Compliance Jobs
Within Financial Services Compliance specific areas and functions include Conduct of Business or Conduct Risk, Monitoring & Surveillance, Compliance Advisory/Policy/Technical, Financial Promotions, Client Money/Assets (CASS), Complaints, Registration and Training & Competence, Prudential & Regulatory Returns
Broader than FS (but still applicable to FS) would include Corporate Governance & Ethics, Data Privacy & Protection and Risk generally
Current Vacancies
- Our client, a leading professional services organisation, seeks an AML Analyst to cover a variety of client types. Duties include; · Complete CDD checks for UK clients and counterparties in accordance with UK p
- Our client, a leading professional services organisation, seeks an AML Compliance Supervisor to review and approve checks completed by AML Analysts covering a variety of client types. · Review and approve client due di
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We are exclusively recruiting for our client, a growing medium-sized accountancy practice looking for a Head of Compliance to develop their new department. Duties will include; Ensuring all policies, terms, procedures and standards are compliant in adherence to regulators, regul
EXCLUSIVE: HEAD OF COMPLIANCE – ACCOUNTANCY OR LEGAL PRACTICE COMPLIANCE EXPERIENCE REQUIRED
£ 80000 - £ 90000 | Manchester
- Our Client, a leading Big 4 firm, is recruiting an IT General Controls (ITGC) specialist to support both their advisory anD assurance teams. Duties will include; IT security, IT service management, user access and entitlement management Controls over enterprise busine
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Our client, a start-up FinTech Firm, are looking to hire their first in-house Compliance and AML Officer. under the FCA Appointed Representative regulations. Working fully remotely and reporting to the founders, responsibilities include: Main point of contact for Complianc
EXCLUSIVE: PART TIME COMPLIANCE & AML MANAGER (FINTECH)
£ 50000 - £ 60000
- Our client is seeking to recruit a Monitoring expert to join a newly created Compliance department. Duties will include; Scoping out all areas to be reviewed with the Head of Compliance Designing the monitoring programmes and carrying out initial work directly
- Our client is seeking to recruit a Pensions expert to join a newly created Compliance department. Duties will include; Act as Deputy Head of Compliance Help set all Guidance & Policies beyond just regulatory needs Advise on proposed Operational SOPs pre
- Our Client, a growing international financial services organisation, is looking to appoint a Client Onboarding & KYC Officer to be responsible for all new client onboarding requirements and documentation for their expanding business. Reporting to the Compliance Manager, responsibilities will
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Our client, a
APPOINTED REPRESENTATIVE COMPLIANCE –ASSET MANAGEMENT / BUY SIDE EXPERIENCE REQUIRED
£ 50000 - £ 70000 | London
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Our client, a leading specialist manufacturer, seeks a Pre Market Regulatory Affairs Manager to be responsible for determining regulatory requirements that affect the company and its products and for the process of preparing submissions to US and international regulatory agencies. The R
PRE MARKET REG AFFAIRS MANAGER – MEDICAL DEVICE REG AFFAIRS EXPERIENCE INC FDA & 510K SUBMISSIONS EXPERIENCE REQUIRED
$150,000- $160,000 | Fully Remote