and monitoring of trades. This Fund Manager is one of the best regarded and most recognisable brands in the industry.The role reports to the Head of the Portfolio Compliance Team. The team is part of the London Operational Risk and Portfolio Compliance Team, which reports into the Group Risk Team.The team are based in London are responsible for overseeing portfolio compliance (ensuring that investment mandates are managed in accordance Read more […]
Compliance Monitoring Manager
A multi-specialist Investment Manager and Asset Manager is seeking a Senior Compliance Manager to join their compliance team. The company has three distinct divisions: asset/fund management, private client discretionary investment management and advisory trading, and private equity. This is a chance to join a growing organisation that prides itself on having a diverse blend of characters on its workforce. Through adopting an open door policy, the company has a transparent feel where you will have frequent engagement with senior stakeholders across the business and the successful candidate Read more […]
Compliance Advisory Analyst
Our client a global asset manager with over $200bn AUM require a Compliance Advisory Analyst to join their growing compliance team. The company pride themselves on their very focused fund investment strategy. In recent years their funds have outperformed their peers and on the back of this the business has grown steadily. The company are based in the West End of London, in excellent offices. The company have won industry awards for having an excellent working culture and environment for employees.The role of Compliance Advisory Analyst sits in the core compliance function, and will form part Read more […]
Compliance Officer- Financial Promotions
A leading global investment management firm seeks a Compliance Officer at Manager level to focus on Financial Promotions, Marketing DistributionThe Role: The Marketing and Distribution Compliance team helps to provide compliance advisory services to all aspects of the Marketing and Distribution process within the firm. * The successful candidate will work with business partners as well as Legal and other support functions in connection with the review and approval of marketing material; * Due Diligence on Third Party Intermediaries; * All aspects of compliance policies and procedures for Read more […]
Compliance & Conduct Risk Internal Audit Manager
A Top Tier Global Retail Bank is now recruiting for two brand new vacancies create due to headcount approval. The Bank is looking for Audit Manager and a Senior Audit Manager to Business Partner one of the most exciting and growing areas of the Financial Services sector – Conduct Risk and Compliance Audit. This Bank has consistently outperformed its competitors and has offices and branches throughout the world. They have excellent training and development opportunities and offer unrivalled career progression for the right candidate.Conduct Risk is a highly specialist and sought-after team Read more […]
COMPLIANCE OFFICER
COMPLIANCE OFFICER – EQUITY CAPITAL MARKETSTop Tier Investment Bank are looking for an experienced Compliance Officer to work within their EMEA Banking / Research Compliance team. The role holder will provide day-to-day compliance advisory coverage to the Equity Capital Markets (ECM) origination business within EMEA and sits on the role sits on the Private Side.Provide a pro-active and re-active day-to-day advisory service in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact equity capital market activities Read more […]
Interim Head of Compliance
Compliance Advisor focusing on managing the compliance function and covering for CF10 and CF11Key DutiesHeading up the small wealth function of a larger investment bank. ResponsibilitiesThe position is for a Compliance Officer on the WM Compliance Advisory Team, supporting UK WM businesses providing practical solutions in respect of requirements arising from the implementation of FCA Regulations, EU Directives and other regulatory developments, in respect of new and existing businesses and in particular investment and banking services for predominantly private clients ranging from Affluent Read more […]