Compliance Monitoring – Assistant Manager recruitment
This is an excellent opportunity for compliance professional keen to join a successful and internationally renowned global bank. As a Compliance Manager, your responsibilities will include: Carry out compliance monitoring reviews to obtain assurance that there is no breach of regulation, codes or company standards Foster a close working relationship with Compliance Advisers, Head of Compliance, Front office and audit teams to better embed regulatory requirements Track and follow up findings identified and escalate professionally and on a timely basis Contribute to the preparation of the monitoring Read more […]
Compliance Monitoring – Brokerage recruitment
One of the worlds leading brokerages require a compliance professional to assist in the development of their Compliance Monitoring programme. This is an excellent opportunity for an experienced compliance professional to join a well respected and established business.The successful applicant will have the following responsibilities:• Developing the monitoring programme• Perform both desk based and thematic reviews• Investigate regulatory concerns on an ad-hoc basis, escalating issues where necessary.• Produce monitoring reports and make recommendations to the business, ensuring actions Read more […]
Compliance Monitoring/Charles River/Sentinel/Thinkfolio/Bloombe recruitment
Compliance Monitoring/Charles River/Sentinel/Thinkfolio/BloombergA market leading Investment Management client is currently recruiting for a Compliance Monitoring specialist to join their team on a permanent basis. This is an excellent opportunity to join an established client based in London. Excellent salary and package available.The role will require you to carry out compliance monitoring and provide advice to the business. In particular, you will be a strong personality who can challenge Senior ManagementYou will have:*Prior experience of working in a Compliance monitoring role in the Asset Read more […]
Compliance Monitoring – Insurance recruitment
This highly successful and well known Lloyd’s Syndicate are seeking a Compliance Monitoring Executive to join their growing Compliance team.You will be responsible for undertaking regular compliance monitoring across various lines business. You will be responsible for all aspects of the monitoring process, which will include; pre-visit planning, collation and analysis of MI and monitoring samples, as well as the provision of written and verbal reports to the relevant business areas. You will also work directly with the business in improving any identified weaknesses and monitor actions, escalating Read more […]
Senior Manager – Compliance Monitoring – Retail and Commercial Banking recruitment
This is monitoring at its most proactive, comprehensive and requiring management skills that are able to handle complexity and scale.Firstly you’ll need to understand big picture and contextual issues such as emerging risk themes, regulator hotspots, changing business focuses and the accompanying risk matrices that require a monitoring response.Then there is the planning and comunication aspect which will require regular engagement with other risk and AML professionals and the implementation of a joined up response and monitoring framework that ensures a comprehensive and effective regulatory risk Read more […]
Compliance Monitoring – Surrey recruitment
An organised, analytical and flexible person is required to work in the Monitoring Team, undertaking audits across a range of business areas. Successful applicants will need to display the ability to influence at a senior level and make commercially sustainable judgements, while providing the Group Regulatory Risk and Compliance Director with reassurance that risks and issues are appropriately managed. The jobholder will manage a varied portfolio of tasks across the Group providing them with opportunities to improve their knowledge and understanding of the business. Key ResponsibilitiesIn conjunction Read more […]
Compliance Monitoring / Surveillance – Contract recruitment
Our client, a well known Fund Manager is keen to speak with Compliance Monitoring / Surveillance specialists for a 12month contract opportunity. Experience within a Fund Manager a plus as would knowledge of Property/Real Estate fundsJob DescriptionSupport Compliance Monitoring in providing a robust 2nd line of defence review of the controls and processes operated by the Group and its outsourcers in the 1st line of defence. To assist the task allocation within the Compliance Monitoring team in the EMEA and to work closely with Internal Audit to ensure that tasks are assigned and timetabled to maximise Read more […]