Accounting & Finance - Compliance Jobs

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Compliance Monitoring Officer

Salary:: Ł60,000 - Ł80,000
Location:: London
Job Type:: Permanent
Date Posted:: 02-Sep-2010 00:00Add to My Shortlist

Major International investment firm seeks Compliance Monitoring Officer to work in London / West End As a member of the Compliance department, the individual will... member of the Compliance department, the individual... includes: * Personal account dealing approvals, monitoring... Group Cash Equity Compliance department * Responding... tools. * The Compliance Monitoring Officer will... the Head of Compliance Qualifications and Experience:...

Administration / Compliance Assistant

Salary:: Competitive
Location:: London
Job Type:: Permanent
Date Posted:: 01-Sep-2010 09:21Add to My Shortlist

Prime Markets Limited, a successful brokerage with offices in Central London, are seeking an Administration and Compliance Assistant to support both the Compliance Officer and both the Compliance Officer and a... * Carrying out compliance duties including AML... and existing client accounts * Periodic compliance monitoring including client... of administrative and compliance practices to ensure... in administration and compliance, particularly FSA rules...

EMEA Trade Compliance Manager

Salary:: Competitive + benefits
Location:: City Of London
Job Type:: Permanent
Date Posted:: 03-Sep-2010 00:00Add to My Shortlist

The Role We have an immediate opening for an experienced individual for its Global Trade Compliance team. The person selected for this position will be... background in trade compliance (both import and... manage the day-to-day compliance activities at the... interface for trade compliance with Bloombergżs appointed... the global trade compliance team and business... in resolving complex compliance/business requirements. - The...

Compliance Advisory Officer

Salary:: Ł25 - Ł30 p hour
Location:: City Of London
Job Type:: Contract/Temp
Date Posted:: 02-Sep-2010 14:13Add to My Shortlist

A City based asset management house is recruiting for a Compliance Advisory professional to join their Front Office Advisory team on a temporary ongoing basis.... will have significant compliance / regulatory experience in a financial services environment. You should demonstrate a detailed knowledge of regulatory reporting, advising front office and marketing and sign off knowledge of FSA regulations. Knowledge of...

Compliance / MLR Officer (CF10/ CF11)

Salary:: Competitive
Location:: Canary Wharf
Job Type:: Permanent
Date Posted:: 03-Sep-2010 00:00Add to My Shortlist

GEKKO Global Markets Ltd. requires an experienced Compliance Officer (CF10/CF11) for immediate employment. Relevant experience within the Spread Betting/CFD industry or retail finance sector is... for: - providing compliance support to the... reviews to ensure compliance with relevant regulatory requirements, internal policies and procedures, - investigating and responding to regulatory enquiries. A strong educational background is desired, coupled with a...

Senior Compliance Monitoring Analyst (Unit Trusts)

Salary:: Ł1 pa
Location:: City Of London
Job Type:: Permanent
Date Posted:: 27-Aug-2010 16:17Add to My Shortlist

Senior Compliance Monitoring Analyst (Investment Administration / Unit Trusts) My client, an established asset management house, is looking for Senior Compliance Analyst with sound unit... looking for Senior Compliance Analyst with sound... role Support the Compliance Manager by managing... carrying out the compliance monitoring of all... accordance with the compliance monitoring programme. Document... improvements to the compliance monitoring programme and...

AML Compliance Manager

Salary:: Ł65k - Ł80k pa + Excellent company benefits
Location:: City Of London
Job Type:: Permanent
Date Posted:: 01-Sep-2010 09:11Add to My Shortlist

Leading Banking institution seeks an experienced AML manager to join their established team. The role will have a whole EMEA remit and will involve constant... experience gained in compliance, risk management or audit role with a financial services company. Ideally gained within an Investment Banking environment Experienced at providing advice and decision making in relation to complex AML matters. Experienced...

Compliance Manager

Salary:: Ł55k pa
Location:: London
Job Type:: Contract/Interim
Date Posted:: 27-Aug-2010 15:11Add to My Shortlist

A globally recognised Financial Services firm who deal with a range of product areas have an exciting opportunity for a Compliance Manager to work from... Commercial Card (GCC) Compliance Program in EMEA.... Global Commercial Card Compliance & Ethics department;... working within a Compliance team preferably Preferably... programs for various compliance topics in particular... benefits. CSI1008-79 - Compliance Manager is only...

Compliance Deputy-Manager

Salary:: Ł50k - Ł60k pa
Location:: City Of London
Job Type:: Permanent
Date Posted:: 01-Sep-2010 09:12Add to My Shortlist

Expanding banking institution seeks a Compliance Deputy-Manager to join their existing team. Role Purpose: To support and assist the Head of Legal and Compliance with... of Legal and Compliance with managing the... the Legal and Compliance Department, to ensure... of the internal Compliance, Prevention of Money... of Department and Compliance Committee and then... experience in an AML/Compliance/Financial Crime role with...

Compliance Monitoring Officer

Salary:: Ł55k pa
Location:: London
Job Type:: Permanent
Date Posted:: 27-Aug-2010 15:11Add to My Shortlist

An established Investment Management firm have an exciting opportunity for a Compliance Monitoring Officer to join their successful London based Compliance team. Role The role... successful London based Compliance team. Role The... Undertake monthly desk-based compliance monitoring of areas... benefits. CSI1008-95 - Compliance Monitoring Officer is... include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately...

Compliance Manager

Salary:: Ł40, 000
Location:: London
Job Type:: Permanent
Date Posted:: 31-Aug-2010 14:20Add to My Shortlist

This thriving bank seeks the above person to join their team. The role involves the following duties: - To assist the Head of Compliance/MLRO to create and maintain a compliance culture within the... team to co-ordinate compliance issues as to... corporate responsibilities regarding compliance with internal policies... - To undertake Compliance Monitoring Reviews in... and experience of compliance issues and to...

Senior Compliance Officer

Salary:: Ł35k - Ł40k pa + extensive benefits package
Location:: City Of London
Job Type:: Permanent
Date Posted:: 03-Sep-2010 16:22Add to My Shortlist

A leading law firm based in the city are seeking to hire an experienced Senior Compliance Officer. The role of the the Senior Compliance Officer... the the Senior Compliance Officer will be... for both the Compliance Team and the... business Represent the Compliance Team in meetings... deputise for the Compliance Manager in his... business enabling, risk-based compliance policy and procedures...

Deputy Chief Compliance Officer - West End

Salary:: GBP - GBP pa
Location:: West End
Job Type:: Permanent
Date Posted:: 02-Sep-2010 13:59Add to My Shortlist

A Deputy Chief Compliance Officer is currently required by our client; a leading, client-focused investment firm that is global in scope, and internationally renowned. The... the deputy chief compliance officer will support... responsibilities of the compliance department. Responsibilities will... and developing adequate compliance arrangements, including monitoring, ... approval controls. The compliance officer will be... experience in a compliance role within the...

Investment Guideline Compliance - West End

Salary:: GBP - GBP pa
Location:: West End
Job Type:: Permanent
Date Posted:: 02-Sep-2010 13:39Add to My Shortlist

An Investment Guideline Compliance professional is currently sought by a leading global investment management firm which manages investments for an array of clients. The role... The investment guideline compliance team is responsible... trade and portfolio compliance. Each team member... respect to an accounts holdings, asset classes... be to check compliance using a variety... maintain any approved compliance breaches in log...

Compliance Officer - 12 Month Fixed Term Contract

Salary:: Ł500 - Ł600 pa + Daily Rate
Location:: Docklands
Job Type:: Permanent
Date Posted:: 03-Sep-2010 10:51Add to My Shortlist

My client is a leading investment bank with a strong global presence. They are seeking a Compliance Manager to join their Private Equity Compliance team... their Private Equity Compliance team in London... practice notes for Compliance and for the business lines. Compliance monitoring and reporting.... least seven years compliance experience gained in... transactions and explain compliance issues clearly and concisely....