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Investment Banking , Asset Management , Private Bank Compliance Officer - German Speaking

Permanent Monitoring

West End - London Up to 80,000 pa

THE COMPANY: Our client is an international wealth and investment manager based in the West End.   THE RESPONSIBILITIES: Provide advice and regulatory guidance to the Marketing/Client Servicing and Sales Teams in order to ensure that all materials produced are compliant with relevant regulations. Actively take part in the execution of the annual Compliance plan wit...

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Investment Banking , Broker/Commodities , Stockbroker , Private Bank Compliance- Financial Crime and Monitoring (6 month FTC)

Temporary AML, KYC

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

THE COMPANY: Our client is a successful private client/private wealth firm   THE RESPONSIBILITIES: Carry out financial crime monitoring’ to identify potential financial crime risks and threats. Produce Financial Crime Management Information Upkeep and maintenance of the PEP/Sensitive accounts Dealing with AML questions from the business Lia...

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Asset Management , IFA Compliance Officer- Monitoring

Permanent Monitoring

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is one of the largest financial and professional services firms in the UK.   THE RESPONSIBILITIES: Reviewing advice given to clients, which will cover all retail investment products Reviewing the sale of group risk schemes and products Ensuring any remedial action arising from the monitoring activity is completed within a timely manner...

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Investment Banking , Private Bank , Retail Bank Banking Services Officer- KYC

Permanent KYC

West End - London Up to 33,000 pa + benefits

THE COMPANY: Our client is a successful international bank with offices based in the West End   THE RESPONSIBILITIES: To provide general client and account relationship services to the Bank’s customers on a day-to-day basis including payment services, opening, closing, monitoring and maintenance of client accounts in accordance with the Bank’s policies and ...

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Investment Banking , Broker/Commodities , Stockbroker Central Compliance Regulatory Affairs Officer

Permanent Monitoring

City - London Up to 60,000 pa + benefits

THE COMPANY: Our client is a leading international bank based in the City.   THE RESPONSIBILITIES: Assist in building and maintaining effective relationships with PRA and FCA Assist in arrangements for regulatory engagements, such as meetings, teleconferences and visits. Attend regulatory engagements as required Prepare briefing notes in advance of reg...

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Asset Management , Regulatory Consulting Regulatory Consultant - Asset Management/Hedge Funds

Permanent Monitoring

City - London Up to 110,000 pa

THE COMPANY: Our client is an established compliance consultancy, specialising in providing pragmatic and commercially-aware regulatory support to small and medium sized firms.   THE RESPONSIBILITIES: To support the work with Asset Managers and Hedge Funds; this could also extend to Brokerage and Private Equity firms amongst others FCA authorisations and approvals ...

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Asset Management AML Manager/Deputy MLRO

Permanent AML

West End - London Market Rate

THE COMPANY: Our client is one of the UK's leading providers of investment management services.   THE RESPONSIBILITIES: Deputise as the focal point for all activity within the business relating to anti-money laundering, and provide assistance to support employees with the same objective. Assist with overseeing systems and controls for compliance with the Group&...

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Investment Banking , Broker/Commodities , Stockbroker Trade Monitoring/Trade Surveillance (3 month FTC)

Temporary Monitoring

City - London Up to 400 per day

THE COMPANY: Our client is a well regarded London based financial institution.   THE RESPONSIBILITIES: Complete all daily Market Abuse surveillance tasks accuratel Provide operational support to the rest of Market Surveillance team Assist in the enhancement and development of Market Surveillance systems and processes. Draft and update procedure manuals...

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Broker/Commodities Compliance Assistant

Permanent Monitoring

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a successful brokerage firm based in the City.   THE RESPONSIBILITIES: Undertaking risk-based compliance monitoring reviews on all areas of business, in particular, best execution, transaction reporting, internal governance, client money, conflicts of interest, market abuse and appropriateness; Identifying and monitoring product, compliance a...

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Investment Banking , Broker/Commodities , Stockbroker Manager, UK Compliance and Ethics

Permanent Monitoring

City - London Up to 55,000 pa + benefits

THE COMPANY: Our client is a leading global exchange firm based in the City.   THE RESPONSIBILITIES: Support the ongoing development and implementation of C&E framework to help meet business and regulatory expectations. Manage projects and work streams to help embed a solid compliance and ethical culture across all areas of the business. Support the implementat...

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Investment Banking , Broker/Commodities , Stockbroker Assistant, UK Compliance and Ethics

Permanent Monitoring

City - London Up to 40,000 pa + benefits

THE COMPANY: Our client is a leading global exchange firm based in the City.   THE RESPONSIBILITIES: Provide administrative and professional assistance to all the activities and initiatives of the C&E department. Help manage projects and work streams to help embed a solid compliance and ethical culture across all areas of the business. Support the managem...

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Asset Management , Regulatory Consulting Senior Compliance Consultant

Permanent Monitoring

South East Up to 100,000 pa + benefits

THE COMPANY: Our client is a privately-owned global advisory, administration and family office firm.   THE RESPONSIBILITIES: Monitoring and interpreting regulatory developments and advising UK and EMEA regulated entities on business impact and necessary process changes Project lead on regulatory change and implementation, working with delegates and counterparties ...

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Investment Banking , Broker/Commodities , Stockbroker Market Surveillance Associate

Permanent Monitoring

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a well regarded London based financial institution   THE RESPONSIBILITIES: Planning and execution of the monitoring and audit plan Identify which areas of the business rulebook apply Formulation of the testing to be conducted; Draft responses to enquiries Analysis of recommendations and presentation to senior management...

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Investment Banking , Broker/Commodities , Stockbroker Market Surveillance Analyst

Permanent Monitoring

City - London Up to 45,000 pa + benefits

THE COMPANY: Our client is a well regarded London based financial institution   THE RESPONSIBILITIES: Planning and execution of firm audits Formulation of the audit testing to be conducted; Analysis of responses and the drafting of conclusions and recommendations and presentation to senior management; Ensure that a full risk based review  is under...

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Asset Management , Broker/Commodities , Stockbroker , Private Bank Assistant Director, Compliance Advisory

Permanent Monitoring

City - London Up to 125,000 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: Support the activities of the Risk & Compliance team and champion the embedding of a compliance awareness culture throughout the business. Manage the acti...

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Investment Banking , Retail Bank Compliance Officer

Permanent Monitoring, AML

City - London Up to 50,000 pa + benefits

THE COMPANY: Our client is a large international bank with UK offices based in the City of London.   THE RESPONSIBILITIES: Delivery of the annual compliance monitoring programme Ensure that the findings are recorded and followed up with management so that issues can be rectified. Carrying out compliance monitoring programme testing Review compliance ma...

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Investment Banking , Stockbroker Compliance Manager Temp (3 months initially)

Temporary Monitoring

City - London Up to 500 per day

THE COMPANY: Our client is an international investment bank based in the City.   THE RESPONSIBILITIES: Maintain the Compliance monitoring plan and undertake reviews in line with the monitoring plan and track findings to completion. Develop and deliver induction and wider regulatory training. Ensure all compliance documents are reviewed and updated as requir...

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Investment Banking , Private Bank , Retail Bank Financial Crime Prevention Officer

Permanent AML

City - London Up to 30,000 pa + benefits

THE COMPANY: Our client is multinational banking and financial services company based in the City   THE RESPONSIBILITIES: Have a good understanding of and remain up to date on relevant regulatory requirements and their application in anti-money laundering legislation, Proceeds of Crime Act & Fraud Act, Data Protection.  Manage Production Orders and any o...

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Asset Management Distribution Compliance Associate

Permanent Monitoring

West End - London Up to 60,000 pa

THE COMPANY: Our client is a premier investment manager, partnering with institutions, advisors and millions of individual investors worldwide.   THE RESPONSIBILITIES: Perform risk-based monitoring of financial promotions and marketing activities; Conduct compliance due diligence and ongoing monitoring on distributors; Oversee the implementation of the compla...

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Investment Banking , Asset Management , Broker/Commodities , Stockbroker , Private Bank Senior Compliance Associate- Investments Team

Permanent Monitoring

South East Up to 42,000 pa + benefits

THE COMPANY: Our client is a specialist consultant providing compliance solutions to businesses operating in financial services.   THE RESPONSIBILITIES: Assisting to draft applications for FCA authorisation and variations of permission for MiFID firms Keeping up to date with FCA regulatory rules, particularly for MiFID firms Assisting with reviewing Financi...

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