Compliance monitoring jobs in RichmondCreate job alerts

They are looking to hire a Compliance Monitoring Analyst on a permanent basis. Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and procedures. Experience within the financial services industry ideally in seco...

The VP Compliance Manager is an integral part of the firms UK Compliance department. Our client is a well known Investment Bank who are looking for someone to manage the Compliance reviews and Testing team on a daily basis. Monitoring Testing, Regulatory filings, participating in local and global...

The Health & Safety, Safety & Compliance Monitoring Manager (HSSCM) is a dual role responsible for developing, administering and maintaining the Health & Safety, Safety Management System and Compliance Monitoring for the ATO and FSTD Operations. Our Client has selected us to support their recruit...

We are working with an international household name within financial services who are looking for a Compliance Monitoring Officer to join their team on a permanent basis. Fulfilling the second line of defence mandate with respect to compliance oversight by providing independent assessment, review...

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. Assist in designing the Annual Compliance Monitoring plan and ensuring this is executed. Compliance Monitoring ...

Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will undertake, and complete compliance monitoring reviews including thematic and desk-based periodic reviews of the firm's systems/controls and provide assurance to the business and senior management. SIEL's...

Carry out desk based and thematic reviews of the firm's Wealth Management Division, as part of second line of defense and in line with the firm’s risk-based compliance monitoring programme. Demonstrable experience in a Compliance Monitoring role preferably gained in a Wealth or Asset Manager . .....

We are now looking for a Compliance Monitoring AssociateThe purpose of this role is toprovide second line of defence (2LoD) conduct and complianceoversight over  1LoD (first line of defence), includingOutcomes Testing, Internal & External Reporting, QualityAssurance, and Customer Documentation, s...

Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan. ...

We are looking for a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join and work within a Trading Surveillance team. The main function of this position will be to assist in the Company’s market surveillance and monitoring processes of trading derivatives. ...

Head of Compliance Monitoring and Financial Crime Investigations We are looking for a Head of Compliance Monitoring and Financial Crime Investigations to support the Director of Compliance in formulating and implementing a formal programme of compliance monitoring assessments of Just Group’s busi...

We're currently working with a brilliant top 100 ranked UK Law firm looking for someone to join them as Senior Risk and Compliance Analyst, joining a growing team of 5, you will support the AML & Compliance Manager across the compliance function. Senior Risk and Compliance Analyst . You will also...

This is a chance to join a super friendly team at a property company based in East Croydon.You will be offering strong accurate administration support to a team of Property managers who are out on site visits so you are the contact point within the office.You will have a friendly telephone manner...

Role: Office Manager/Administrator. A thriving and wonderful independent prep school in central London are searching for a dynamic, proactive and enthusiastic office administrator/manager. ...

As Estates Compliance Lead/Administrator, you will be the lead point of contact for Estates administration and all Health and Safety activities, including creating and maintaining accurate and up to date H&S records. An exciting opportunity exists for an Estates Compliance Lead to join the team. ...

Lead on compliance work across the South Quadrant and ensure all academies are compliant with statutory requirements at all times. Ensure that specialist staff in each academy are supported, developed and challenged to ensure that they take responsibility at a local level for statutory compliance...

The Head of Compliance (SMF16) is a critical leadership role responsible for ensuring the firm’s compliance with all regulatory requirements and mitigating compliance-related risks. This individual will be instrumental in fostering a culture of compliance throughout the organization and will serv...

We are seeking to appoint a Payroll and HR Administrator to join our team and work alongside the Payroll Manager. ...

An ambitious and data-driven team player eager to steer our compliance monitoring to new heights. Monitor and ensure compliance with all applicable laws and regulations. Develop, implement, and maintain compliance programs and policies. Conduct regular compliance audits and risk assessments to id...

The Senior License Compliance Sales Specialist. The LCSS guides the sales team and channel partners through the license compliance process and conducts. We will only consider candidates that have direct negotiation and closing experience as Sales Representatives or License Compliance Sales Repres...

Are you an experienced Head of Compliance from the Credit Card or Payments industry or another fast growing financial services business?. Your new role would be challenging permanent opening as Head of Compliance based in London, with hybrid working 2/3 days a week from home. Would you like to ch...

As part of the Risk and Compliance team, you will work closely with a dedicated group of professionals, including two Compliance Assistants and officers, the Risk & Compliance Manager, a Debt Recovery Solicitor, and the General Counsel, who also serves as the COLP and Money Laundering Compliance ...

Experience of working in a senior level/Head of Compliance position within a derivatives brokerage. Responsible for the oversight of all compliance matters and ensuring full compliance with all relevant parties, FCA, ICE and CME regulations. Build out and implementation of a proportionate Complia...

The Global Regulatory Compliance Officer/Manager will be responsible for cosmetic product registrations, screen products to make sure that we are up-to-date on all regulations, along with formula and raw material data. Evaluate formulas for compliance and safety. ...