Compliance analyst jobs in SurbitonCreate job alerts

Provide compliance advisory support to the business in respect of one or more asset classes or business areas, advising on application of applicable regulatory rules including global compliance policies & procedures. Good understanding of UK/EU regulation and of compliance and conduct risk within...

Our client does not necessarily need a legal risk and compliance background but you must have had some exposure to risk and compliance work (this can be from another law firm, or corporate/professional services environment) and a genuine interest in progressing your career within legal risk and c...

As part of an established compliance team, you will play a crucial role in maintaining regulatory compliance and safeguarding the company's reputation. Ensure compliance with FCA regulations and internal policies. Some regulatory compliance experience within the investment banking / broking secto...

Leading, tier 1 law firm are looking for a risk and compliance analyst to join their small team and assist with AML checks, risk and compliance, and conflict checks. Our client does not necessarily need a legal risk and compliance background but you must have had some exposure to risk and complia...

Prestigious International Bank based in the West End of London, are looking to bring onboard a Compliance Analyst, for a 12 month fixed term contract. Assist the Compliance team with day-to-day support to the London Business on all regulatory matters. Assisting with Compliance Monitoring.

Job Title: Senior Risk and Compliance Analyst. Tier 1 law firm are looking for a senior risk and compliance analyst to join their team and work closely with the Risk and Compliance Manager to help ensure that the firm complies with relevant regulations and statutory requirements, particularly in ...

Assist the Compliance team with day-to-day support to the London Business on all regulatory matters. Assisting with Compliance Monitoring. Support the team with compliance monitoring reviews.

Our client offers Investment Banking, Private Equity and Institutional Sales services across Europe. In Europe their London and Frankfurt offices act as a strong, stable and trusted financial partner to clients in Investment Banking, Private Equity and Equity Sales and Research.

Our client, a well established investment manager, is looking to bring on board an experienced Compliance Monitoring Analyst who will be responsible for taking ownership of the CMP. Compliance Monitoring and Thematic Reviews.

The candidate will support the Head of Compliance, and the compliance team to deliver, maintain and help comply with Davies Insurance Services regulatory compliance framework and oversee the Intermediary Services' network of Appointed Representatives. To work closely with the Head of Compliance, ...

Our client is a well regarded broker and market maker specialising in futures, options and other derivatives.Drafting, reviewing and negotiating different types of contracts such as trading agreements, ISDA agreements, NDAs, service level agreements.Drafting client and counterparty communications...

Based in London and reporting to the PGIM Fixed Income UK Compliance Officer, the Compliance Analyst will be part of the team responsible for the compliance program overseeing the PGIM Fixed Income business in London. PGIM Compliance seeks a Compliance Analyst to support PGIM Fixed Income. The co...

They are looking to hire a Compliance Monitoring Analyst on a permanent basis. Maintaining accurate records and files of all compliance-related matters. Support the existing team with co-ordinating ongoing compliance projects and thematic reviews.

Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. In addition to advising and partnering with the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, educating, surveillance

We are working with an international law firm who are looking for a Compliance Analyst to join their team in London. Assist with updating and maintaining compliance-related documentation, including AML manuals, policies, procedures and templates, as well as compliance bulletins and other internal...

AXA Investment Managers (AXA IM) is a leading asset manager offering a range of diversified investment opportunities in traditional and alternative asset classes. Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative an...

This is an excellent opportunity to gain exposure to a broad range of financial services, in a lean team, working right alongside the Head of Compliance.

Our client is a well regarded broker and market maker specialising in futures, options and other derivatives.Drafting, reviewing and negotiating different types of contracts such as trading agreements, ISDA agreements, NDAs, service level agreements.Drafting client and counterparty communications...

We are currently supporting a leading renewable energy investment firm in their search for a Regulatory Analyst to join their expanding Governance, Risk, and Compliance team. Work closely with the Compliance Manager and other departments on compliance initiatives. Previous experience in a financi...

Assist the Compliance team with day-to-day support to the London Business on all regulatory matters. Assisting with Compliance Monitoring. Support the team with compliance monitoring reviews.

Janus Henderson Investors Job Description.A career at Janus Henderson is more than a job, it’s about investing in a brighter future together.Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, a...

Lutine Bell are currently supporting a leading Investment Manager looking to appoint a Senior Compliance Advisory Analyst on a 12 month FTC. Provide compliance advisory support to the business in respect of one or more asset classes or business areas, advising on application of applicable regulat...

My client is a global asset management firm dedicated to helping institutions, intermediaries, and individuals worldwide invest their resources to achieve their financial objectives, realise ambitions, and plan for the future. They continuously evolve in response to societal and technological shi...

Janus Henderson Investors Job Description.A career at Janus Henderson is more than a job, it’s about investing in a brighter future together.Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, a...