Permanent Monitoring
West End - London £50,000 - £70,000
THE COMPANY: Our client is a leading Asset Manager, they have over $650 billion under management, with a vast global presence. THE RESPONSIBILITIES: Core role in the preparation and analysis of trading data for suspicious activities Coordinate follow up, escalation and reporting of items arising from surveillance, testing and other complianc...
Permanent Monitoring
City - London £Market rate
THE COMPANY: Our Client is one of the top Global Custodians with over $2 Trillion in FUM. They are looking for a Compliance Monitoring Manager to add to their Compliance team. THE RESPONSIBILITIES: Execute, develop and implement a programme of continuous assessment with business units Monitor activities which are carried out on behalf of the...
Temporary Monitoring
City - London £300 - 400per day
THE COMPANY: Our client is a well regarded Private Bank. They are looking to hire a Compliance Analyst for a 6 month contract initially THE RESPONSIBILITIES: Review and assess the quality and standards of in-house advisory work from a regulatory perspective, including client file reviews, quality of research, and use of fund platforms. Act a...
Permanent Monitoring
West End - London £40,000 - £55,000
THE COMPANY: Our client is a commodities house with exciting growth plans for 2012. They are looking for a compliance monitoring & surveillance analyst to help with growing work loads. THE RESPONSIBILITIES: Trade floor presence to monitor trading activities against various Commercial Compliance policies Monitor Commercial trading activities against potent...
Permanent Advisory, Monitoring
Docklands - London £80,000 - £100,000
THE COMPANY: We have been exclusively instructed by our client, a medium sized Investment Bank with International subsidiaries. They are based in the Docklands and have expansion plans over the next few years. THE RESPONSIBILITIES: Ensure Compliance and Financial Crime teams are appropriately trained, coached and supervised to provide technical delivery of t...
Temporary Monitoring
City - London Up to £50,000 pro rata
THE COMPANY: Our client is a Financial Services house offering Investment Management and Advisory services. THE RESPONSIBILITIES: FSA returns and registrations, monitoring regulatory developments and their impact on the company Undertaking training on market abuse, bribery and corruption, conflict management, etc AML reporti...
Permanent Monitoring
City - London £75,000 - £85,000
THE COMPANY: Our client is a leading European Investment Bank based in the city. THE RESPONSIBILITIES: Provide the business line with a proactive, expert and effective regulatory compliance advisory service. Work effectively at all levels to provide support and assistance to other members of the Compliance team, other business lines an...
Permanent Monitoring
City - London £40,000 - £50,000
THE COMPANY: Our client is a well known Asset Manager based in the City who offer a diverse range of funds. THE RESPONSIBILITIES: Take ownership of implementing, managing & develop the firms training and competence (T&C) policy and procedures. Maintain and improve a management information tool such that the company can immediately pro...
Permanent Monitoring
West End - London £40,000 - £50,000
THE COMPANY: Our client is a well known pension provider who offer actuarial and investment advice. They are looking to hire a Compliance Assistant to support the Compliance Officer. The areas of involvement would be training, financial promotions, on going monitoring, AML/PEPS and Sanctions. EXPERIENCE REQUIRED: Relevant compliance experience gained within...
Permanent Monitoring
City - London £65,000 - £75,000
THE COMPANY: Our client is a global Asset Manager and Third Party Administrator with businesses based in over 30 countries. They currently provide financial services to a large client base consisting of Institutions, Private Clients, Wealth Management and Mutual Fund Investors. THE RESPONSIBILITIES: Design and implement an effective oversight programme for th...
Permanent AML
West End - London £30,000 - £40,000
THE COMPANY: My client is a leading Asset Management house who have offices nationwide and who manage assets in excess of £2 billion. THE RESPONSIBILITIES: Carry out daily monitoring of adherence to the firm’s policies and procedures covering discretionary investment management Carry out other monitoring tasks as established by t...
Permanent Monitoring
City - London £50,000 - £60,000
THE COMPANY: Our client is a leading Investment Bank; they are based in the City with a global presence. THE RESPONSIBILITIES: Support primary contact for nominated business areas in the main comprising Corporates & Markets business, but not precluding involvement with other business areas. Undertake or assist with ad hoc project work, ...
Permanent Monitoring
City - London £30,000 - £40,000
THE COMPANY: Our client is a large Investment Bank with a global presence, with offices in London’s City. They provide a wide range of services to Governments, Banks and private Financial Institutions. They are looking to hire a junior level analyst to work within the control room. EXPERIENCE REQUIRED: Educated to degree level An int...
Permanent Monitoring
City - London £35,000 - £45,000
THE COMPANY: Our client is an independent asset manager. They are made up of two separate specialist areas: asset management and pension fund management THE RESPONSIBILITIES: Carry out compliance monitoring as directed, using a risk based sampling methodology including follow up reviews. Provide input to reports to management and Risk ...
Permanent Monitoring
South East £40,000 - £50,000
THE COMPANY: Our client forms one of the UK subsidiaries of a global services company. The business provides back office services to the leading UK Life and Pensions firms. THE RESPONSIBILITIES: Support the development of a robust risk based annual Compliance Monitoring plan Support the development of risk based annual Compliance Monitoring ...
Permanent Monitoring
West End - London £35,000 - £45,000
THE COMPANY: Our client provide insurance and extended warranty to their television satellite subscribers. THE RESPONSIBILITIES: Follow and implement all necessary FSA and Distance Selling Regulations Ensure the sales department is achieving fully compliant sales Implement, develop and maintain compliant sales scripts by liai...
Permanent Monitoring
Docklands - London £Excellent
THE COMPANY: Our client is a leading investment bank. They are a market leader with a global reach. THE RESPONSIBILITIES: Coverage of listed derivatives related sales and trading activity Institutional Securities Division in Europe Provide real time advisory support to the listed derivatives business unit Involvement in deve...
Permanent Monitoring, AML
City - London £35,000 - £43,000
THE COMPANY: Our client is a global Asset Manager and Third Party Administrator with businesses based in over 30 countries. They currently provide financial services to a large client base consisting of Institutions, Private Clients, Wealth Management and Mutual Fund Investors. THE RESPONSIBILITIES: Ensure that the asset management and distribution activities under...
Permanent Monitoring, AML
City - London £60,000 - £70,000
THE COMPANY: Our client is a small Fund Manager based in the City. THE RESPONSIBILITIES: Help to improve procedures for the provision of compliance services, reflect these in the compliance manuals and provide technical advice and training as necessary so that the compliance team is able to implement them. Carry out proactive monitoring revi...
Permanent Monitoring
West End - London Up to £50,000
THE COMPANY: Our client is a well known Wealth Manager who offer actuarial and investment advice. THE RESPONSIBILITIES: Assist in the implementation of the Compliance Plans. Report instances of non-compliance to the Compliance Officer and Managing Director. Assist in assessing, prioritising and documenting on an ongoing basis...
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