COMPLIANCE MONITORING OFFICER – INVESTMENT jobs in GREATER LONDON, United Kingdom

to the Senior Compliance Officer heading the General Compliance team. We currently operate a hybrid working model at IBKR... Monitoring Framework; Create, maintain, and implement compliance-related policies; conduct internal compliance reviews...

their monitoring abilities. Also assist with producing MI/KPIs to relay back to senior Compliance management for reporting purposes...Key Responsibilities The successful individual will be responsible for: Monitoring of the Bank's transactions...

clients across the globe. They are looking for a Compliance Officer to join the team on a permanent basis. THE... RESPONSIBILITIES: Supporting in the development of the Compliance monitoring plan. Performing activities in coherence with the...

to: Provide expert regulatory advice to the investment/deal teams. Manage code-of-ethics and compliance monitoring related tasks... firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new...

​Our Client Rutherford have been mandated on an excellent opportunity for a Compliance Officer to join our Private... will include, but are not limited to: Implementing and executing the UK compliance monitoring program Reviewing and approval...

We are looking for a pro-active, highly motivated and ambitious individual who will hold the role of Regulatory Compliance Officer to expand... accordance with our Compliance Monitoring Programme to ensure regular reviews and assessments Execute checks in connection...

​Our Client Our client, a UK-based exchange, is currently seeking a Compliance Officer to join its London office... monitoring reviews in line with the firm's Compliance Monitoring Programme Conducting AML and KYC reviews Spearheading client...

for an experienced compliance officer, looking to progress to the next level who is looking to work in a fast-paced FinTech start-up.... As part of the Risk & Compliance team, reporting to the Chief Risk & Compliance Officer, you will be responsible for ensuring...

compliance officer, looking to progress to the next level who is looking to work in a fast-paced FinTech start-up. As part of the... Risk & Compliance team, reporting to the Chief Risk & Compliance Officer, you will be responsible for ensuring...

Compliance seeks a Compliance Officer to support PGIM Marketing Compliance. Based in London, you will be part of the team... are met in marketing materials. Assisting with the monitoring, tracking, and communicating developments in EMEA regulation...

employee development and deliver the goals of the Firm wide Risk organization. As a Markets Advisory Compliance Officer... a Compliance, Risk or Control role in a global investment bank would be a significant advantage About Us: J.P. Morgan...

and assessment, monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation... with the coverage of Corporate Treasury and Executive Office. The role of this Compliance Officer is to articulate and maintain...

and assessment Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation...: At least 6-8+ years of work experience as a compliance officer or in a risk management role preferably focused on operational...

is looking for a Senior Compliance Officer (Investment Mgt / Financial Services background) in either Sittingbourne or London Mayfair, and the...Do you have Senior Compliance Officer experience, and are you seeking a new hybrid job? Our client...

Reporting Officer) positions. This strategic role involves developing, implementing, and maintaining robust compliance policies... best practices. Manage all aspects of compliance, including regulatory licenses, monitoring policies, conducting audits, and leading...

to the Chief Risk Officer. The Compliance team located in the UK covers Investment, Product, Client Group, Financial Crime... Risk, Core Compliance and Wealth Management. What you’ll do Undertaking on-going desk-based monitoring of trading...

start-up. As part of the Risk & Compliance team, reporting to a Senior Compliance Officer, you will be responsible... line with the execution of the Compliance Monitoring Program (CMP). Reviewing and approving financial promotions...