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Retail Bank , IFA , Regulatory Consulting Regional Compliance Manager

Permanent Monitoring

North West Up to 55,000 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: This Regional Compliance Manager role is a vital part of the Compliance team to ensure that the business has a robust and compliant infrastructure in place ...

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Retail Bank , IFA , Regulatory Consulting Compliance Manager

Permanent Monitoring

West End - London Up to 65,000 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: This Compliance Manager role has been created to provide Compliance services to our private client advice division to help ensure that the business’ h...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer (Temp 3-6 months Initially)

Temporary Monitoring

City - London Up to 275 per day

THE COMPANY: Our client is a successful brokerage firm based in the City   THE RESPONSIBILITIES: Implement and maintain adequate compliance policies and procedures sufficient to ensure compliance with regulatory obligations. Assist in devising the Compliance Monitoring Plan (“CMP”) To assist in providing advice on Financial Crime risk and client ...

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Asset Management , Stockbroker , Retail Bank , Regulatory Consulting Compliance Manager, Investments

Permanent Monitoring, AML

South East Up to 55,000 pa + 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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Asset Management , Broker/Commodities , Retail Bank , Regulatory Consulting Compliance Manager

Permanent Monitoring, AML

South East Up to 55,000 pa + benefits

THE COMPANY: Our client is a specialist consultant providing compliance solutions to businesses operating in financial services.   THE RESPONSIBILITIES: Advising senior business stakeholders on the firm’s regulatory obligations and how they should be met in respect of Peer 2 Peer Lending, CrowdFunding and Consumer Credit Drafting policies, procedures and re...

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Broker/Commodities Compliance Analyst, Monitoring

Permanent Monitoring

City - London Up to 45,000 pa

THE COMPANY: Our client is a leading independent, full-service financial services firm   THE RESPONSIBILITIES: The role will involve working closely with the front desks, operations and other members of the Compliance Department to help ensure that the business meets its legal/regulatory obligations  Use the business’ electronic surveillance systems on ...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer Associate

Permanent Monitoring

City - London Up to 55,000 pa

THE COMPANY: Our client is a London based financial institution with a strong global reputation.   THE RESPONSIBILITIES: Further develop and enhance the enterprise-wide compliance framework Actively monitor and maintain the business’ compliance with its regulatory requirements Develop and operate the formal program of internal compliance testing to ens...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer AVP

Permanent Monitoring

City - London Up to 75,000 pa

THE COMPANY: Our client is a London based institution with a strong global reputation.   THE RESPONSIBILITIES: Further develop and enhance the enterprise-wide compliance framework and actively monitor and maintain the business’ compliance with its regulatory requirements Develop and operate the formal program of internal compliance testing to ensure adherenc...

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Investment Banking , Broker/Commodities , Retail Bank Compliance Manager

Permanent Monitoring, AML

City - London Up to 120,000 pa

THE COMPANY: Our client is an international corporate bank based in the City.   THE RESPONSIBILITIES: Monitor rules and guidance issued by the PRA, FCA and other regulators to ensure that the branch’s business activites comply with regulatory requirements Provide regular briefings to senior management Maintain and develop branch compliance-related poli...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Analyst, Part Time (2-3 days a week)

Permanent Monitoring, KYC

City - London Up to 65,000 pa pro rata

THE COMPANY: Our client is a leading global commodity merchant based in the heart of the city   THE RESPONSIBILITIES: Manage KYC requests received by the business from banks, brokers, suppliers and customers. Associated administrative functions, such as ensuring that KYC packages are kept up-to-date. Responding to Bridger (client and vendor background datab...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank AML Associate

Permanent AML

City - London Up to 38,000 pa + benefits

THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the city   THE RESPONSIBILITIES: Review and approval of new and existing client accounts; Assist with any queries relating to KYC processes to ensure adherence to internal procedures and industry best practice; Interact with our onboarding team, etc. to obtain KYC and other comp...

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Investment Banking , Broker/Commodities Junior Client On- Boarding and Remediation Account Officer

Permanent AML, KYC

West End - London Up to 28,000 pa + benefits

THE COMPANY: Our client is a leading international bank with UK offices based in West London   THE RESPONSIBILITIES: Ownership of account opening forms and documents (Account Documents). Review of legal and regulatory requirements (both UK and Malaysia) in respect of CDD and AML to ensure that Account Documents are updated. Review of documents received from...

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Investment Banking , Broker/Commodities Senior Analyst, Market Surveillance

Permanent Monitoring

City - London Up to 65,000 pa

THE COMPANY: Our client is a London based exchange with a strong global reputation. They are currently looking to hire an additional Senior Surveillance Analyst to join their established team   THE RESPONSIBILITIES: Lead in the execution of investigations into possible breaches of the business Rules; Analysis of information to determine if a possible Rule breach h...

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Investment Banking , Broker/Commodities , Stockbroker Senior Compliance Associate

Permanent Monitoring

City - London Up to 70,000pa + benefits

THE COMPANY: Our client is an FCA authorised and regulated firm providing trade execution, clearing and advisory services.   THE RESPONSIBILITIES: Compliance support for the LME, CRM/Softs & FXPB & Securities businesses. Assist in the planning, execution and documentation of overall risk based compliance monitoring programme. Review of account openi...

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Investment Banking , Asset Management , Private Bank Compliance Monitoring Officer

Permanent Monitoring

City - London Up to 60,000 pa + benefits

THE COMPANY: Our client is a successful investment manager based in the City THE RESPONSIBILITIES: Providing input into the annual Compliance Monitoring Programme to help identity key areas for review Executing and reporting against the Compliance Monitoring Plan and retaining appropriate records Presenting findings and reports including suggestions for relevant ...

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Investment Banking , Asset Management , Private Bank Financial Crime and Monitoring Officer

Permanent Monitoring, AML

City - London Up to 60,000 pa + benefits

THE COMPANY: Our client is a successful investment manager based in the City THE RESPONSIBILITIES: Carrying out weekly reviews of high risk clients Gathering information and conducting research in connection with risk assessments Carrying out monthly transaction surveillance monitoring Carrying out ad-hoc assessments as required Being proactive and co...

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Investment Banking , Broker/Commodities , Stockbroker Senior Compliance Associate

Permanent Monitoring

City - London Up to 65,000 pa + benefits

THE COMPANY: Our client is a leading global derivatives broker. They specialise in FX and CFDs   THE RESPONSIBILITIES: Management of the compliance department of the firm, including effective compliance monitoring of the firm’s overseas offices, providing advice as necessary. Assess the effectiveness of the firm’s systems and controls. Updating, ...

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Investment Banking , Stockbroker , Retail Bank Compliance Officer, Retail Banking

Permanent Monitoring

City - London Market Rate

THE COMPANY: Our client is a leading corporate and retail banking group who are looking for a compliance officer to join their team in London. They have over  700 branches in more than 15 Countries with the UK being their fastest growing market.   THE RESPONSIBILITIES: Carrying out financial promotions approvals and assisting with a monitoring plan to ensure oversi...

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Investment Banking , Asset Management , Private Bank Financial Crime Officer

Permanent AML

City - London Up to 75,000 pa

THE COMPANY: Our client is a leading global Private Bank based in the City   THE RESPONSIBILITIES: Responding to queries about the firm’s financial crime policies, procedures and processes Making assessments of financial crime risk for the purpose of internal approval Liaising with senior management where necessary Monitoring new developments in...

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Investment Banking , Stockbroker , Retail Bank Head of Transaction Monitoring

Permanent Monitoring, AML

City - London Up to 85,000 pa

THE COMPANY: Our client is a global banking group with offices based in the City   THE RESPONSIBILITIES: Embedding policy and procedures for transaction monitoring Provide oversight and support to transaction monitoring team to monitor transactions for all of the Bank’s customers Ensure smooth implementation and running of the new automated transactio...

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