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Brokerage Jobs

Over the past few years, the Corporate Governance teams within the Brokerage houses have grown at unprecedented pace. We work with full service, inter-dealer brokers, spread betting firms, market makers and voice & electronic broking houses.

Within the Brokerage space we provide Risk Managers, Compliance professionals, Internal Auditors, Quantitative Analytics professionals, Legal professionals and Regulatory Change staff.

If you are a Brokerage client who are interested in learning about how Lawson Chase may be able to support your hiring goals, please follow this link for more information on our services.

If you are a candidate seeking a new Corporate Governance position within a Brokerage house, please find some of our current roles below.

Senior Audit Executive

Senior Audit Executive sought to join a leading independent insurance brokerage firm, in London. You will assist the Head of Internal Audit in taking a lead role in planning and conducting all internal audit activity. The role of the Senior Internal Audit should always be conducted in line with the functions, objectives and KPIs as outline in the “Internal Audit Protocols – Final Terms of Reference” and the “Service Charter for Internal Audit” for the firm's International operations. Key Responsibilities This is a lead role in developing and implementing an annual risk-based internal audit ...

Location: London | Salary: £45,000 - £50,000
Ref: | Published: 07th Nov 2017
Audit Executive

We are working closely with a top independent insurance brokerage firm, who are looking to hire an Audit Executive to assist the Head of Internal Audit in planning and conducting internal audit activity. Key Responsibilities Assist in developing and implement an annual risk-based internal audit plan, taking into account the assurance requirements of key stakeholders. Assist in promoting the internal audit offering to key stakeholders and respond to assurance requests. Reviewing the adequacy and effectiveness of the policies and processes in place to identify and manage key risks in the orga...

Location: London | Salary: £30,000 - £35,000
Ref: | Published: 07th Nov 2017
KYC & AML Executive

A global wealth and asset management firm, based in London is seeking to appoint a KYC & AML Executive. About The Role To review legislation, regulatory requirements and guidance to ensure the Company’s KYC & AML procedures are consistent and compliant with regulations applicable to the company’s business. To monitor and review accounts of clients identified as high risk or PEPs. To provide KYC & AML approval for higher risk clients. To provide consultancy services on KYC & AML matters to the various Sales Teams To monitor adherence to the approved KYC & AML procedures Key Responsibilities ...

Location: London | Salary: £50,000 - £55,000
Ref: | Published: 03th Nov 2017