Search Results
Compliance Monitoring Manager
Compliance Monitoring Manager – BankingTo £80,000 + Banking BenefitsCity of London The Company:Leading specialist financial services group are actively recruiting for a Compliance Monitoring Manager to lead compliance monitoring team across the group.The Role:The purpose of this role is to ensure a suitable ‘risk based’ Compliance Monitoring Programme encompassing all area of regulation that impact upon the Banking Division is in place.Responsibilities will include the process of the initial ‘risk’ mapping and preparation of the compliance monitoring plan. This will involve conducting reviews Read more […]
Compliance Analsyt
Added November, 15, 2012 2:29 PM
Compliance Monitoring Analyst
Added November, 15, 2012 9:24 AM
Compliance Manager Lloyds Market
Compliance Manager Leading Lloyds of London Insurance business has an outstanding opportunity for a Risk and Compliance Manager to join the team.Our client is a $30 billion strong insurance business and known as one of the strongest brokers and risk providers in the market.The Risk Manager will need to have a strong background in the Insurance market, with commercial and wholesale experience being preferable to retail and ideally have had exposure to Lloyd’s of London environment. The compliance officer is required to have strong experience of the FSA, with knowledge and Read more […]
Compliance Specialist
Added October, 30, 2012 11:12 AM
Control Room Compliance Advisory Manager
We have an urgent requirement for a Compliance Advisory Manager with control room experience to work for a leading European Investment Bank. Role Profile:* Work with Compliance, IT and various other business units to agree and help manage the delivery of internal system/application changes. * Identification of systems, applications and ensuring that access controls are maintained at all times. * Server access controls for private-side teams. * Practical oversight of electronic access to restricted areas. * Ensure that group standards for the communication of electronic data Read more […]
Aml Compliance Analyst
Added October, 25, 2012 6:14 PM
Compliance Officer and MLRO
Role Details: * An exciting opportunity has arisen within the London office of a successful investment management firm with a global presence. This will be a stand alone and broad ranging Compliance Officer and MLRO role. * The purpose of this role is to oversee and perform the compliance function for the firm’s UK operations. * You will liaise closely with the Legal and Compliance team in the US. * The day to day role will focus on maintaining the firm’s compliance function as well performing a key function with other regulatory projects related to the firm. * Keeping Read more […]
Compliance Business Standards Assistant
Compliance Business Standards Assistant needed for London based Financial Servives firm. Role Duties: * Perform detailed monitoring and testing of fund managers and financial planners retail client records, files and portfolios to ensure that they are compliant with applicable laws, regulations and group policies. * Review client files to ensure compliance with firm’s account opening policies and procedures by following suitability assessment procedures. * Support monitioring work performed by other oversight functions. * Act as a key point of contact. * Review client Read more […]
Compliance Change Manager
The successful candidate will be a facilitator, providing the support to the management in the implementation of the key projects for the bank, defining milestones, monitoring progress, managing stakeholders, coordinating responsibilities and delivery dates, as well as keeping the senior management duly informed about the status of each project. Specific duties will include: – Provision of support to the sponsor of each project. – Define milestones, monitor and record the progress of the projects, co-ordinating delivery dates and managing stakeholder relationships as appropriate. Read more […]