COMPLIANCE MONITORING OFFICER – INVESTMENT jobs in United Kingdom

compliance monitoring and testing or audit experience Investment Manager 12 Month Contract...Our team is seeking a Senior Analyst to join the Global Compliance Monitoring & Testing team to execute the compliance...

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...

, procedures and guidelines. · Implement and manage the UK Investment Firm's compliance and risk management policies... monitoring and risk reporting. · Set out best practice procedures for the firm and its management to follow. The Compliance...

language is favourable; · Be eligible to be appointed as Compliance officer of the UK investment firm (subject to regulatory...· Undertake compliance risk and risk management assessments at the UK investment firm level and at the underlying asset...

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

​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...

compliance monitoring initiatives within a prestigious mid-sized, Asset Management firm. The Role: As the Compliance Officer... experience in a compliance monitoring role with a specific focus on Asset Management, ideally across investment vehicle types...

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...

​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...

sector as they look to add a Compliance officer to their Compliance function located in central Leeds. The...Job Description Opportunity to join an established and leading firm within the Investment and Wealth Management...

sector as they look to add a Compliance officer to their Compliance function located in central Leeds. The...Job Description Opportunity to join an established and leading firm within the Investment and Wealth Management...

a French Speaking Senior compliance Officer to join our Compliance Monitoring team on a 9-month fixed term basis. This is the... of agreed plans to ensure the achievement of the Compliance department’s objectives. Monitor regulatory developments...

in investment management. Ideally held CF10 / CF11 controlled function but not essential. • Compliance monitoring...** full or part time – hybrid We have a rare opportunity available for a Compliance Officer to head up all things...

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...

but also as a matrix into the global chief compliance officer overseas As such the role the role can also be undertake remotely... cooperation with regional Legal & Compliance) Tracking and monitoring global registration/passporting of products in the “Global...

for As a Compliance Risk Testing Analyst you will: Lead process walkthroughs and design monitoring and testing activities for areas... environment in financial services or experience gained in monitoring or advisory compliance is preferable. Knowledge of the FCA...

Compliance Officer/MLRO (SMF 16/17) Conduct compliance monitoring reviews spanning various areas such as trading, personal... standards. Your role will involve conducting comprehensive compliance monitoring reviews, drafting and maintaining policies...