Company: Compliance Professionals
THE COMPANY: Our client is a boutique investment firm, offering services including wealth management and planning along with corporate advisory/ broking activities. THE RESPONSIBILITIES: Develops, initiates, maintains, and revises policies and procedures for the compliance function of the firm. Draft an annual compliance monitoring plan and undertake the agreed activities and reporting. Actively engages in [...]Read More... from Head of Compliance See details
THE COMPANY: Our client is an international bank, with offices based in the City. THE RESPONSIBILITIES: Ongoing business-wide oversight, advice and support concerning FCA and PRA regulations Delivery of key regulatory initiatives Collation and delivery of compliance reporting at various levels within the company To provide insightful recommendations and reporting that embed best practice across [...]Read More... from Senior Compliance Officer- Advisory/Regulatory Advice and Risk Assessments See details
THE COMPANY: Our client is a successful banking firm with a strong global presence across wholesale and capital markets. THE RESPONSIBILITIES: The role holder will need to understand and help to advise the business and other stakeholders in relation to regulatory transaction reporting. Responsible for managing queries and escalate issues for remediation. Requires knowledge in [...]Read More... from AVP – Transaction Reporting/ Compliance See details
THE COMPANY: The Client is a multi-jurisdiction financial institute offering Private Banking and Real Estate Financing for Corporate & Retail Clients. The firm is looking to hire a Fraud Manager to join the team. They are located centrally in the city close to Bank Tube Station. THE RESPONSIBILITIES: Design, implement, and maintain fraud detection rules [...]Read More... from Fraud Manager See details
THE COMPANY: Our client is one of the UK’s leading specialist protection assurance advisers. It advises landed estates and their families, sourcing and managing complex life assurance placements as part of estate planning arrangements. THE RESPONSIBILITIES: Ensure the business is delivering on all regulatory requirements. Produce reports and analysis for the board on all areas [...]Read More... from Compliance Manager (part time- 1 day per week) See details
THE COMPANY: Our client is a specialist insurance company. They are looking to hire a Compliance Administrator on a 12 week (mat cover) contract. The role is able to be carried out remotely. THE RESPONSIBILITIES: To assist the Compliance Manager in daily tasks, including, but not exclusive to: Call Monitoring Feedback of call reviews Identifying [...]Read More... from Compliance Administrator– remote role (12 week contract) See details
THE COMPANY: Our global fintech banking group is looking for a Compliance Manager to join the London business. THE RESPONSIBILITIES: Lead regulatory horizon scanning and provide risk-based analysis to guide the Bank’s strategic decisions. Drive regulatory change projects and deliver clear progress reporting to senior management. Champion the bank’s approach to Consumer Duty, providing constructive [...]Read More... from Compliance Manager See details
THE COMPANY: Our client is a leading international bank based in the City. They are looking for a Financial Crime Prevention Assistant to join the team on a permanent basis. THE RESPONSIBILITIES: Perform review and investigation of alerts generated from screening systems Investigation and escalation of potential sanctions matches Perform review and investigation of alerts [...]Read More... from Financial Crime Prevention Assistant See details
THE COMPANY: Our client is a successful and rapidly growing financial services firm. THE RESPONSIBILITIES: Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17. Ensure compliance with all relevant laws and regulations. Liaise with regulatory bodies. Ensure all regulatory filings and [...]Read More... from Head of Legal and Compliance See details
THE COMPANY: We are working with a multi-jurisdiction Private Bank based in the City who are searching for a Financial Crime Manager on a 6-month fixed term contract. THE RESPONSIBILITIES: Assist the Head of Compliance in the management of the financial crime function in an effective manner. Assist the Head of Financial Crime Compliance with [...]Read More... from Financial Crime Manager (6 month FTC) See details
