Compliance monitoring jobs in RichmondCreate job alerts

We believe in better. And we make it happen. Better content. Better products. And better careers. Working in Tech, Product or Data at Sky is about building the next and the new. From broadband to broadcast, streaming to mobile, SkyQ to Sky Glass, we never stand still. We optimise and innovate. We...

We believe in better. And we make it happen. Better content. Better products. And better careers. Working in Tech, Product or Data at Sky is about building the next and the new. From broadband to broadcast, streaming to mobile, SkyQ to Sky Glass, we never stand still. We optimise and innovate. We...

The VP Compliance Manager is an integral part of the firms UK Compliance department. Monitoring Testing, Regulatory filings, participating in local and global initiatives and other. Participate in the compliance risk assessment exercise.

Work with senior staff in development, implementation and maintenance of the Compliance Monitoring Framework and Compliance Monitoring Plan. The successful candidate will be responsible for undertaking compliance monitoring activities across broker's regulated firms in line with the Compliance mo...

Compliance Monitoring Officer | Lloyd's Broker | London/WFH | £70 - 80,000 (doe). Finitas are delighted to be partnering with a growing Lloyd's broker in their search for a Compliance Monitoring Officer to join their team. Minimum 8 years of compliance monitoring / assurance experience.

Compliance Monitoring or Internal Audit, within an asset, investment, or wealth management context. Gresham Hunt is partnered with a global asset management firm to find a new Compliance Monitoring Officer. Performing Compliance monitoring reviews in line with regulatory expectations.

Minimum 8 years of compliance monitoring / assurance experience. Must have has experience of international operations including the compliance aspects of monitoring overseas offices. This is a brilliant opportunity to be part of a massively growing compliance function, where you can implement pos...

The successful candidate will be responsible for undertaking compliance monitoring activities across broker's regulated firms in line with the Compliance monitoring plan. Work with senior staff in development, implementation and maintenance of the Compliance Monitoring Framework and Compliance Mo...

Compliance Monitoring Officer | Lloyd's Broker | London/WFH | £70 - 80,000 (doe) Finitas are delighted to be partnering with a growing Lloyd's broker in their search for a Compliance Monitoring ...

The successful candidate will be responsible for undertaking compliance monitoring activities across broker's regulated firms in line with the Compliance monitoring plan. Responsibilities: * Work ...

Working alongside two truly great leaders (both the CCO and Head of Reg Compliance), you'll be ... Experience developing and executing a regulatory testing and monitoring programme. * Identify key ...

Compliance Monitoring Officer Asset Management London - Up to £80,000 plus package Gresham Hunt is partnered with a global asset management firm to find a new Compliance Monitoring Officer. You will ...

Creating a compliance monitoring system to track the completion of mandatory training programmes * Creating reports on compliance status for senior management, identifying key trends, risks, and ...

In this role, you will be responsible for monitoring investment guidelines, ensuring compliance with regulatory requirements, and maintaining internal control systems related to client mandates and ...

New Compliance Officer (Monitoring) hire working with a top performing broker who work closely with the Lloyd's market. You will work with the business to define the compliance monitoring framework ...

Implement compliance controls in accordance with the Financial Crime Compliance Monitoring Plan; * Maintain knowledge and awareness of key regulatory changes related to Financial Crime Compliance ...

Undertaking detailed thematic Compliance Monitoring reviews, reporting on findings and recommendations and tracking actions to resolution * Working with the Compliance Manager to review and provide ...

In this role you will be responsible for: • The completion of monitoring and operational tasks as set out in the Compliance Monitoring Plan. • supporting Compliance and Risk analysis • ...

Ensure the business has adopted a risk-based approach to compliance monitoring. * Review the activities of the firm on an on-going basis to ensure they are undertaken adequately and meet all relevant ...

This role will have a broad remit, working across a spread of advisory, regulatory, compliance monitoring, marketing & distribution. Key Responsibilities: * Assisting the team with the fund (UCITS ...

Carry out compliance monitoring programs on time. * Support internal controls to ensure regulatory compliance and assist with audits. * Prepare presentations and communications on regulatory changes ...

Advising and supporting the compliance monitoring team as needed, including in areas involving Coverholders. Should this be of interest please apply above and for anymore information get int touch ...

Performing the tasks required by, and periodically updating as necessary, the Compliance Monitoring Programs. * Assisting with the maintenance of the Firm's personal dealing policies and procedures ...

The VP Compliance Manager is an integral part of the firms UK Compliance department. This individual will be responsible for core activities including Monitoring Testing, Regulatory filings ...