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Investment Banking , Stockbroker , Private Bank Client Documentation Officer

Permanent AML, KYC

West End - London Up to 35,000 pa

THE COMPANY: Our client is a prestigious private wealth firm based in the West End   THE RESPONSIBILITIES: Arranging and scanning of all general & payment correspondence as well as Account documentation Processing of the daily UK and Direct Debit clearing Input of external supplier payments and in-house loans Preparing the daily cash for clients an...

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Regulatory Consulting Director of Consulting, Regulatory Practice

Permanent Advisory, Monitoring

City - London Up to 120,000 pa

THE COMPANY: Our client is a successful Consultancy firm, providing high quality risk, technology, assurance and advisory services.   THE RESPONSIBILITIES: Client relationship management Thought leadership- Commentary and insights and Whitepapers  Business development- Develop and execute business strategy with Managing Director and Cultivate and develop...

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Broker/Commodities , Mortgage/Lending , Regulatory Consulting Compliance Consultant

Permanent Monitoring

City - London Up to 60,000 pa

THE COMPANY: Our client is a rapidly growing trade body/consultancy firm based in the City.   THE RESPONSIBILITIES: Maintain and deliver compliance support to members both proactively and reactively Help support the maintenance of  a set of operational compliance tools known as the ‘model office’ Contribute to regular compliance communication...

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Asset Management , Regulatory Consulting Compliance Specialist

Temporary Monitoring

City - London Up to 350 per day

THE COMPANY: Our client is a leading investment management and investment advisory firm based in the City   THE RESPONSIBILITIES: Hold ad hoc monitoring meetings with Appointed Representatives to ensure all procedures and policies are being followed.  This includes arranging meetings with Appointed Representatives, attending meetings and creating reports that will b...

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Investment Banking , Stockbroker , Retail Bank AML Manager

Permanent AML

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

THE COMPANY: Our client is a International bank based in the West End   THE RESPONSIBILITIES: To manage the implementation and continuing enhancement of the bank’s Anti-Financial Crime Operations (principally AML/CTF, sanctions, ABC, fraud) To manage the implementation of the bank’s AML Compliance Monitoring Program Liaising with Head Office AML...

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Investment Banking , Broker/Commodities Market Surveillance

Permanent Monitoring

City - London Market rate

THE COMPANY: Our client is a leading exchange based in the City of London.   THE RESPONSIBILITIES: Developing a comprehensive understanding of the business Rulebook, Participant Manual, FCA’s Code of Market Conduct, the Market Abuse Regulation, and the various strategies used to commit market abuse. Using automated alerts and complex tools to monitor ...

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

Permanent Monitoring

West End - London Up to 50,000 pa

THE COMPANY: Our client is a prestigious private wealth firm based in the West End   THE RESPONSIBILITIES: Daily completion of compliance monitoring tasks in accordance with the CMP, identifying and escalating any areas of concern Building report for Monthly Risk Committee Call recording monitoring, complaint monitoring, cross border checks Daily monit...

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Asset Management , Regulatory Consulting Corporate Compliance Contractor (3 months initially)

Temporary Monitoring

West End - London Up to 350 per day

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: Undertake monitoring of the business in accordance with the Compliance Monitoring Programme, ensuring that all findings are documented and reported in a timel...

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Asset Management , Stockbroker , Regulatory Consulting Compliance Analyst

Permanent Monitoring, AML

West End - London Up to 35,000 pa

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: Responsible for the production of FCA returns; advice suitability review statistics; risk matrix; quantitative annual review statistics; PII and complaints da...

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

Permanent Monitoring

West End - London Competitive

THE COMPANY: Our client is a boutique stock broking firm based in the west end and is seeking an experienced compliance officer to work on a part time basis   THE RESPONSIBILITIES: Holding responsibility for all compliance and AML matters for the firm To hold the FCS registrations Day to day compliance monitoring Improving and enhancing policy and proc...

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Asset Management Compliance Manager

Permanent Monitoring

West End - London Up to 80,000 pa

THE COMPANY: Our client is a leading investment management company based in the West of London   THE RESPONSIBILITIES: Assist with the development and maintenance of relationships with FCA/Trustees/JMLSG/HMRC/IA/ICO. Assist with the preparation for inspections by the regulator Assist with the implementation of FCA rule changes, so far as they affect the firm....

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Investment Banking , Broker/Commodities , Stockbroker Compliance Associate- Monitoring & Financial Promotions

Permanent Monitoring

Docklands - London Up to 65,000 pa

THE COMPANY: Our client is a successful social trading and multi asset brokerage company.   THE RESPONSIBILITIES: Undertake monitoring planning, for all regulatory touchpoints of the business, taking into consideration regulatory requirements, breaches, complaints, AML controls and oversight of portfolio management and other services performed by other group companies on...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Manager

Permanent Monitoring

City - London Up to 120,000 pa + benefits

THE COMPANY: Our client is a leading securities firm based in the City.   THE RESPONSIBILITIES: Supporting the Head of Compliance Providing expert advice Managing the team Reporting to the Governing Body on the Firm’s compliance risk. Maintaining a strong understanding of the Firm’s business model and strategy Identifying and hi...

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Investment Banking , Stockbroker Compliance Executive

Permanent Monitoring

City - London Up to 60,000 pa

THE COMPANY: Our client is a well-known stockbroker based in the heart of the City, with exciting growth plans.   THE RESPONSIBILITIES: To maintain a detailed awareness of, report on and assist in the management of compliance and conduct risk, including with respect to market abuse, best execution and other conduct issues; Oversight of the firm’s market abus...

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Investment Banking , Retail Bank AVP, Financial Crime

Permanent AML

City - London Up to 70,000 pa + benefits

THE COMPANY: Our client is a successful international bank with offices based in the city   THE RESPONSIBILITIES: Oversee the day-to-day operation and activities in respect of financial crime, ensuring team tasks are allocated and undertaken accurately and in a timely manner. Where necessary escalate concerns to the Vice President to enable onward escalation as necessa...

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Investment Banking , Asset Management , Private Bank Compliance Monitoring Analyst (12 month FT Contract)

Temporary Monitoring

West End - London Up to 58,000pa pro rata

THE COMPANY: Our client is an international Private bank with a global presence. THE RESPONSIBILITIES: Maintain a quality process for second line of defence compliance assurance supporting delivery of the annual compliance monitoring plan. Assist in the delivery of well written, accurate and helpful reviews on or ahead of deadline. Lead in collating relevant action p...

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Investment Banking , Broker/Commodities , Private Bank Head of Compliance

Permanent Monitoring

West End - London up to 140,000pa + benefits

THE COMPANY: Our client is a Reputable Private Bank based in the West End THE RESPONSIBILITIES: Lead the Bank’s Compliance and Anti Financial Crime operations by directing and coordinating activities to ensure that the Bank’s compliance regime and processes are maintained in accordance with current and future regulatory policy. Formulate and document the Bank&r...

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Investment Banking , Broker/Commodities , Stockbroker Certification Manager

Permanent Monitoring

City - London Competitive

THE COMPANY: Our client is a leading international bank based in the City   THE RESPONSIBILITIES: Liaising with departments and relevant employees to arrange certification assessments Training and communicating with employees to further enhance the Bank’s and individuals' compliance with the regime; Development and updating relevant policies and pr...

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Asset Management , Regulatory Consulting Compliance Specialist

Permanent Monitoring

City - London Up to 80,000 pa + benefits

THE COMPANY: Our client is a leading investment management and investment advisory firm based in the City   THE RESPONSIBILITIES: Hold ad hoc monitoring meetings with Appointed Representatives to ensure all procedures and policies are being followed.  This includes arranging meetings with Appointed Representatives, attending meetings and creating reports that will b...

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Asset Management Senior Compliance Manager

Permanent Monitoring

City - London Up to 170,000 pa

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: Develops and implements operational plans to achieve departmental and corporate compliance objectives. Plans, develops and executes short and long range goals.  Demonstrates initiative and creativity in independen...

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