- Featured JobSouth West EnglandPermanent
This is a newly created Head of Compliance role for a successful Fund Manager based in Bristol. The successful candidate will have broad compliance experience and regulatory knowledge to provide sound advice to provide first class compliance support to the business.
Head of Compliance -Fund Manager -South West of England
CF10 & CF11 with FCA & SEC experience
- City of LondonPermanent
Performance of Client Verification Team (CVT) Reviewer specific responsibilities as defined within the global Client Lifecycle
Management procedure of the Corporate Client segment (and/or local addendums) under the guidance and
supervision of the Head of CVT.
The successful financial services- Client Verification- AVP will perform assigned tasks as part of the on-boarding, regular and event- driven review. To include, account opening and account closure as well off boarding of Corporate Clients in the clients London based office.
The successful candidate must have an MA / MSc in a business related discipline
Must have longevity in current role & a thorough understanding of AML
The role will involve working closely with the front desks, operations team and members of the Compliance Department in London to ensure that the business meets their legal & regulatory obligations.
The successful financial services Compliance Advisory Analyst will support the business
Excellent opportunity within a very interesting financial services firm
A compliance- generalist role with advisory responsibilities
The Mandate Monitoring Analyst will carry out Pre and Post Trade Monitoring in the London office.
He/She will provide support to the Front Office on queries relating to pre and post trade rules and exceptions.
Excellent Investment Management Business
Mandate Monitoring position carrying out both pre and post trade monitoring
A financial services compliance manager role- responsible for advising on matters relating to IFR including functional separation between scheme and processing. Furthermore, they will investigate compliance incidents and recommend and implement solutions, along with supporting responses to regulatory requests for information in London.
Excellent opportunity to join a reputable payments business
Senior Regulatory Compliance role
This is a Head of Compliance & MLRO position for a small African Bank covering Treasury, Capital Markets & Corporate Banking. My client is seeking a seasoned Head of Compliance to join the bank.
Head of Compliance - Investment Bank
A financial services- compliance assistant manager position to assist the Head of Group Compliance in the day to day management of the Compliance function in London.
The Compliance Assistant Manager will provide technical support to the business in connection with all services provided by the business ensuring they comply with local FCA legislation in particular AIFMD.
Fantastic opportunity to join a hedge fund in their compliance team
Assistant Compliance Manager role- (AIFMD working knowledge highly desirable)
- Newcastle upon TynePermanent
Michael Page are recruiting for a brand new role with a great company based in Newcastle. The role is for a Senior Compliance Officer and is a full time, permanent role.
Senior Compliance Officer - Globally Recognised Brand
Permanent - Newcastle Based
- GuildfordPermanent£50,000 - £60,000
The role will lead the membership and listings within the Market Regulation department and will work closely with the business operations, the UK Listing Authority, Royal Institution of Chartered Surveyors and the advisory group.
- LondonPermanent£80,000 - £110,000
This is a generalist compliance role reporting into the Head of Compliance for an Emerging Markets Investment Bank. The successful compliance officer will have experience in Investment Banking and exposure to compliance at senior level.
Investment Banking Compliance experience
Broad compliance role on offer
This financial services firm is seeking to appoint a Regulatory Compliance Analyst to join their rapidly growing company in London.
The key objective of the Regulatory Compliance Analyst role is to ensure that the firm is in compliance with the regulatory requirements, with a focus on reporting obligations such as MiFIR Transaction Reporting and EMIR reporting.
Exciting opportunity to join an online Brokerage Firm.
Excellent opportunity to work as a Regulatory Reporting analyst
- LondonPermanent£100,000 - £200,000
This is a Head of Compliance role for a growing American Investment Bank. The ideal candidate will be a senior individual with extensive capital markets product knowledge who is able to set up a compliance function
Head of Compliance -Investment Bank
Fixed Income Research
- SurreyPermanent£60,000 - £80,000
The successful financial services- Compliance Specialist will analyse and follow up on data relating to derivative transactions, positions and accounts and related physical market activities across the business. This includes monitoring for compliance with key regulatory rules applying to derivatives and ensuring that the business meets external financial regulatory reporting requirements.
A unique place to grow your career as a compliance specialist
Monitoring and Surveillance role working with large data sets
The Senior Regulatory Consultant will sit as part of the Organisational Compliance team in London. The position is within Group Compliance and the consultant will be responsible for the delivery of high quality and accurate regulatory advice and guidance working closely with other teams within Group Compliance and with all areas of the business.
Excellent Financial Services Business growing rapidly
Senior Regulatory Consultant in a Fintech Business
As the CASS Specialist you will work with the CAOO (CASS Operational Oversight Officer / CF10a), you will ensure that the respective Operations and Business units are being managed in compliance with the rules associated with client asset protection across Europe. You will also contribute towards being an interface with the internal and external auditors, assisting the CAOO/CF10a's in their regulated capacity.
Excellent opportunity to join a Corporate & Investment Bank
A CASS Specialist opportunity with strong growth potential
This is a Head of Compliance role for a start up Investment Bank based in Surrey. The ideal candidate will have capital markets experience, ideally with an emphasis on equities. A legal background will be advantageous.
Head of Legal & Compliance
exchanges, capital markets, CF10 & CF11
- City of LondonTemporary
Reporting to the Head of Monitoring and Central Compliance, this role will be responsible for undertaking all surveillance BAU tasks, including trade, transaction and communications surveillance alongside alongside responsibilities for assisting with specific aspects of Central Compliance functions.
Experience using the BTCA system
Pre andf Post trade surveillance
- LondonPermanent£55,000 - £60,000
Compliance Advisor and Regulatory Regulations position
A challenging and interesting role to join an award winning Financial Services business in London.
Excellent opportunity to join an award winning FS Team
Compliance Advisory & Regulatory Relations
- LondonPermanent£40,000 - £45,000
The Financial Services - Compliance Monitoring Officer will monitor and assess the adequacy and effectiveness of policies, procedures and associated controls deigned to detect any risk or failure by the Bank.
The officer will be based in London and will detect any risk by the Bank to comply with its obligations under the regulatory system in as well as associated risks.
Excellent Opportunity for a Compliance Monitoring Officer
The successful candidate will join a very experienced team and a growing Bank
This is an excellent opportunity for a Compliance Generalist- who desires a generalist compliance position within banking, in the city of London.
The team is of a reasonable size so there will be huge exposure to learn and develop.
Excellent Opportunity for a Compliance Monitoring & Advisory Professional
Exciting Compliance role in banking with fantastic mentors and nice team
- LondonPermanent£75,000 - £80,000
Provide oversight and direction to team members, supporting the delivery of compliance initiatives, leading and delivering regulatory projects and working closely with the Compliance leadership team.
Opportunity to lead and deliver regulatory projects.
Work closely with a prestige Compliance leadership team.
- LondonPermanent£40,000 - £50,000
The Compliance Officer will be responsible for all compliance matters for their London office. In addition the role will also involve reporting and reviewing obligations as MLRO. Candidates with international experience with regulators in financial services, as in-house legal counsel, with banks and financial institutions or regulated trustee companies are preferred.
Excellent Compliance Officer position in a Private Wealth Management Business
Thorough knowledge of FATCA, CRS & MiFID Regulations essential
- LondonPermanent£50,000 - £56,000
The Monitoring Specialist for Structured Export & Trade Finance position is to monitor the existing Structured Commodity Trade Finance (SCTF) London business to ensure it operates within the bank's control framework and continuously improves the processes and efficiency of the tasks.
The role involves a close collaboration with the senior SCTF Origination Specialist and all other departments local to the bank's London Branch, involved in Trade Finance.
Excellent Compliance Monitoring Position in an Investment Bank
This position will sit with the Front Office team
- LondonPermanent£40,000 - £50,000
The purpose of the Transaction Monitoring & Surveillance Officer is to identify and protect the business from any transactions that may lead to money laundering and terrorist financing that could lead to the filing of relevant Suspicious Activity Reports (SARs).
Exciting opportunity to join a leading Corporate Exchange Business
You will join an experienced team& the possibility of flexible working hours
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