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Compliance & Financial Crime Jobs

Compliance Analyst

The Compliance Analyst helps ensure the firm and its employees are in compliance with applicable regulations. Working as part of the Advisory and Guidance team of the firm’s Compliance Department the successful candidate should be a highly organised individual with strong analytical skills, excellent communication and writing skills, strong work ethic and should possess the ability to work collaboratively as a team member. Key Responsibilities Approval of financial promotions and client communications Management of client complaints including FCA complaints reporting Review and revision of ...

Location: London | Salary:
Ref: | Published: 10th Jan 2019
Compliance Analyst

You will be responsible for conducting the monitoring activities included within the Compliance Monitoring programme, which includes conducting testing within the designated timescales and escalating matters to the Compliance Monitoring Manager as required. Key Responsibilities Carrying out and delivering the core work of the CMP on a monthly basis in line with the plan. Assisting the Compliance Monitoring Manager with ad-hoc relevant tasks. Logging and ensuring appropriate follow-up actions are taken on all errors and breaches, whether occurring internally or at the outsourced service prov...

Location: London | Salary:
Ref: | Published: 04th Jan 2019
Market Abuse Surveillance Specialist

We are seeking a Market Abuse Surveillance Specialist on behalf of our client, a leading investment advisory firm. You will be responsible for designing and implementing the required Market Conduct policies and procedures, including appropriate operational and Compliance oversight. Key Responsibilities Serves as a trusted specialist for market abuse matters, including, ongoing monitoring, detection of potential breaches and training requirements. Uses advanced knowledge to design and implement new policies, procedures, and controls to ensure compliance with applicable market abuse laws and ...

Location: London | Salary:
Ref: | Published: 03th Jan 2019
Manager (Audit, Risk, Controls)

About The Company The client is a global advisory firm focused on assisting companies, their counsel and government agencies on regulatory, risk and compliance issues, investigations and business disputes. They serve clients from offices across the U.S., U.K. and in Germany, assisted by a network of senior advisers around the world. About The Role The Compliance and Monitoring practice provides remediation and monitoring services to attorneys, corporations, regulatory agencies and individuals. They have experienced, certified public and chartered accountants, former auditors, investigators,...

Location: Wolfsburg | Salary:
Ref: | Published: 02th Jan 2019
Executive Assistant / Compliance Administrator

About The Role Executive Assistant to the Director of Legal & Compliance and also providing support to the legal team which includes Company Secretariat, as well as administrative support in certain compliance areas to the Compliance team. This combined Department is an internal and external client driven environment and therefore an ability to cope efficiently and effectively with competing priorities and deadlines is essential. Accurate, fast typing, secretarial and software skills are required as are efficient, organised administrative capabilities to deal with legal documentation volume...

Location: London | Salary:
Ref: | Published: 12th Dec 2018