to join their busy team. Reporting to the Head of Compliance, you will be responsible for delivering the Compliance Monitoring Plan... and undertaking targeted assurance reviews to support an assessment of ongoing compliance with regulatory obligations. As a member...
Compliance Team consistent with internal standards, business goals and attitude to risk. Staying current on the firm's Consumer...MERJE is currently working with a highly reputable discretionary wealth management business in their search...
and maintain a compliant CMS, ensuring appropriate compliance with all relevant laws and regulations and Group standards Provide... for specific Compliance topics mentioned in the GLLB and GLLS' compliance policy and provide advices on these to the business...
and remotely Implementing and overseeing compliance policies in line with FCA regulations Assisting with background screening... . EXPERIENCE REQUIRED: 3-5 years of experience in compliance within a consultancy, regulatory hosting firm or asset manager...
initiatives to help expand our regulatory compliance business. Assist in the firms' go-to-market and opportunity conversion... circumstances. What you'll do An exciting opportunity has arisen for a Senior Vice President (equivalent to Senior Manager...
; To take a co-lead role alongside the Senior Compliance & Conduct Manager in all conduct responsibilities managed by the team... complaints To work closely with the Senior Compliance & Conduct Manager to prepare reports at the quarterly Product Oversight...
is also responsible for managing compliance within the Lendlease business in Europe. In particular, the role will have responsibility... and other (e.g. AIFMD) rules and regulations. Monitor compliance with the obligations arising under LREI’s policies and procedures...
month FTC Division: Compliance Key Relationships: Internal: Compliance Manager – UK Regulatory Affairs and Conduct... and support on Lloyd’s, PRA and FCA regulatory processes and interactions, ensuring regulatory compliance across the business...
across the business. Developing and managing the organisational compliance framework Detailed understanding of relevant... regulatory requirements and staying current with relevant laws and regulations. Develop and implement compliance policies...
successful candidate will have recent experience as a Compliance Advisory Manager focusing on Securitised Products & Credit..., procedures, and practices into the business. Risk Assessment: Identify and assess compliance risks through thorough reviews...
's customers. Oversee execution of the annual Compliance Assurance plan and Compliance Advisory business partnership model... £160,000 - £200,000 + | ✨ ⭐ Our Compliance team We're looking for an experienced, collaborative and pragmatic Director of Compliance to lead our Monzo Bank...
Reports To: Compliance Manager, London Key Relationships: Internal: Compliance Manager - UK Regulatory Affairs and Conduct... and support on Lloyd's, PRA and FCA regulatory processes and interactions , ensuring regulatory compliance across the business...
obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations... with Compliance Advisory teams, business, and HR to advise on regulatory registrations and learning and development requirements...
obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations..., asset manager, etc.) Compliance specific industry certifications including those awarded by the ICA or CISI...
obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations..., asset manager, etc.) Compliance specific industry certifications including those awarded by the ICA or CISI...
firms high standards of compliance with new and existing regulations. Management responsibilities are expected to be part...OVERVIEW: The D. E. Shaw group seeks a talented compliance officer to join its Legal & Compliance team in London...
obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations... with Compliance Advisory teams, business, and HR to advise on regulatory registrations and learning and development requirements...
Reports To: Compliance Manager, London Key Relationships: Internal: Compliance Manager – UK Regulatory Affairs and Conduct... and support on Lloyd’s, PRA and FCA regulatory processes and interactions , ensuring regulatory compliance across the business...
of Compliance, Governance, & ethical business actions. External and internal audits. Risk management. Safety specifications...The Audit officer will assist the audit manager and other colleagues with a range of internal audits that are designed...
. To address this, we require a highly experienced Senior Compliance Manager with a strong background in leading UK MLRO functions... of justifying compliance assessments, conclusions, and action plans. An effective team manager, skilled in leading compliance staff...