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Broker/Commodities , Stockbroker , Private Bank Compliance Officer

Permanent AML

City - London Up to 38,000 pa + benefits

THE COMPANY: Our client is a successful international law firm based in the City THE RESPONSIBILITIES: Processing conflict search requests, coming from across all global offices. Analysing conflict search results to identify potential legal and/or commercial conflicts and facilitating the resolution of thes Managing incoming requests for new client and new matter ...

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Investment Banking , Broker/Commodities , Stockbroker Financial Crime Analyst

Permanent KYC

City - London Up to 60,000 pa + benefits

THE COMPANY: Our client is full service investment brokerage company based in the City   THE RESPONSIBILITIES: Reviewing the adequacy of Customer Due Diligence (CDD), Know Your Customer (KYC), Know Your Business (KYB), source of wealth and funds, identifying and verifying ultimate beneficial owners, client information, client profiling and suitability during the accoun...

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Broker/Commodities , Stockbroker Head of Compliance

Permanent Monitoring

City - London Up to 130,000 pa + benefits

THE COMPANY: Our client is a global market leading brokerage firm based in the City.   THE RESPONSIBILITIES: Keeping themselves and senior-management suitably up to date with regulatory changes and leading implementation and agreed priorities across the business. This is to be backed by effective risk-based assessment, monitoring and reporting tools which can evidence,...

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Asset Management Senior Compliance Officer

Permanent Monitoring

City - London Up to 70,000 pa + benefits

THE COMPANY: Our client is a leading international investment management group. They are seeking a Senior Compliance Officer to join the team in London.   THE RESPONSIBILITIES: Provide compliance advice on current and new products and services as well technologies and applications Deal with employees-related queries from a compliance perspective; Deal with ...

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Asset Management , Broker/Commodities , Regulatory Consulting Compliance Analyst

Permanent AML, KYC

West End - London 40,000 - 70,000 pa

THE COMPANY: Our client is a successful online wealth management platform, based in the West End.   THE RESPONSIBILITIES: Maintain an effective second line compliance and risk monitoring programme with the inputs, the evaluations, reporting and alerts to ensure effectiveness and practical relevance Provide challenge and advice management and staff on compliance a...

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Investment Banking , Stockbroker , Private Bank Private Client KYC Review Project (6 months temp)

Temporary AML, KYC

West End - London Up to 350 per day

THE COMPANY: Our client is a prestigious private wealth firm based in the West End   THE RESPONSIBILITIES: Client documentation project reviewing current client files Updating client details including source of wealth Checking for gaps in documentation and remediating documentation Working closely with the wider compliance team and relationship manager...

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Investment Banking , Private Bank , Retail Bank Head of Compliance

Permanent Monitoring, AML

West End - London Competitive

THE COMPANY: Our client is a international bank based in West London with growth plans for its London operations. They specialise in retail banking and real estate finance.   THE RESPONSIBILITIES: Prime responsibility for the Bank’s AML Policy, procedures and staff training, ensuring that the front office record KYC, CDD / EDD due diligence and AML issues relating...

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Investment Banking , Broker/Commodities , Stockbroker Market Surveillance

Permanent Monitoring

City - London Market Rate

THE COMPANY: Our client is a well regarded London based financial institution.   THE RESPONSIBILITIES: Complete all daily market abuse surveillance tasks accurately, in accordance with all relevant procedures and to the highest standard. Provide operational support to the rest of market surveillance team on day to day tasks or special projects when required. ...

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Asset Management , Broker/Commodities , Private Bank Compliance Analyst

Permanent Monitoring

West End - London 40,000 - 65,000 pa

THE COMPANY: Our client is a successful online wealth management platform, based in the West End.   THE RESPONSIBILITIES: Maintain an effective second line compliance and risk monitoring programme with the inputs, the evaluations, reporting and alerts to ensure effectiveness and practical relevance Provide challenge and advice management and staff on compliance a...

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Asset Management , Regulatory Consulting Compliance Manager - Interim

Temporary Monitoring

City - London 450 - 600 per day

THE COMPANY: Our client is a global leader in institutional asset management.   THE RESPONSIBILITIES: Provide advice and guidance to the business in regard to the activities of the Firm, including portfolio management, trading, marketing and distribution. Develop and document policies and procedures where required.  Maintaining the compliance manual and ensu...

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Investment Banking , Asset Management Assistant Manager- Governance and Compliance

Permanent Monitoring, AML

City - London Up to 35,000 pa + benefits

THE COMPANY: Our client is leading UK merchant banking group.   THE RESPONSIBILITIES: Attend meetings with Bank Compliance representatives to discuss any updates in regulation and Bank wide compliance projects. Complete and submit monthly Finance Crime and Conduct Risk MI to Bank Compliance and updates to Group Compliance. Report quarterly to the Property R...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer

Permanent Monitoring

City - London Up to 65,000 pa + benefits

THE COMPANY: Our client a leading global Brokerage firm and provider of spread betting and CFDs   THE RESPONSIBILITIES: Plan and undertake the execution of compliance desk reviews/risk based monitoring in accordance with an established review plan Carry out thematic reviews of Compliance topics across the business Work with the business units to develop a g...

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Asset Management , Regulatory Consulting Compliance Contractor (12 months)

Temporary Monitoring

City - London 450 600 per day

THE COMPANY: Our client is one of the world's largest investment companies, with offices based in the heart of the City.   THE RESPONSIBILITIES: Help support the launch of the pension, as well as deal with day to day operational queries relating to CASS, dealing, ISA as well as client queries. Will be taking part in project work as well as day to day BAU comp...

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Investment Banking , Broker/Commodities , Stockbroker Senior Managers and Certification Regime (Contractor)

Temporary Monitoring

City - London Up to 800 per day

THE COMPANY: Our client is one of the UK’s leading wealth managers. They offer a range of bespoke services to their clients which consist of both individuals and organisations.   THE RESPONSIBILITIES: To act as the Compliance SME for the implementation of the Senior Management and Certification Regime (SMCR) within the business To facilitate the successful ...

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Investment Banking , Broker/Commodities , Stockbroker Financial Crime Associate Director

Permanent AML

City - London Up to 70,000 pa

THE COMPANY: Our client is a highly regarded corporate and investment banking group based in the City.   THE RESPONSIBILITIES: To support the  Financial Crime Compliance function To manage and conduct investigations that detect and report suspicious activity . To support the promotion of financial crime compliance across the business Plan, lead an...

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Broker/Commodities , Stockbroker Compliance Associate

Permanent Monitoring

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a leading commodities trading firm based in the City of London.   THE RESPONSIBILITIES: Responsible for regulatory reporting, monitoring and supervision; EMIR, MiFID II Position Limits, REMIT, Swiss (FinfraG). Review surveillance alerts in accordance with firm policies. Work across the organization to develop and test systems to m...

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Investment Banking , Broker/Commodities , Stockbroker Market Conduct Analyst

Permanent Monitoring

West End - London Up to 65,000pa + Benefits

THE COMPANY: Our client is a global commodities firm with exciting new growth plans   THE RESPONSIBILITIES: Monitoring and reviewing both physical and paper positions and analysing them as per their commercial rationale, regulatory classification and interlinkage Undertaking periodic Market Abuse Risk Assessments across all desks of the business Monitoring ...

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Investment Banking , Broker/Commodities , Stockbroker Client Onboarding Associate

Permanent AML, KYC

City - London Up to 45,000 pa + benefits

THE COMPANY: Our client is a well regarded London based financial institution   THE RESPONSIBILITIES: Engage with prospective business relationships in exploratory discussions to determine their suitability and due diligence In conjunction with other team members, own and drive the progression of the end to end on-boarding Perform all itemised tasks in the o...

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Investment Banking , IFA , Regulatory Consulting Regional Compliance Manager - London

Permanent Monitoring

West End - London Up to 70,000 pa + benefits

THE COMPANY: Our client is a leading investment consulting firm specialising in advice and guidance for company pensions, pension trustees and employee benefits in the UK and internationally   THE RESPONSIBILITIES: Assist in the design, implementation and periodic review of Compliance procedures. Contributing to the production and implementation of the Compliance...

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Asset Management , Regulatory Consulting Monitoring Executive

Permanent Monitoring

West End - London 60,000 - 80,000 pa

THE COMPANY: Our client is a successful regulatory hosting platform based in the West End.   THE RESPONSIBILITIES: Advise and assist in developing compliance policies and procedures bespoke to client. Design compliance monitoring programmes (heatmaps) and monitoring work programmes (tests) based on client due diligence. Implement and enhance the business&rs...

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