Banking & Financial Services - Compliance & Legal jobs
59 Matching Jobs
Compliance & Legal jobs
- CardiffPermanent£40,000 - £47,000
Our client a financial services company based in Cardiff, is looking for a Senior compliance analyst to join their growing team.
GlasgowPermanent£60,000 - £80,000
- Career development oppertunity
- Excellent Financial Services Company
The Compliance Manager is primarily responsible for developing and executing the Annual Compliance Plan. This includes the monitoring program and training requirements. The monitoring program will seek to test the firm's adherence to the rules and principles set by the Financial Conduct Authority (FCA) and other regulators are being adhered to and where non-compliance is identified, providing robust challenge to existing business process and policy.
LondonPermanent£45,000 - £55,000
- Investment Management Compliance
- Glasgow City Centre
The Compliance Manager will contribute to the team's interaction with compliance clients and oversee the work of 2-3 Compliance Associates. The Compliance Manager will conduct periodical compliance reviews, manage a compliance monitoring program and ensure regulatory oversight of the assigned clients on a day to day basis.
- Managerial position
- Compliance monitoring
Financial Services: Head of Training- Competence and Quality Assurance Role- London
The role holder will manage the Training & Competency (T&C) and Quality Assurance (QA) team that support the Regulated Investment Sales teams to ensure that the highest standards of compliance and control are achieved while consistently delivering stakeholder service excellence.
- CISI Level 4/ PCIAM Qualification Essential!
- MiFID II experience beneficial
Our client are looking for an experienced Compliance professional to join their firm at a very exciting time. In this role, holding the CF10 & 11, you would be reporting into the Board and hold the responsibility of ensuring all Compliance related matters, especially under the AIFM Directive, are adhered to and embedded throughout the business.
City of LondonPermanent
- CF10 & CF11
- AIFMD Reporting
A major global financial services provider is seeking to appoint a Training and Competence Manager based in London or across East Anglia
- Exciting opportunity to join a major global Bank as a Training & Competency Mgr
- Must be certified and fully compliant with the FCA's conduct Rules-CISI-LEVEL4
- Develop, implement and embed an appropriate strategy for monitoring, and on a regular basis, assessing, the adequacy and effectiveness of the Group's measures, policies and procedures to detect any risk of failure by the Group to comply with its obligations under the regulatory system
- Lead and manage the Group's Compliance Monitoring Function
CardiffPermanent£30,000 - £32,000
- Direct experience in leading a compliance monitoring team (Ideally retail bank)
- Extensive knowledge of all regulatory and code requirements e.g. SMCR, SYSC, COB
Our client is a financial service business based in South Wales who is going through a period of growth is looking for a Compliance Advisory Executive
- Growing business
- 2nd Line Role
Financial Services Role: Private Wealth Business are seeking a Controls Associate/Compliance Analyst for their London business
LondonPermanent£50,000 - £75,000
- Excellent Opportunity with a Private Wealth Management Business
- Coding Regulation Experience is essential
MIFID/EMIR Project Specialist role is to manage and implement a portfolio of regulatory reporting projects and business initiatives. Ensuring delivery of regulatory changes to a newly formed regulatory reporting team.
- Strong experience delivering regulatory change initiatives.
- Strong knowledge of EMIR and MIFID regulations.