The Risk and Compliance department develops and maintains the firm's Risk Management policies and procedures and ensures that they are implemented and adhered to across the firm. They also provide ...
Risk Management: Oversee comprehensive risk management strategies, including onboarding, transaction monitoring, and ensuring compliance with Consumer Duty regulations. * Compliance Monitoring
... compliance, as set by and overseen by management. Manager (cumulative from above) To utilize regulatory labelling expertise to review, develop and deliver labelling documents for submission to ...
Role Summary The role requires the successful candidate to manage, lead and inspire a small, focused compliance department operating in a dynamic and fast-moving organisation. The role will report to ...
Our client is a global investment management business based in London. They are looking for a Compliance Officer to join the thriving team. THE RESPONSIBILITIES: * Assisting in the development and ...
Manage pre-trade risk/compliance alerts and work with technology and front office teams to maintain a robust pre-trade risk framework. * Review investment restrictions for new mandates prior to ...
This is an exceptional opportunity to have a broad and varied remit and support senior management on the delivery of the compliance program. Responsibilities include, but not limited to: * Providing ...
Develop an overall compliance strategy and plan that aligns with the business strategy and manages the regulatory and reputational risk of the organisation. Build and maintain effective relations and ...
The individual must have a solid understanding of compliance within the Financial Services industry, and you will have full responsibility for managing and leading the compliance training ...
Lloyds - London Market - Insurance - Compliance - CII Certified - Change Management - Project Management - Permanent - £85k - £90k + Benefits My London based Insurance client is looking for an ...
Own and manage the compliance relationship with our payment partners and Card Networks. * Driving execution of multiple concurrent reviews which may be local or multi-jurisdictional, including ...
EMEIA Commercial Operations Manager Employment Type: 6-month contract (inside IR35) with potential ... Oversee compliance and regulatory activities across EMEIA. * Commercial Programs Roadmap
Support the business by managing our Agency Inbox reviewing and answering compliance-based queries including terms of business, staff sales and other general queries. * Liaising with other ...
... Compliance function ... Working closely with the Senior Manager, you will: • Provide guidance on financial crime and ...
Managing the partnership with key stakeholders and 3PL's - focusing, and ensuring, an on brand ... Import / export HMRC - all compliance regulatory standards accurately completed on time
... compliance, updating Monday.com with the latest updates. Taking views as required on deposit ... managing completions. • Approving bidders and maintaining the auctions and bidding inboxes • ...
Manage and maintain day-to-day operations, running of the studio, facilities, contracts, finance and compliance of the business-related admin * PA assistance with the Founder's diary management and ...
Compliance Analyst - Alternative Investment Manager - London Company Overview: Our client is an alternative investment manager based in London. The firm is committed to maintaining the highest ...
Job Title: Compliance Administrator Location: London, UK About ICG Medical: ICG Medical is a ... and managing queries. * Update and record badge and uniform distribution * General office orders ...
Train staff and management concerning financial crime and compliance requirements/guidelines * Work ... closely with third party auditors on requests * Other responsibilities include reviewing escalation ...
Conduct Compliance Monitoring for the Firm's regulated business, including: * Monitoring regulatory ... Overseeing Portfolio Management and Trading activities * Reviewing Market Abuse controls
... management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews; • Lead on the compliance ...
Supporting the Compliance Monitoring Manager in developing and maintaining compliance monitoring program. * Assist in conducting compliance reviews and assessments covering areas such as trading ...