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Investment Banking , Private Bank , Retail Bank Compliance Monitoring Officer

Permanent Monitoring

City - London Up to 65,000 pa + benefits

THE COMPANY: Our client is leading UK merchant banking group.   THE RESPONSIBILITIES: Assist the Compliance Monitoring Manager with implementation of the Bank’s risk based compliance monitoring programme; Undertake appropriate preparatory work ahead of on-site visits, liaising with relevant business areas as required; Take the lead in carrying out mon...

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Investment Banking , Stockbroker , Private Bank Compliance Officer (temp)

Temporary Monitoring

City - London Up to 200 per day

THE COMPANY: Our client is a successful securities and derivatives  investment firm with offices based in the city   THE RESPONSIBILITIES: Completion of Registration and other Compliance on boarding requirements for new joiners Completing relevant aspects of PA Dealing and OBI processes Coordination and administration of Compliance Training Prepar...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Compliance Assistant

Permanent Monitoring, AML, KYC

City - London Up to 32,000 pa + benefits

THE COMPANY: Our client is a leading global Broker based in the heart of the city   THE RESPONSIBILITIES: Provide advice and assistance regarding the opening of new accounts and new applications where needed; Sign off applications when Compliance input is required; Liaise with the marketing team to ensure the relevant processes and procedures are followed a...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Compliance Officer

Permanent Monitoring

City - London Up to 55,000 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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Investment Banking , Stockbroker , Private Bank Compliance Monitoring Associate

Permanent Monitoring

City - London Up to 55,000 pa + benefits

THE COMPANY: Our client is one of the world's leading financial groups with offices based in the city   THE RESPONSIBILITIES: Assist in the delivery of the annual Compliance monitoring plan. Conduct Compliance risk based desk and thematic reviews to deliver independent recommendations to business heads Market Conduct Surveillance Recommend enhancem...

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Asset Management , Regulatory Consulting Compliance Manager

Permanent Monitoring

West End - London Up to 60,000pa + benefits

THE COMPANY: Our client is a specialist consultant providing compliance solutions to businesses operating in financial services.   THE RESPONSIBILITIES: Providing a technical helpdesk function to the firm and its clients Undertake a range of projects as requested by senior management Providing detailed audit reports and making recommendations to the clients...

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Investment Banking , Asset Management Compliance Manager

Permanent Monitoring

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

THE COMPANY: Our client is a successful independent investment manager based in the West of London   THE RESPONSIBILITIES: Manage the Compliance Monitoring program including but not limited to: Best Execution and Market Abuse monitoring via Bloomberg’s Transaction Cost Analysis tool (BTCA), Non-trade monitoring, Appropriate updates / enhancements via risk-based app...

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Asset Management , Regulatory Consulting Compliance Associate

Permanent Monitoring

City - London Up to 65,000 pa + benefits

THE COMPANY: Our client is one of the world's largest investment companies, with London offices based in the heart of the city   THE RESPONSIBILITIES: Acting as the SME and Compliance lead for SMCR, MiFID II Knowledge & Competency, Conduct and Culture, Conflicts and Remuneration. Co-ordinating the completion of PA dealing disclosures, including quarterly ...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer

Permanent Monitoring

City - London Up to 75,000 pa + Benefits

THE COMPANY: Our client provides independent, agency brokering services all over the world.   THE RESPONSIBILITIES: Conducting compliance monitoring reviews including thematic reviews in accordance with the Compliance Monitoring Plan Aiding the development and enhancement of existing surveillance controls Completing MTF reporting to the FCA Completing...

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Broker/Commodities , Stockbroker Chief Compliance Officer

Permanent Monitoring

West End - London Up to 115,000 pa + Benefits

THE COMPANY: Our client is a global provider of prime brokerage and trading services based in the West End   THE RESPONSIBILITIES: Developing the global compliance strategy that reflects the risks within the organisation Responsible for the day to day management and running of the Compliance department, including recruitment and staff development Advise the ...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Head of Monitoring and Control

Permanent Monitoring

City - London Up to 100,000 pa

THE COMPANY: Our client is a global corporate and investment bank based in the city   THE RESPONSIBILITIES: Performance of a system of permanent controls designed to identify and monitor any non-compliance risks. Updating the permanent controls in line with changes in the regulatory environment and market practice Performance of thematic reviews of specific ...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Compliance Analyst

Permanent Monitoring

City - London 40,000 - 70,000 pa

THE COMPANY: Our client is a leading financial services firm based in the city   THE RESPONSIBILITIES: Responding to requests from the  business and compliance team to provide accurate and considered compliance advice. Lead and manage specific risk assessments, policy review and compliance review projects, Support the Compliance Manager and Head of Comp...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Compliance Officer

Permanent Monitoring, AML

City - London Up to 70,000 pa

THE COMPANY: Our client is a successful market making and proprietary trading firm   THE RESPONSIBILITIES: Advising and supporting the business with the regulatory and compliance issues. Ensuring that all departments are adhering to company policy. Carrying out compliance monitoring for all entities; Assisting in the timely preparation, completion and ...

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Investment Banking , Stockbroker , Private Bank AML Analyst (temp)

Temporary AML, KYC

West End - London Up to 160 per day

THE COMPANY: Our client is a global independent bank with London offices based in the West End   THE RESPONSIBILITIES: Provide support and assistance to the account opening supervisor in the account opening process. Carry out KYC and CDD analysis of new client accounts; Review new and existing client files for accuracy and completeness and identify relevant document...

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Investment Banking , Stockbroker , Private Bank Associate, Compliance

Permanent Monitoring

City - London Up to 70,000 pa + benefits

THE COMPANY: Our client is a leading international bank with offices based in the city   THE RESPONSIBILITIES: Provide pro-active & reactive guidance to the Capital Markets business in an informed manner on a variety of topics including regulations, booking models, registration related questions etc. Assisting the business in identifying and managing emerging re...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Control Room

Permanent Monitoring

City - London Up to 78,000 pa + benefits

THE COMPANY: Our client is a leading, international investment bank based in the city   THE RESPONSIBILITIES: Perform maintenance of Grey and Restricted Lists based upon information obtained from Investment Bankers and Investment Banking Management and from other Compliance Departments. Perform the tracking on the status of Grey and Restricted List transactions to...

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Investment Banking , Stockbroker , Private Bank Complaince Officer and DMLRO

Permanent Monitoring, AML

West End - London Up to 55,000 pa + benefits

THE COMPANY: Our client is a leading international bank with offices based in West London   THE RESPONSIBILITIES: Undertake compliance monitoring testing in line with the compliance monitoring programme, including but not limited to: New customer accounts, account reviews and transaction monitoring Implement and maintain compliance and financial crime policies and...

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Investment Banking , Stockbroker , Private Bank Financial Crime / AML AVP

Permanent AML

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a leading international bank based in the city   THE RESPONSIBILITIES: To perform core business as usual tasks within the sanctions team Investigate potential sanctions breaches Conducting enhanced sanctions due diligence on specific relationships/transactions Perform event driven reviews in relation to sanctions Provid...

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Investment Banking , Stockbroker , Private Bank MLRO

Permanent AML

City - London Up to 120,000 pa

THE COMPANY: Our client is a leading international bank with exciting new growth plans   THE RESPONSIBILITIES: Maintain an awareness of current AML regulations and legislation Ensure that the Bank’s policy and procedures on AML matters Responsible for maintaining and updating the fraud policy Ensure training in anti-money laundering matters is ro...

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Investment Banking , Stockbroker , Private Bank Compliance Manager

Temporary Monitoring

West End - London Up to 85,000 pa + benefits

THE COMPANY: Our client is a prestigious private wealth firm based in the West End   THE RESPONSIBILITIES: Review and write policies and procedures, including Compliance Manual Review new proposed regulations and conduct gap analysis Review new account documentation, including complex structures involving multiple companies and trusts Monitor the perfo...

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