Compliance officer jobs in SurbitonCreate job alerts

MERJE is currently working with a boutique funds specialist in their search for a Chief Compliance Officer in London.This critical hire offers an exciting opportunity to oversee compliance operations in a dynamic and fast-paced environment and will play a crucial role in maintaining regulatory st...

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

As a Tax Compliance Officer at Brambles, your adventure is all about.

We are seeking a Compliance Officer to join our clients London office. The Compliance Officer will be responsible for ensuring that the organisation adheres to regulatory requirements and internal policies.

Tax Compliance Officer Initially 6 months £400-£450 per day – Inside IR35 Hybrid – 1 day in the office per week Out client is looking for a Tax Compliance Officer to join their team in on interim basis.

Senior Compliance Officer (VP). The role holder will be responsible for working directly with the Chief Compliance Officer to administer all aspects of the compliance frameworks for all lines of business. The Senior Compliance officer (12-15 Months Mat cover role) has a base salary of.

Care Outlook is seeking a highly organized and detail-oriented compliance officer.In this role, you will be responsible for ensuring that medication administration is in compliance with regulatory standards and company policies.The successful candidate will have experience with an electronic medi...

We are exclusively recruiting for a growing asset management firm looking to hire a Compliance Officer for a newly created role as the business continues to expand.

Tax Compliance Officer Full time, permanent Hybrid in Weybridge Tailored salary, bonus & benefits As a Tax Compliance Officer at Brambles, your adventure is all about supporting to keeping our tax compliance game sharp, snappy, and squeaky clean You'l l be the superhero of our financial realm, co...

There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. If from an Investment Bank, ideally from a trading floor compliance advisory role. Compliance monitoring and surveillance (market abuse, best ex...

The main focus for this role is to support the Head of Risk and Compliance in the delivery of the firm’s regulatory and governance compliance with an emphasis of data protection and security. The ideal candidate would have a minimum of three years data compliance experience and all round complian...

SIEL's Compliance department is seeking an experienced Senior Compliance Officer to join the growing team. Actively participating in all relevant SIEL Compliance departmental meetings and representing Compliance in relevant business meetings. Work with and support the Chief Compliance Officer (SM...

Look at technical aids that support compliance (e. Design the documentation needed for use with the procedures:Data Protection Impact assessmentsPrivacy impact AssessmentsData Inventory RegisterData FlowsSAR ProcessCompliance DocumentsPrivacy Framework and processesReview of client contractual re...

Support the design and delivery of a risk focused Compliance Monitoring Plan, working with the wider Risk and Compliance team. Prepare and deliver close-out briefings to wider risk and compliance team and senior management which summarise the findings of assurance activity. Lead ad hoc regulatory...

AXA Investment Managers (AXA IM).With our products, we aim to diversify and grow our portfolios, while providing long-term value and.AXA IM manages around 844 billion euros in assets, including 480 billion euros integrating ESG, sustainable, or impact criteria as.We are committed to achieving the...

Monitor internal and external Compliance incidents / events and escalate to the Head of Market Regulation. Experience in commodities trading, trading regulatory compliance, financial or energy risk management and/or an understanding of commodity trade life cycle is desired. To collaborate and par...

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...

Eames Consulting is partnering with a reputable Lloyd's Syndicate to appoint a Compliance Officer in multiple locations, including London, York, and Colchester.

Minimum of 5 years of experience in internal and/or external audit, compliance testing team or a similar function within the financial industry.Extensive experience in compliance test planning, processes and controls design assessments, controls operating effectiveness testing, transactional test...

A good level of experience as a Senior Compliance Officer within the commodities trading sector, specifically in base metals with a solid understanding of the London Metal Exchange (LME) rules and practices.

Managing the compliance program on day-to-day basis, covering financial promotions, personal account dealing, updating compliance logs/registers and prepare/submit regulatory filings. Providing ongoing compliance training to firm employees. Maintaining and updating compliance manual and policies ...

Assist in the ongoing review and updating of compliance policies and procedures to ensure compliance with applicable laws and regulations. Review, operate and/or implement systems for marketing and distribution of investment opportunities, and ongoing review and support for compliance approval of...

Design and deliver regular compliance training programs for employees, focusing on FCA regulations, internal compliance policies, and CFD-specific compliance risks. Manage and report any suspicious activities, compliance breaches, or significant risk exposures to senior management and the FCA as ...

Monitoring, and as necessary, coordinating compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends;. The general responsibility of the Head of Compliance/CCO (SMF16) & MLRO (SMF17) is to provide an in-house compliance service ...