1 to 25 of 26 Compliance Officer Jobs in London

Compliance Officer (Generalist) – Hedge Fund - London Company Overview: Our client is a leading hedge fund based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are … currently seeking a Compliance Officer to join their Compliance team and contribute to the success and growth of the firm. Role Overview: As a Compliance Officer, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will report … to the Head of Compliance and will be part of a small team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels. Key Responsibilities: · Prepare and document the compliance monitoring programme more »

Job Description Senior Compliance Officer - Banking Our Client is a small retail bank based in Central London. They are looking to recruit a Senior Compliance Officer with at least 5-8 years of experience of relevant banking/AML compliance in established bank/financial … institutions. Main Focus or role: To promote and manage the culture and practice of regulatory compliance and ethical standards in the conduct of Anti-Money Laundering Compliance functions throughout the Bank London Branch, and to ensure AML Compliance function is in compliance with those requirements and … applicable standards. To ensure the effectiveness of AML Compliance function's management and regulatory risk issues through the establishment and maintenance of appropriate and effective framework and procedures, compliance and regulatory risks are anticipated, identified, escalated and reported to Head of Compliance, mitigated and managed so as more »

AML Compliance Officer – Prop Trading Firm - London Company Overview: Our client is a leading prop trading and market making firm in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and … ethical practices. They are currently seeking an AML Compliance Officer to join their Compliance team and contribute to the success and growth of the firm. Role Overview: As an AML Compliance Officer, you will play a crucial role in maintaining and enhancing the firm's … financial crime programme. You will report to the Head of Compliance and will be part of a small team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels. Key Responsibilities: • Working with more »

Compliance Officer - Insurance £70,000 - £80,000 London - Hybrid Purpose of the Role: A London Market Insurer are seeking a Compliance Officer to manage the regulatory risk associated with the business through the management of its relationship with the regulator(s) and promotion of best practice. … You’ll bring your experience of financial crime & general compliance experience along with monitoring and development of procedures, monitoring of regulatory developments and reporting to senior management. If you’re looking for a role where you can bring your understanding of FCA and PRA legal and international insurance compliance … supportive environment then this could be the role for you. What you’ll do: Provide advice to the business on a wide range of compliance matters. Be a key figure on financial crime and sanctions. Be involved in all levels of the business providing second line input. Act as more »

sustainability, and innovation. Specialising in importing premium products, they serve a diverse clientele across the globe. They are seeking a skilled Customs and Trade Compliance Officer to join our team in line with growth and the increasing complexity of global trade regulations. Your new role The Customs and … Trade Compliance Officer will play a critical role in ensuring that all their product import activities comply with national and international customs regulations and trade laws. This position requires a meticulous and proactive individual who can navigate the complexities of customs procedures, trade compliance, and regulatory requirements … efficiently. Key Responsibilities: Customs Compliance: Ensure all import transactions comply with national and international customs laws and regulations. Prepare, review, and submit all necessary customs documentation required for the clearance of imported products. Trade Compliance: Stay abreast of changes in trade policies, agreements, and regulations that may affect more »

Maldon Partners are recruiting a Chief Compliance Officer (SM16/SM17) on a permanent basis for a market leading Fintech based in London. The firm has been around for c15years however has recently launched a new platform in which their clients can trade across multiple asset classes all … from one place. The role holder will hold the SM16/17 functions and will also be the Director of Global Compliance with c5 direct reports. This is a great opportunity for someone who is keen to further establish themselves in a growing industry. The ideal candidate will have … several years of senior compliance experience gained within the retail brokerage space. Hybrid working 3 days in the office The Role: The main purpose of the role is to help lead, manage and oversee all compliance aspects of the firm and to ensure its ongoing compliance with more »

Risk & Compliance Officer | Payments | £70,000 (doe) p/a (PAYMENTS EXPERIENCE REQUIRED) Finitas are working exclusively with this growing Payments firm in their search for a Risk & Compliance officer to support the 2nd line of defense. Key responsibilities will include ownership of the Risk Management … Framework, managing the Group Compliance Monitoring Programme and, the Internal control framework to evaluate the effectiveness of internal controls and mitigating/managing risks. You will need: - 5+ years 2nd line Risk and Compliance Experience within Payments - Experience with Risk and Control Self Assessments - Good understanding of FCA … Regulations/Regulatory compliance - Excellent communication skills - Tenacious attitude If you are interested in the opportunity and have the relevant experience, please get in touch more »

Job Description Junior Compliance Officer - Bank Our Client an bank based in Central London are looking to recruit a Junior Compliance Officer. You will have at least 1 to 3 years experience of working in a financial or banking environment as a Compliance Assistant or Compliance Officer. The position will report to the Head of Risk and Compliance at the Bank. Key Skills Required: A strong understanding of the UK regulations/rulebooks specifically the PRA, CRD and the FCA Conduct requirements and the ability to interpret regulations within a Bank • Knowledge of country … to work both independently and as part of a team • Have strong communication (both written and verbal), reasoning and influencing skills • Experience of undertaking compliance monitoring reviews and producing compliance monitoring reports to document compliance with internal and external regulations/process Any certification in AML or more »

THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of … Regdata reports and Connect applications as needed. Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions. Update company policies, procedures, and help deliver regulatory training. Stay informed on regulatory changes and integrate this knowledge into company policy. Be passionate about fintech compliance … and be able to use your knowledge and experience to help formulate strategy, propose solutions and manage risk.. Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations. Be a collaborative member of the Compliance more »

Compliance Officer (Fin Crime/Sanctions) London Company client partnered with a global commercial Insurer, in the search for a Financial Crime/Sanctions officer. This role will report in the MLRO and Head of Compliance. Key Responsibilities: * Advise business on escalated Sanctions risks. * Perform Risk assessments. * Keep more »

Coopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. The firm have offices across … UK, Dubai & US. Key Responsibilities: Ensure FCA & SEC regulatory compliance requirements are adhered too Operate core compliance programme (PAD, Conflicts, Gifts and entertainment) Assess compliance issues for new business projects, including new funds, instruments, counterparties & business lines ·Assist with International long/short daily filings· Monitor regulatory … developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required Review of trade errors, market abuse related matters and market soundings Organise compliance training Experience Required: 5+ years compliance experience, ideally within a hedge fund or investment manager Strong understanding of more »

client is a prominent multi-national FinTech in the Payments sector; as a result of ongoing growth they require an experienced, ambitious and talented COMPLIANCE OFFICER to join them on a 12-month fixed term contract to cover for maternity leave. The successful incumbent will play a proactive … role in driving the company’s compliance strategy and agenda, thus making the role ideal for a candidate who wishes to contribute and add value in a dynamic and fast-paced Compliance environment. Key Responsibilities: undertake horizon scanning, maintaining detailed knowledge of regulatory requirements relevant to the business … stakeholders as required, advising of regulatory status and forecasted changes, and how such changes will affect the business provide assurance on how well the compliance risks are being managed by leading the execution of internal compliance reviews, interpreting investigations and findings, and making recommendations as appropriate analyse flagged more »

Miryco Consultants is working with a renowned Investment Manager who are looking for a Capital Markets Compliance Officer to join their dynamic and high performing compliance function. The company is in growth mode and is looking for an experienced individual to help comply and facilitate that expansion. … understanding of market conduct and surveillance. Responsibilities: Carrying out frequent and thorough trade surveillance checks in relation to market abuse and market conduct. Provide Compliance guidance on an as-needed basis, especially regarding market abuse and conflicts of interest, aligning with company policies. Assist in compiling and preparing Management … Information (MI) reports related to surveillance activities and other compliance tasks. Collaborate on designing and implementing improvements to communication and trade surveillance procedures. Delivery of Compliance monitoring, with a focus on market conduct and financial crime risks. Perform assessment of market conduct and trade surveillance framework to identify more »

Role Purpose Our client, a global satellite operations provider have a brand new opportunity within their IT Shared Services team. The ISO Governance and Compliance Officer plays a key role in establishing and maintaining a practical framework for managing ISO governance and ensuring adherence to regulatory requirements, industry … standards, and internal policies. The role aims to safeguard our clients QMS and Infosec processes and assets, mitigate risks, and foster a culture of compliance, all whilst contributing to the overall security, integrity, and success of their Technology operations. This is an exciting and critical role where you will … enhancing their reputation and stakeholder trust. Key Accountabilities & Responsibilities Develop and implement ISO governance policies and procedures. Monitor and assess ISO processes to ensure compliance with applicable laws, regulations, and industry standards. Own the compliance audit and risk assessment process. Manage the internal and external audit process, and more »

Are you an experienced Quality and Compliance Officer who is looking to work with a growing company that would allow you to work across multiple divisions. My client, are a Global Consultancy that work across multiple sectors. This role requires somebody who is able to look at the … liaise with external and internal auditors, reviewing and issuing of audits reports and maintaining audit findings logs Organising and contributing to the Quality and Compliance forum The ideal candidate will have: Proven experience of ISO9001 Quality Management and understanding of ISO20000 Service Management and ISO27001 Security Management Systems certification … data to any third party without your verbal or written permission to do so. All incoming and outgoing calls are recorded for training and compliance purposes. CPS Group (UK) Ltd is acting as an Employment Agency in relation to this vacancy. Our new privacy policy can be found here more »

A leading global Hedge Fund are looking to make a key Compliance hire. The firm have achieved excellent performance and they continue to rapidly expand, growing in both headcount and AUM. The role offers the opportunity to join a highly prestigious hedge fund that has very low attrition -they … platforms of any London based hedge fund - hence why its employees find no reason to ever look externally for another hedge fund role. The Compliance Officer will assist in all aspects of compliance for the business. Working as part of a team of 3, in a flat … involved in various automation projects, within a world class team. The ideal candidate will have at least 4 years of experience in a generalist compliance role, as part of a buy-side firm. The role offers a fantastic opportunity to take a step up into one of the best more »

Our client is a market leading global electronic trading and financial services firm. They are seeking a Compliance Officer (VP - SVP level) in London to work within a flat structure and take the lead on their rapidly growing energy trading businesses. Key Responsibilities: · Advise on compliance requirements more »

The Role We are currently working with an ambitious law firm who are looking for a Compliance Officer to join their team in London. Some of your responsibilities will include: Analysing conflict search results utilising Intapp Open software, identifying potential regulatory and/or commercial conflicts and facilitating … purposes and assisting fee-earners in obtaining the information and documentation required for this purpose. Conducting sanctions screening. Requirements for the Role: 1.5 years compliance experience working with a law firm. strong understanding of Anti-Money Laundering legislation and conflicts rules applicable in all jurisdictions in which the firm more »

Job Description/Accountabilities: The Senior Advisory Compliance Officer will have responsibility for Compliance activities relating to the FICC markets businesses focusing on our Fixed Income (Bonds and Derivatives) and FX desks and is therefore expected to be a product specialist. The role has two direct reports … with the business and supervisors, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence. · Assess new business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required. · Advise the business … as required, covering topics such as market abuse, trading venue rules and other topics pertinent to specific business lines. · Creation and review of Advisory Compliance policies and procedures. · Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior more »

Job Title: Compliance Monitoring & Oversight Officer (Lead) Location: UK or Lithuania/Travel required/Hybrid Term: Permanent Salary: TBD depending on seniority and experience Reports to: Compliance Lead About us B4B Payments is part of the Banking Circle ecosystem, a Payments Bank for financial institutions. We … global and diverse team, our colleagues speak 20 languages. Headquartered in London, we have offices in Newcastle, Vilnius and Boston. About the role The Compliance Monitoring & Oversight Officer Lead will play a crucial role in our Compliance department, ensuring that B4B Payments operates within all regulatory frameworks … applicable to electronic money and payment services companies. The successful candidate will be responsible for monitoring, assessing, and reporting on the compliance of business operations of B4B Payments in addition to Agents and Distributors of B4B, mitigating risks, and ensuring adherence to laws, guidelines, and internal policies. This role more »

Are you passionate about ensuring ethical business practices and compliance within the financial services sector? Do you thrive on analyzing data to identify trends and anomalies? If so, we have an exciting opportunity for you to join a top Banking Corporation within the Compliance and Conduct team in … the Wealth Management Division. As an Associate in the Conduct team, you will play a key role in supporting the data-led compliance strategy. This role is ideal for candidates with strong analytical and quantitative abilities who are looking to further develop their skills within the Wealth Management environment. … Your responsibilities will include: Support the wider Conduct & Compliance team in day to day duties Championing a culture of ethical business practices and compliance awareness. Analyzing and challenging investment governance, investment risk, and conduct risk matters. Maintaining and updating the Conduct Risk PowerBI Dashboard. Conducting quantitative and qualitative more »

Job Title: Compliance Investigations Officer Duration: 5 months Rate/Salary: £300-400 per day inside IR35 (dependent upon experience) Location: London based/hybrid working (2-3 days in office per week) The Role: - End to end case management and change management focus for Internal Compliance Programme - Meet and enhance our objectives pursuant to the Assurance Plan and the Annual Compliance Plan - Supporting confidential end to end internal investigations of alleged misconduct in alignment with the Investigation Coordination Process including witness interviews, maintaining case files, drafting reports of case findings, recommending disciplinary action etc. … enhancing the investigations process and framework by e.g. analysing and reporting on investigation trends - Assisting in internal and/or external reporting such as Compliance quarterly and annual reporting The Candidate: - 3 to 5+ years experience in a similar role - Financial Services experience required (Insurance industry experience highly advantageous more »

My client is a leading M&A insurance broker who are looking to bring in a Compliance Officer. Key responsibilities: Regularly review developments in regulatory requirements applicable to the firm and maintain an understanding of potential future legislative changes. Review compliance systems, policies and procedures and identify areas … follow-up or investigation. Your main focus will be to liaise with local and overseas entities to ensure they are compliant with the firms Compliance framework, with opportunities to travel both nationwide and overseas, whilst also working closely with the Senior Compliance Manager in supporting the regional structure … for risk and compliance and support the Group Risk Function in embedding governance and control structures in newly acquired businesses. Review existing and arrange new terms of business agreements with insurers and introducers. Ensure that the partners are kept informed of the money laundering risks posed by the business more »

Miryco Consultants is working with a leading Lloyd’s Insurance broker to hire a Compliance Monitoring Officer to join their Central Compliance team. Responsibilities: Provide support in the development of relevant management information. Review reporting and understand regulatory performance. Where any risk indicators are identified, verify the more »

offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of developments in relevant laws, regulations and guidelines. Provide … advice to staff on compliance issues which arise on a day-to-day basis. To keep abreast of new regulations for the timely review and adoption of relevant changes considered necessary within the firm. Carry out quality assurance monitoring of First-Line review activities Check Compliance with the … and when required. Assist to respond to requests for documentation and other requirements contained in court orders. Assist in preparing and arranging delivery of Compliance and Anti-Money Laundering training to staff in conjunction with the MLRO. Assist in reviewing Conduct of Business Regulatory Compliance activities as directed more »