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Investment Banking , Broker/Commodities , Stockbroker Compliance Analyst

Permanent Monitoring

City - London Up to 70,000 pa

THE COMPANY: Our client is a leading global financial institution   THE RESPONSIBILITIES: Compliance and financial crime monitoring / use of automated surveillance tools Advising the business on the local regulatory requirements and ensuring compliance Performing KYC and AML reviews periodically per all clients; Performing local compliance monitoring a...

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Investment Banking , Broker/Commodities , Stockbroker Global Head of Compliance

Permanent Monitoring

City - London Up to 140,000 pa

THE COMPANY: Our client is a world leading investment house for frontier and illiquid markets   THE RESPONSIBILITIES: Direct operational compliance activity across the group through active leadership. Have an in-depth knowledge of the firm’s business operations, instrument coverage and strategy Be the key point of contact for the FCA and liaise accord...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer

Permanent Monitoring

City - London Up to 75,000 pa

THE COMPANY: Our client is a leading international investment bank based in the City   RESPONSIBILITIES: Operating the compliance monitoring plan and following up findings with the business Compliance Advisory work Develop and produce Management Information and proactively influence employees by use of communication tools (ie Sharepoint/Intranet) Othe...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer (temp)

Temporary Monitoring

City - London Up to 400 per day

THE COMPANY: Our client is a leading international investment bank based in the City   RESPONSIBILITIES: Operating the compliance monitoring plan and following up findings with the business Compliance Advisory work Develop and produce Management Information and proactively influence employees by use of communication tools (ie Sharepoint/Intranet) Othe...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer

Permanent Monitoring

City - London Up to 110,000pa + Benefits

THE COMPANY: Our client is a Leading Brokerage firm based in the City   THE RESPONSIBILITIES: Support the UK and EU Board of Directors; Independently initiate, drive and implement project solutions; Create and maintain project plans and regularly follow up on open items; Produce high level summaries and updates for senior management; Keep abreas...

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Investment Banking , Broker/Commodities , Stockbroker KYC/Compliance Analyst

Permanent KYC

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

THE COMPANY: Our client is a global commodities firm with exciting new growth plans   THE RESPONSIBILITIES: Conducts thorough enhanced due diligence on counterparties and business associates as per the adequate provisions requirements of the Bribery Act 2010 and applicable Anti – Money Laundering Standards Escalates all concerns and issues as appropriate. ...

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Broker/Commodities , Stockbroker Compliance Associate (Advisory)

Permanent Advisory

City - London Up to 65,000 pa

THE COMPANY: Our client is a leading independent, full-service financial services firm   THE RESPONSIBILITIES: Providing day-to-day compliance advice and guidance to business areas Design and maintenance of compliance policies and procedures Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect...

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Investment Banking , Stockbroker , Private Bank Surveillance Compliance Officer

Permanent Monitoring

City - London Up to 60,000pa + benefits

THE COMPANY: Our client is a Leading International bank with offices based in the heart of the city   THE RESPONSIBILITIES: To perform the daily electronic communications surveillance. To maintain and enhance surveillance procedures. To assist the Compliance Team in performing various compliance tasks, such as desk reviews, periodic testing and any required ...

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Investment Banking , Stockbroker Product Compliance Officer

Permanent Monitoring

City - London Up to 75,000 pa

THE COMPANY: Our client is a large successful European Bank who are rapidly growing within the UK market.   THE RESPONSIBILITIES: Obtain and maintain detailed knowledge of appropriate legislation, regulations and guidance published by UK, EU and other regulatory bodies relating to core banking products for individual and corporate customers such as current accounts, loa...

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Investment Banking Compliance Officer

Temporary Monitoring

City - London up to 400 per day

THE COMPANY: Our client is a leading international banking group. THE RESPONSIBILITIES: Operating the compliance monitoring plan and following up findings with the business Develop and produce Management Information and proactively influence employees by use of communication tools (ie Sharepoint/Intranet) Other duties will include assisting the Head of Compliance wit...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer (Part time)

Permanent Monitoring

South East Up to 100,000 pro rata

THE COMPANY: Our client is successful and rapidly growing spread betting firm, seeking a Compliance Manager to join their team on a part time basis.   THE RESPONSIBILITIES: Ensure the Company and Directors are kept up to date on FCA regulation and up and coming legislation changes including the implications of MIFID II. Update the Compliance Policy and procedures in...

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Investment Banking , Broker/Commodities , Stockbroker DMLRO

Permanent AML, KYC

City - London Up to 45,000 pa

THE COMPANY: Our client is successful foreign exchange services firm based in the City   THE RESPONSIBILITIES: Providing professional support and advice to the company directors. Expected to deputise for the Head of Compliance/MLRO in their absence. Act as an adviser to the Senior Management on compliance matters. Assist the Head of Department in ad ho...

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Investment Banking , Stockbroker , Private Bank Compliance Manager

Permanent Monitoring

City - London Up to 60,000 pa + benefits

THE COMPANY: Our client is a successful Private Bank based in the city   THE RESPONSIBILITIES: To support the Deputy Head of Compliance and Head of Compliance with a particular focus on the regulatory requirements relating to Financial Crime and, in particular, Anti-Money Laundering requirements. To carry out reviews, as allocated, in accordance with the Compliance ...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Associate

Permanent Monitoring

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a leading global derivatives broker.   THE RESPONSIBILITIES: Monitoring and approving the on-boarding of all clientele (Retail, Professional and ECP) Assisting with drafting and maintaining compliance standards, policies and procedural documents including AML, PA Dealing, Gifts, Conflicts of Interest Conduct of compliance reviews ...

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Investment Banking , Asset Management , Regulatory Consulting Compliance Associate

Permanent Monitoring

City - London Up to 60,000 + benefits

THE COMPANY: Our client is one of the world’s largest real estate investment managers. THE RESPONSIBILITIES: Work across European and APAC jurisdictions providing advice on marketing materials end ensuring that these materials are reviewed and approval prior to use; Assist in training of the business in various compliance policies, procedures and provision and im...

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Investment Banking , Asset Management Investment Guideline Contractor (6 months)

Temporary Monitoring

City - London 400 - 600 per day

THE COMPANY: Our client is an international asset manager with offices based in the City THE RESPONSIBILITIES: Supporting the Manager, Investment Compliance in ensuring smooth and effective operation of the Investment Compliance function Maintaining and enhancing the Investment Compliance Framework, including the Investment Compliance Policy and associated Procedures a...

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Asset Management Compliance Assistant

Permanent Monitoring

West End - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a globally successful hedge fund with offices based in the West End   THE RESPONSIBILITIES: Assist compliance officer with general day to day compliance tasks  Assist with the maintenance of LMR’s compliance policies and procedures and manual to reflect changing business and regulations, and provide compliance guidance/advice t...

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Asset Management , Broker/Commodities , Stockbroker Head of Compliance (Securities)

Permanent Monitoring

West End - London Up to 130,000 pa

THE COMPANY: Our client is an international asset manager with London offices based in the West End   THE RESPONSIBILITIES: Oversee and manage all compliance issues within the Brokerage business line, including compliance monitoring, risk to regulated entities, training requirements and monitoring new regulatory developments, assessing the impact on Brokerage and infor...

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Asset Management , Private Bank Compliance Generalist (3 months)

Temporary Monitoring

West End - London 400 - 600 per day

THE COMPANY: Our client is an international asset manager with London offices based in the West End   THE RESPONSIBILITIES: Implement ISA arrangements- liaising with ISA provider, review agreements, formulate policies and procedures, roll out/train staff re responsibilities Perform AML / PEP account activity reviews Assist the Head of Compliance as required...

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Stockbroker , Private Bank Private Banking Assistant (contract)

Temporary KYC

West End - London Up to 200 per day

THE COMPANY: Our client is a prestigious private wealth firm based in the West End   THE RESPONSIBILITIES: Responsible for monitoring and administration of client accounts which includes processing Security Orders, Foreign Exchange, Swaps, Transfers, Cash Transaction etc. Processing client data and client documentation Liaise with clients by telephone, email a...

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