Our client a leading Global Asset Management firm are recruiting for a Compliance Officer - Portfolio Compliance... - Asset Management to help support the shareholding disclosures team. The Compliance Officer - Portfolio Compliance - Asset...
Chief Compliance Officer, Sustainalytics About Morningstar: Morningstar is a leading global provider of independent..., and more with comprehensive investment solutions. The Role: This role sits within Morningstar Sustainalytics. As Chief Compliance Officer...
Chief Compliance Officer, Sustainalytics About Morningstar: Morningstar is a leading global provider of independent..., and more with comprehensive investment solutions. The Role: This role sits within Morningstar Sustainalytics. As Chief Compliance Officer...
, or a compliance function, preferably in asset or wealth management. Strong understanding of FCA rules and guidance, including...The Compliance Monitoring Officer will be responsible for conducting compliance monitoring reviews, ensuring thorough...
contract Role Purpose Reporting to our Asset & Compliance Lead Officer, our Compliance Officer role will manage...Job Description Compliance Officer (Fire Safety) South West London £35 p/hr umbrella 6 to 12 month ongoing...
We are seeking an exceptional Chief Compliance Officer (CCO) to join our dynamic and rapidly growing asset management... to ensure a strong and effective compliance team. Senior Compliance Roles: Serve as Chief Compliance Officer (CCO), holding...
Marketing division, within the M&G Asset Management Marketing Communications Compliance Team. Key Responsibilities: Manage... of working in a regulated environment ideally within asset management business (desirable). Previous experience in compliance...
and whistleblowing framework oversight. For more information visit Role Summary The ‘Senior Compliance Officer – Central Compliance... Compliance Policy Framework Complaints Handling Conflicts Management (including PA Dealing processes) Responsibilities...
The Compliance Surveillance Strategy & Governance Officer will provide support to the Head of Surveillance Governance... and understanding of input data flows across different asset classes. Experience of Change management and/or process improvement...
The Compliance Surveillance Strategy & Governance Officer will provide support to the Head of Surveillance Governance... and understanding of input data flows across different asset classes. Experience of Change management and/or process improvement...
and whistleblowing framework oversight. For more information visit Role Summary The Senior Compliance Officer – Regulatory... as well as a large financial institution (investment bank, corporate bank, asset manager,etc.) Compliance specific industry...
Financial Ltd are searching for Surveillance Compliance officer to join their team in London. The role focusses on Trade... Surveillance across a variety of asset classes; with an opportunity to gain exposure to a wider range of compliance activities...
experience working in an Asset Management firm Knowledge of key UK and EU regulated fund structures (UCITS and AIFs) Previous...Where you’ll fit in & what our team goals are… In your role you will perform Compliance monitoring reviews covering...
Published: 21/02/2025 Reporting to the Project Management Officer, you will be supporting Implementation Projects... Assurance, Implementation Consultants, Service Management & Contract Change Mgmt). Including but not limited to: Maintaining the...
within Asset Management, Alternatives, or relevant business lines Demonstrable track record of managing a Compliance function... and services Risk Management: Identify potential compliance risks associated with business operations and develop strategies...
and excellence in asset and liability management, as well as exceptional customer service. Our purpose is to pay the pensions... and understand the impact. Assist the Chief Risk Officer on any compliance and financial crime matters and / or any other areas...
strategy and priorities in conjunction with the Global Chief Compliance Officer (CCO) and regional senior management Managing... and controls to enable business unit management to oversee compliance with regulatory obligations Setting the regional Compliance...
of 26 offices across 18 countries and is part of the AXA Group, a worldwide leader in insurance and asset management... Market Abuse and Best execution) under guidance from the Senior Compliance Manager and Senior Compliance Monitoring Officer...
of 26 offices across 18 countries and is part of the AXA Group, a worldwide leader in insurance and asset management... Market Abuse and Best execution) under guidance from the Senior Compliance Manager and Senior Compliance Monitoring Officer...
Officer and senior management. CRM also interacts with business units to ensure that credit risk assessments are factored..., including asset site visits and review of appraisals/valuations Review and verify compliance certificates, debt covenants...