- LondonPermanent
This global bank is looking for an experienced risk manager to join their team in London supporting the environmental and social risk management of their business. The successful candidate will have a good knowledge and experience of environmental and social risk management frameworks within the financial services industry.
Excellent Environmental Social Governance Risk opportunity
Support the continued improvement/design of an ESG risk management framework
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In this role, you will be responsible for working within a team which manages the Transaction Reporting for the bank on a worldwide basis with a focus on MIFID 2 and EMIR compliance. As both a team member and as a leader, you will drive performance and ensure that the team is constantly testing and assessing the systems that we depend on for reporting.
Regulatory Transaction Reporting
EMIR & MiFID II Reporting
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The primary purpose of this position is to evaluate incoming supplier engagements to ensure suppliers are accurately and efficiently risk evaluated initially and periodically thereafter during the lifecycle. This position will be responsible for assessing incoming supplier engagements for high risk exposure.
Third Party & Supplier Risk Operational Specialist in a Fin-Tech business
Excellent chance to join a growing and highly skilled team
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The Financial Services Front Line Governance Analyst will be supporting the activities of the Business Standards Team and the Head of Front Office Policy and Framework through undertaking risk analysis and other desk based monitoring methods to monitor the activities across the business' Front Office activities covering both Investment Management and Financial Planning.
An excellent Front Line Governance Analyst opportunity
Join a leading investment manager in the UK
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The compliance advisor will carry out research as well as provide advice to the business on operational, financial crime and conduct/conduct risk matters.
The compliance advisor will design and develop clear and engaging reports; and dashboards for forums, committees and boards to ensure consistent high quality internal reporting and MI.Excellent opportunity to join a rapidly growing business as a Compliance Advisor
An exciting role with a great business focussed on Wealth Management
Save job View job - LondonTemporary
My client, a leading UK Investment Management business, is looking to appoint an SMCR Consultant to take ownership of implementation, and manage all compliance elements of the process across the business.
Daily rate contract position
Investment Manager based in London
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The Fraud Detection and Prevention Manager will design, set-up and maintain all internal financial security procedures and policies, reporting, record-keeping, risk assessment, management and control systems.
Fraud Detection and Prevention Manager
Corporate/Investment Bank
Save job View job - LondonPermanent£55,000 - £60,000
The successfull Investment Compliance Officer will assist with administering the Firm's investment compliance efforts, which includes identifying regulatory and legal requirements relating to the monitoring of institutional portfolios on an ongoing basis to ensure compliance with guidelines. Assist Head of Compliance in cursory oversight/supervision of pre and post trade compliance.
An excellent Investment Compliance Officer role
Investement Manager
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The bank are making enhancements to its reputational risk management framework and this role-holder will make a significant contribution to the framework's development. The successful candidate will have a good knowledge and experience of reputational risk gained from a first or second line role in banking/ financial services.
Investment Banking- Reputational Risk AVP role
Excellent opportunity for a Risk Manager to join a highly skilled team
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You will be a part of the Group's Legal and Compliance team and you will report directly to the Group's General Counsel and CCO.
Generalist Compliance Role
Environmental, Social and Governance (ESG) Investing
Save job View job - LondonPermanent£50,000 - £60,000
Excellent new opportunity!
Great position for those with a consultative selling approachExcellent new opportunity
Great position for those with a consultative selling approach
Save job View job - LondonPermanent
Generalist role for a compliance associate to support an established compliance team with the development of policies and procedures. Working with team members to assist in the Compliance Monitoring Programme in the UK and internal policies (e.g. review of fund allocation, review of service providers, depositary, administrators etc.)
More generally, provide other assistance as required on an on-going basis.Compliance Officer opening at a leading global private equity firm
A chance to join an excellent growing team as a generalist compliance officer
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Reporting to the Data Protection and Chief Information Security Office in London, the primary function of the GDPR AVP is to ensure compliance with the General Data Protection Regulation ('GDPR') and any other relevant privacy law or regulation within the London business.
GDPR AVP
Join an established Investment Bank based in the city
Save job View job - LondonPermanent£50,000 - £70,000
The Senior Guideline Monitoring Analyst will carry out Pre and Post Trade Monitoring in the London office.
The successful candidate will provide support to the Front Office on queries relating to pre and post trade rules and exceptions.Global Investment Manager- Guideline Monitoring Opportunity
Supporting the front office with pre and post trade monitoring
Save job View job - EnglandPermanent
As a Compliance and Surveillance Associate/Analyst you will work closely with the Irish and UK Compliance and Market Surveillance Teams.
Excellent Compliance & Surveillance Associate/Analyst opportunity
Join a highly skilled team with a growing global presence
Save job View job - LondonPermanent£50,000 - £60,000
The Supplier Governance Manager will ensure all control objectives for supplier related activities are followed by the businesses and in line with policies and standards
The SGM will be the main point of contact within the business for the outscoring capability frameworkLeading all control objectives for supplier and vendor related activities
Implementing the new QA process across the business
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The Data Privacy Specialist will support the Head of Information Risk and Data Protection to deliver the requirements that have come out of the Data Privacy Act 2018 (GDPR). The individual will support the drive for cultural change to ensure a Privacy by Design culture.
Data Privacy Specialist opportunity to join an Investment Manager
Excellent business and option to work from one of their regional offices
Save job View job - City of LondonPermanent£60,000 - £80,000
This is a hands on role that carries the responsibility of supporting the management and the business on day to day compliance issues, whilst delivering oversight and control activities in respect to all areas in Compliance. This role also encompasses an element of front office advisory, monitoring, guidance and management reporting.
Trade Compliance
Front Office Advisory
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The compliance associate will be supported by a Compliance Committee, which reports to the Executive Committee. The compliance function where this role sits will identify compliance risks (regulatory and corporate) across all jurisdictions where the business operates for both physical and financial businesses.
Compliance generalist opportunity in a world leading commodities business
Preference will be given to candidates with Commodities/Tier1 Banking expertise
Save job View job - LondonPermanent
The successful Compliance Advisor will be responsible for providing advice and support, predominately covering the Equities businesses within theGBM capital markets business in London, in order to provide reasonable assurance that;
The firm and its employees comply with applicable regulatory requirements and internal policies and procedures.Capital Markets advisory role with a focus to the equities business
Excellent opportunity in a growing team
Save job View job - LondonPermanent£125,000 - £130,000
The successful CF10/11 will support the Group to ensure delivery of compliant services to all clients. The business has three FCA regulated entities and engages with unregulated parts of the business in relation to financial crime and money laundering too.
An excellent opportunity to join a well known Pension business as CF10/11
A great team environment, compliance culture and the role offers flexibility.
Save job View job - LondonPermanent£45,000 - £55,000
The Compliance Adviser will carry out research as well as provide advice to the business on operational, financial crime and conduct/conduct risk matters.
The Compliance Adviser will design and develop clear and engaging reports; and dashboards for forums, committees and boards to ensure consistent high quality internal reporting and MI.Excellent opportunity to join a rapidly growing business as a Compliance Advisor
An exciting role with a great business
Save job View job - LondonPermanent£40,000 - £60,000
The Compliance Case Manager will be part of a brand new role in a newly formed team of case managers working within commercial clients Redress. You will be doing a variety of tasks including identifying and resolving issues, product reviewing and undertaking end to end customer journeys.
Brand new function in an established commercial bank
Permanent Commerical PPI redress position
Save job View job - LondonPermanent
The successful financial services Senior Compliance Officer will implement and conduct a risk-based Compliance Monitoring Programme (e.g. best execution, transaction reporting, advice letter reviews and AML checks).
The Senior Compliance Officer will work with various business areas to obtain required input and assistance with Compliance monitoring testing.Excellent Compliance Officer opportunity in an Asset Manager
Challenging compliance role with exposure to equities and derivatives
Save job View job - LondonPermanent£100,000 - £110,000
The successful financial services- Senior Manager & Certificate Regime Specialist (SMCR) will lead the development, maintenance and oversight of the SMR related policies, practices and reporting framework.
Senior Management Certificate Regime Specialist
Carry on the development of the SM&CR for a well known Investment Bank
Save job View job - LondonPermanent
This role will require the Fraud Risk Services Manager to have a strong knowledge of fraud management from a scheme, processor, issuer or acquirer environment in London.
The successful candidate will present client training sessions, run client MI packs and ensure full process, procedures and appropriate controls are in place to ensure there are no operational failures.Exciting Fraud Risk Services Manager Role
Join a well known FinTech firm in their Risk & Compliance function
Save job View job - LondonPermanent£85,000 - £120,000
Not necessary to assume CF10 responsibility but day-to day running of compliance function, reporting to one of the 4 Managing Partners in the business.
Standalone Compliance Role
Boutique Investment Manager
Save job View job - LondonPermanent
As the successful financial services depositary control officer you will be responsible for fiduciary relationship management with fund clients, managers, investment managers and their service providers in London.
The depositary services team manage all UCITS and are keenly seeking to appoint someone with a thorough knowledge and understanding of UK UCITS.An exciting opportunity to join an Investment Bank in their Depositary services
Excellent role working with both UCITS & AIFMD Funds
Save job View job - LondonPermanent£50,000 - £55,000
The successful financial services Compliance Training Officer will support the HR and Compliance team functions to deliver regulatory & SMCR training amongst some other adhoc duties.
Excellent Compliance & In house training role at a Global Investment Manager
This role will suit a creative compliance officer who enjoys training
Save job View job - LondonPermanent£40,000 - £50,000
A recently authorised and rapidly growing stock brokerage in London seeks a motivated Compliance Officer to join their team. You will report directly to the Chief Executive Officer and will be the company's main point of contact with the Financial Conduct Authority (FCA).
Compliance Officer
Would hold CF10, CF10a and CF11 within 6 months
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