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Asset Management , Regulatory Consulting Compliance Officer

Permanent Monitoring, AML

City - London Up to 70,000 pa + benefits

THE COMPANY: Our client is a leading global asset management firm with offices based in the City of London   THE RESPONSIBILITIES: Maintain the compliance related oversight of the Funds third party fund service providers, including: UK and Ireland Transfer Agents and Fund Administrators Lead and advise on Anti Money Laundering queries from internal departments and ...

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Investment Banking , Broker/Commodities , Retail Bank Compliance Change Manager

Permanent Monitoring, AML

West End - London Up to c100,000 pa + benefits

THE COMPANY: Our client is an international bank with London offices based in the West End   THE RESPONSIBILITIES: Leading the implementation of a portfolio of compliance and regulatory projects Addressing requirements of the 4th AML Directive, GDPR, FATCA, CRS, MIFID2, PSD2, PAD, FTR. Revising and documenting existing compliance and financial fraud processe...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Monitoring & Advisory

Permanent Advisory, Monitoring

City - London Up to 55,000 pa + benefits

THE COMPANY: Our client is an international bank. They are a leading provider of Trade Finance, Corporate & Institutional Banking   THE RESPONSIBILITIES: Conduct and execute Bank wide risk based Compliance Monitoring Plan and Program Maintain and update Bank wide risk based Compliance Monitoring Plan and Program and suggest additions and amendments as require...

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Investment Banking , Stockbroker , Retail Bank UK Compliance Officer

Permanent Monitoring

City - London Up to 55,000 pa

THE COMPANY: Our client is a large successful European Bank who are rapidly growing within the UK market.   THE RESPONSIBILITIES: Carrying out Conflicts of interest, procurement and on-line training monitoring Providing advice, support and guidance to the business Assistance with in incident management in recording, reporting and liaising with group As...

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Investment Banking , Stockbroker , Private Bank Team Leader, Regulatory Compliance

Permanent Monitoring

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

THE COMPANY: Our client is a a global private banking group with offices based in the West End   THE RESPONSIBILITIES: To work closely with the Head of Compliance UK in planning engagement strategy and activity across the firm, understanding the perceived integrity of the Team and respect for Team output is fundamental to effective impact upon the business. Provi...

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Investment Banking , Stockbroker , Private Bank Project Review Analyst (12 month FTC)

Temporary AML, KYC

West End - London Up to 45,000 pa pro rata

THE COMPANY: Our client is a a global private banking group with offices based in the West End   THE RESPONSIBILITIES: To adhere to the rules and regulations affecting the money laundering environment, including but not limited to the FCA Handbook, JMLSG, Proceeds of Crime Act, Prevention of Terrorism Act, US Patriot Act, Fraud Act, Bribery Act and the Money Laundering...

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Investment Banking , Stockbroker , Private Bank AML Crime Analyst (12 month FT contract)

Temporary AML, KYC

West End - London Up to 40,000 pa + benefits

THE COMPANY: Our client is a a global private banking group with offices based in the West End   THE RESPONSIBILITIES: To adhere to the rules and regulations affecting the money laundering environment, including but not limited to the FCA Handbook, JMLSG, Proceeds of Crime Act, Prevention of Terrorism Act, US Patriot Act, Fraud Act, Bribery Act and the Money Laundering...

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Investment Banking , Stockbroker , Private Bank Senior AML Analyst (12 month FT contract)

Temporary AML, KYC

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

THE COMPANY: Our client is a a global private banking group with offices based in the West End   THE RESPONSIBILITIES: To adhere to the rules and regulations affecting the money laundering environment, including but not limited to the FCA Handbook, JMLSG, Proceeds of Crime Act, Prevention of Terrorism Act, US Patriot Act, Fraud Act, Bribery Act and the Money Laundering...

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Investment Banking , Stockbroker , Retail Bank Senior Financial Crime Advisory

Permanent AML

City - London Up to 90,000 pa

THE COMPANY: Our client is an international bank. They are a leading provider of Trade Finance, Corporate & Institutional Banking   THE RESPONSIBILITIES: Review all new policies and assist operations and front office with the implementation and embedding of those polices, standards and procedures across the business. Recommend policy changes and assess the im...

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Investment Banking , Stockbroker , Retail Bank Sanctions Advisory

Permanent AML

City - London Up to 70,000 pa

THE COMPANY: Our client is an international bank. They are a leading provider of Trade Finance, Corporate & Institutional Banking   THE RESPONSIBILITIES: Review all new sanctions related policies and assist operations and front office with the implementation and embedding of those polices, standards and procedures across the business. Approve all sanctions re...

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Investment Banking , Broker/Commodities , Stockbroker Financial Crime Executive

Permanent AML

City - London Up to 55,000 pa + benefits

THE COMPANY: Our client is a Leading International bank with offices based in the heart of the city   THE RESPONSIBILITIES: Advise on day-to-day AML/CTF matters affecting the business, including, but not limited to, customer identification and due diligence, enhanced due diligence, risk scorecard, policy and procedures maintenance, internal and external reporting, and t...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Director

Permanent Monitoring

City - London Up to 100,000 pa + benefits

THE COMPANY: Our client is an established multi-service stockbroker based in the City   THE RESPONSIBILITIES: To monitor and ensure all regulatory filings are made in due time. To review and keep up to date departmental/office regulatory protocols, policies and procedural manuals. To ensure that a culture of treating customers fairly is embedded across the ...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Officer - Equities Sales and Trading

Permanent Monitoring

City - London Up to 100,000 pa + benefits

THE COMPANY: Our client is a International Bank based in the City   THE RESPONSIBILITIES: Providing advice and regulatory guidance to the institutional brokerage business and specifically the Sales and Trading activities within the London branch Undertaking Compliance risk assessments and planning to ensure that the Bank is in compliance with relevant rules and r...

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Asset Management , Regulatory Consulting Compliance Officer

Permanent Monitoring

City - London Up to 60,000 pa + benefits

THE COMPANY: Our client is a global private markets investment manager based in the city   THE RESPONSIBILITIES: Identifying, understanding and interpreting UK financial services legislation and regulation Advising the UK Compliance Officer and more senior team members on the firm’s obligations and how to meet those obligations Ensuring adherence to the...

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Investment Banking , Stockbroker , Retail Bank Assistant Manager, Regulatory Change and Fraud Prevention

Permanent AML

City - London Up to 35,000pa + Benefits

THE COMPANY: Our client is multinational banking and financial services company based in the City   THE RESPONSIBILITIES: Monitoring of and keeping up to date on new regulatory requirements and updates to existing rules and regulations Working with and supporting other Compliance team members to coordinate and manage regulatory projects to ensure delivery remains o...

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Investment Banking , Asset Management , Stockbroker Client Services Team Analyst (Investment Complaints)

Permanent Monitoring

City - London Up to 50,000 pa + benefits

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: Understand broader company strategy and business plans for Regulation and Risk with particular focus on complaints handling requirement Liaise and assist as r...

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Investment Banking , Broker/Commodities , Stockbroker Compliance Associate

Permanent Monitoring

City - London Up to 45,000 pa

THE COMPANY: Our client is a successful brokerage firm based in the City   THE RESPONSIBILITIES: Completing regular Compliance Monitoring Reviews on a timely basis under the agreed Compliance Monitoring Plan and on an ad hoc basis as necessary Working with the Head of Compliance on AML matters Assist the Head of Compliance in responding to exchange queries, au...

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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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