Compliance Officer £55,000 - £60,000
Ref: 10589 City of London
Global Investment Management firm are seeking an additional Compliance Officer to join the team.
You will be responsible for carrying out thematic monitoring reviews, undertaking independent comprehensive and in-depth Compliance reviews to gauge and provide feedback upon the adequacy and effectiveness of regulatory arrangements established by the firms UK international affiliates, provide advice and guidance to the business, working closely with the front office fund managers, identify areas of risk and produce high level reports for management. Some travel required to Europe, East Asia and America.
Asset Management Compliance Monitoring and experience of working with the front office is essential. Good knowledge of COB’s required.
Regional Compliance Manager £40,000
Ref: 10608 Scotland
Leading Investment Management firm that provides discretionary investment management services for pension funds, corporates, financial advisers, local authorities and other institutions are seeking to recruit an experienced Regional Compliance Manager to join the busy Compliance team.
The role will involve assessing operational and regulatory risks to business, assisting in the design and implementation of new compliance and T&C policies and procedures whilst carrying out reviews of systems currently in place, advising the business on regulatory issues, execute the compliance monitoring programme, documenting and reporting the findings, ensuing remedial action is carried out when necessary, assist in maintaining good relationships with the regulators, oversee compliance approval for promotions, literature and new products.
Proven experience of field based Compliance within financial services is required, and the ideal candidate with have Certificate in Financial Planning or equivalent.
Quality Assurance Assessor £25,000 - £30,000
Ref: 10605 Surrey / Hampshire
Large financial services company is seeking to recruit an additional Quality Assurance Assessor to the monitoring team responsible for new business written by the sales force.
This will mainly be a desk based role, although some travel to other offices may be required on occasion. Duties will include reviewing files, identifying breaches and trends, producing Management Information, ensuring adherence to compliance and procedural requirements and that correct processes are being followed and provide information to the T&C manager in order to incorporate any training needs.
Full FPC or equivalent is essential and some previous compliance experience.
Compliance Associate £48,000 - £50,000
Ref: 10296 City of London
City based Investment Management firm are seeking to recruit an additional Compliance Associate to join the monitoring team responsible for the Collective Investment Scheme side of the business.
You will be responsible for carrying out the risk based monitoring programme, identifying potential breaches, carrying out further investigation where necessary, producing reports on the findings to management, conduct external audit visits and provide advice and guidance to the business.
Previous compliance experience within Investment Management is required.
Compliance Associate £40,000 - £45,000
Ref: 10573 City of London
Our client is one of the largest specialty Fixed Income managers in the world is seeking to recruit an additional member to their Legal & Compliance team.
Duties will include maintaining Chinese Walls for Bank Loan Business including liaising with portfolio management team and bank loan arrangers, ensuring that the firm’s restricted list and walls are maintained, approving marketing literature, carry out compliance monitoring and assisting in the production and issuance of Compliance confirmations.
Some previous compliance experience either in Investment Management or Private Banking is sought.
Risk & Compliance Manager £80,000
Ref: 10606 City of London
International Bank are seeking to recruit an experienced Compliance Manager with good analytical ability in order to assess risk and produce strategic improvements with the view of rolling this out across the group.
Duties will include managing the firms approach to the identification, assessment and reporting of political, legislative and regulatory risks impacting on the Group’s operating environment, provide analysis and advice to the Head of Regulatory projects, manage a range of upstream risk issues, liaising effectively with external bodies and stakeholders, produce high quality reports on future changes, provide high quality briefing material and reports for senior management, represent the firm at industry forums.
The ideal candidate will have extensive Regulatory Risk experience and a broad understanding of the risks facing a global financial services firm. A background in either Wholesale or Retail Banking, the Regulator or Consultancy is sought.
Financial Promotions Officer £27,000 - £34,000
Ref: 10561 Hampshire
A UK leading provider of pensions, protections, investments and wealth management are seeking to recruit a Financial Promotions Officer within their Legal and Compliance team.
You will be responsible for ensuring all marketing materials, financial promotions and client facing materials meet company and FSA requirements and providing feedback and advice on proposed products, initiatives or marketing items. You will also have to allocate approval and shelf life time lines to agreed documents and keep up-to-date records of these documents. Occasionally you will be required to produce or assist in producing regular statistics related to all financial promotions and provide a monthly overview of activity.
A good understanding of Life and Pensions and a broad knowledge of FSA rules and regulations and Rules and Guidance in respect to Financial Promotions is essential.
Senior Compliance Manager £55,000 - £58,000
Ref: 10604 City of London
Leading City based General Insurer are seeking an experienced Senior Compliance Manager to assist the Head of Risk & Compliance
You will be responsible for supporting the business by providing advice and guidance on regulatory issues, develop and maintain robust compliance assurance and strategy, liaise with third party suppliers to ensure continuity of the compliance programme, act as liaison point with the regulator, contribute to the strategic thinking and planning of the compliance programme and carry out reviews to ensure the Firm is aware of all aspects of change within the regulatory environment.
A compliance background within General Insurance is sought.
Compliance Manager £40,000 - £48,000
Ref: 10603 City of London
Top 5 Insurance firm are seeking to recruit a Compliance Manager to contribute and support the compliance function in developing and maintaining a compliance culture throughout the business by providing regulatory expertise.
You will be responsible for collecting compliance data from core business functions and investigating any concerns raised and assist the business unit in mitigating its risk, contributing regular and ad hoc risk based compliance reports, maintaining key performance indicators to monitor ongoing health of compliance and help evolve, enhance and drive the compliance control.
The ideal candidate will have strong current knowledge of the FSA regulations relating to a general insurance firm.
Home Based T&C Officer £36,500
Ref: 10597 Middlesex
National IFA are seeking an additional T&C officer to provide advice and guidance to a panel of member firms.
You will be responsible for conducting audit visits to assess training needs, advising on regulatory issues affecting the business, assist the firm to meet key deliverables, targets and objectives, produce professional reports detailing findings, recommendations and corrective action required, communicate and generate a clear understanding of TCF Principles, organise, attend and host training events and Technical Seminars, represent the firm at Regional Meetings and Customer events, regularly evaluate the services and suggest enhancements to provide added value,
Full FPC or equivalent and T&C experience is required.
Governance Manager (Retail Banking) £55,000 - £60,000
Ref: 10601 London
An experienced Governance and Risk Manager is sought to join this leading retail bank. You will be responsible for Basel 2 compliance and overseeing controls for the cross sales business. The Cross Sales business area ensure that the third party insurers (who the bank uses for credit card protection) are following internal and FSA guidelines.
Your remit will be to support the Head of Product Management in ensuring existing and new products, channels and practices in the Cross-Sales division adhere to appropriate standards of governance, compliance and control, provide leadership to the team, ensure that the product portfolio is consistent with the Bank’s strategy, brand rules and sourcing guidelines, oversee the New Product Approval process, ensure compliance with regulatory, legal and industry best practice, deliver effective risk management ensuring the team is adhering to their responsibilities and ensure effective budgets and cost management is being considered.
A background in Governance, Operational Risk or Internal Audit is sought.
Compliance Analyst £43,000 - £45,000
Ref: 10548 Central London
My client is an established Wealth Management group & specialist Private Client Fund Manager with two operating companies that provide bespoke financial planning and Asset Management.
The company is expanding and looking to recruit an additional Compliance Analyst. You will be involved in ensuring that risks are identified, reported and managed effectively across the Group, carry out analysis of areas of the business concerned with the management of client assets, keep up to date with regulatory requirements and integrate changes into current processes, build and maintain effective lines of communication with all staff across the Group, assist in the design and implementation of risk based ‘checks & measures’ relating to conduct of business, client assets & money, market conduct and anti-money laundering and assist in the oversight and monitoring, from a regulatory perspective, of terms of reference with third party service providers.
An understanding of the FSA rules applying to the back office, particularly around regulatory requirements regarding client assets, market conduct, ‘dealing & managing’ within COBS is required.
Compliance Associate £40,000 - £45,000
Ref: 10573 City of London
Our client is one of the largest specialty Fixed Income managers in the world is seeking to recruit an additional member to their Legal & Compliance team.
Duties will include maintaining Chinese Walls for Bank Loan Business including liaising with portfolio management team and bank loan arrangers, ensuring that the firm’s restricted list and walls are maintained, approving marketing literature, carry out compliance monitoring and assisting in the production and issuance of Compliance confirmations.
Some previous compliance experience either in Investment Management or Private Banking is sought.
Training & Competence Officer £35,000 - £40,000
Ref: 10558 City of London
National firm of Financial Advisors are seeking to recruit an experienced Compliance professional to support the Head of Training & Competence.
You will be responsible for ensuring the division’s compliance records are up to date, carrying out assessments and training, respond to queries and needs from the business advising on regulatory issues, produce reports for management, analyse potential areas of risk and provide input recommending improvements.
Experience in a similar role required.
Anti-Money Laundering Specialist £50,000 - £55,000
Ref: 10566 Central London
Leading Investment firm are seeking an additional resource within their AML unit to cover for 6 months (may go on longer).
You will be responsible for assisting the MLRO in developing practical guidance on the identification of suspicious transactions, identifying high risk areas and providing targeted training, providing AML guidance to the Compliance team and the wider business to assist with implementation of compliance strategies, provide assistance on the AML programme working on current projects and change initiatives, assist the MLRO with providing input for the compliance monitoring programme and the self assessment framework, report and monitor on identified issues and breaches of AML policy, provide monthly progress reports against planned activity and assist in providing Senior Management and the Audit Committee with assurance and oversight for the AML programme with specific focus on the development of transaction monitoring supporting the “know your customer requirements”.
Practical AML experience within Financial Services is essential. A background in Retail Banking would be particularly useful.
Senior Compliance Consultant £35,000 - £40,000
Ref: 10599 Swindon
Leading Retail Bank are seeking to recruit a Senior Compliance Consultant to focus on ensuring the telephone channels team are meeting regulatory standards.
Duties will include planning and delivering compliance monitoring within the quarterly plan, reviewing the competence of telephone based Sales/Services Advisors and Supervisors in the Company’s call centers particularly those involved in the sale and administration of FSA regulated products and banking code, provide accurate reporting on all risks and compliance exposure using the review programme and provide advice to the business, quality checking compliance action plans to ensure that potential breaches have been identified.
Previous compliance experience in Retail Financial Services is sought. Experience in a similar role working with telephone based advisors would be an advantage.
Fraud Analyst £26,000 - £30,000
Ref: 10596 London
Top tier Retail Bank are seeking to recruit an additional Fraud Analyst to join the Financial Crime team.
You will be responsible for assisting the Portfolio Managers in developing and implementing Fraud policy and strategy, document fraud Policy and monitor fraud targets and the Profit & Loss impact, undertake analysis to define recommendations for new fraud definitions to be applied and make recommendations on policy approaches/processes aimed at improving fraud prevention against the bank.
Some previous Fraud experience within Financial Services is required.
Operational Risk Manager £60,000 - £65,000
Ref: 10598 City of London
Top 5 Insurance firm are seeking an experienced Operational Risk specialist to assist in the implementation of the operational risk management process across the group. This involves risk & control identification and assessment, developing actions plans, monitoring progress and reporting to the Group Executive any areas of concern.
Duties will include managing the UK Operational Risk Framework, planning, scoping & performing desktop reviews, facilitating risk & control assessment workshops, documenting and reviewing outputs, monitoring delivery of mitigation activities, carry out awareness training on the risk management and escalation processes, provide feedback to the business on the completeness and accuracy of their risk assessments and suitability of actions to mitigate risks, provide oversight and quality assurance on the risk assessments completed by members of the Operational Risk team and support medium size projects around the business in applying project risk management methodologies.
The ideal candidate will have a strong Operational Risk background within Retail Financial Services have excellent written and verbal communication skills, together with the ability to influence at all levels.
Financial Crime Analyst £27,000
Ref: 10592 Surrey
Leading Financial Services firm are seeking to recruit an additional Analyst for the Financial Crime Unit.
You will be responsible for managing and contributing to internal and external projects, track the Groups financial crime system requirements, communicate with the Financial Crime staff on project developments and document and maintain the firm’s Financial Crime policies.
The ideal candidate will have some previous Financial Fraud experience within Financial Services.
Compliance Officer (Foreign Exchange) £40,000 - £45,000
Ref: 10472 Middlesex
Leading Foreign Exchange Company are seeking to recruit an experienced Compliance Officer.
Reporting to the Head of Risk & Compliance you will be responsible for overseeing day to day compliance issues including working closely with the business advising on regulatory issues, ensuring that the firm is meeting regulatory obligations, keep up to date on new regulation and communicate this to the business, oversee and implement the risk based monitoring plan, produce reports for management, provide compliance training on topics such as AML and DPA and promote risk management principles within the business.
Previous compliance experience and a general awareness of regulatory issues facing a foreign exchange operator is required. Derivatives knowledge would be useful.
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