5 Permanent Compliance Officer Jobs in the South East

Compliance Officer (FTC) Gatehouse Bank plc FTC – 6 months London – Milton Keynes – Wilmslow Role purpose This is a 6-month FTC to support the Head of Compliance in ensuring that the Bank adheres to its regulatory compliance responsibilities by providing appropriate compliance oversight over the … Bank’s operational environment. This will be provided through advisory support and compliance monitoring reviews. The Compliance Officer (FTC) will be a part of a wider Compliance Team who, working closely with other Risk teams form part of the Bank’s second line of defence (2LOD … . Key responsibilities Compliance Framework/Strategy: • Provide input and recommendations to the Head of Compliance, or Compliance Manager in relation to the compliance strategy, compliance framework and monitoring plan for the Bank, including in relation to key risks and future potential challenges. • Collation and more »

Job DescriptionMiryco 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 … a particular 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 and remediate vulnerabilities.Lead efforts more »

Information Officer - Compliance & Assurance Counter Terrorism Policing HQ The starting salary is £33,348, which includes allowances totalling £2,841. The salary is broken down as £30,507 basic salary, which will increase annually until you reach the top of the scale £32,639. Plus, a location allowance more »

Job DescriptionOur client, an exciting & leading Crypto Exchange are looking to add a key hire to their London Office.Your missionAs a Senior Core Compliance Officer your role will be to support the business and day to day operations by undertaking Compliance oversight activities to ensure the trading … Assessments, Reporting (both internal and external), leading and overseeing Conduct controls, and working closely with various business and support functions to ensure a robust compliance control framework.What you’ll do Conducting monitoring and testing including in relation to AML and Market Abuse, as well as conducting Thematic Desk reviews … related activities, i.e. PA Dealing, Gifts and Entertainment, Conflicts of Interest oversight and related Register maintenance.Providing training to the business in relation to all Compliance related matters.Support Regulatory change initiatives and projects.Who you are Strong product knowledge covering multiple asset classes with a focus on cryptocurrency, derivatives (Futures, Options more »

A1 Personnel are currently recruiting for a Compliance Office for a perm role on behalf of our client based in Stanford le Hope. Duties and Responsibilities: Maintain the company's Environmental and Quality Management System frame work and ensure ongoing compliance with accredited ISO90001, ISO14001 and any other … ISO standards as applicable. Manage day to day operation of the company's ISO compliance program Collaborate with other functional areas in the investigation and resolution of compliance issues. Maintain an oversight of customer audits and outcomes. Overview of business supplier performance, contractor assessments and external audits Lead … internal audits and compliance assurance reviews Facilitate and host external audits with assessors acting for certified accreditor Management of Activ system and document control. Requirements: Meticulous planning capability and a proactive approach to managing a compliance program Ability to communicate complicated compliance issues at all levels of more »