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Compliance Assistant - Ongoing Temp
- Recruiter :
- Aptus Resourcing Limited
- Salary :
- £15 to £22 per hour
- Location :
- The City
- Description :
- Are you a Compliance Assistant looking for your next job? Can you start immediately? If so, please get in touch now! My client, an Investment Management firm based in the heart of the City is looking for an experienced Compliance Assistant who can hit the ground running in this busy role. Duties will include compliance administration tasks such as maintaining the Gifts and Entertainments register ... , researching data issues. There will also be compliance monitoring and reporting duties. The ideal candidate should have prior experience working as a Compliance Assistant within financial services. You should have
- Posted on :
- 22/07/2010
Risk and Compliance Assistant
- Recruiter :
- Robert Walters
- Salary :
- None specified
- Location :
- City of London
- Description :
- encompass all aspects of Compliance, including AML, KYC and Conflicts and will be reporting directly to and learning from the Compliance Manager. On the occasions that the manager is off site, the Compliance Assistant will assume automatic responsibility to delegate work to others. You will be dealing with all areas of Risk and Compliance so knowledge of this area is essential. This is a perfect opportunity ... Compliance including terminology and various policies, who are looking to take the next step in their compliance career. You will be confident enough to deal directly with Partners and the gravitas to lead from
- Posted on :
- 29/07/2010
Risk and Compliance Assistant
- Recruiter :
- Freshfields Bruckhaus Deringer LLP
- Salary :
- None specified
- Location :
- London
- Description :
- Freshfields Bruckhaus Deringer LLP's Risk & Compliance Department manages the firm's risk exposure and provides advice about a range of compliance issues. Right now, we have an excellent opportunity for a Risk and Compliance Assistant to join the team here in London. As a Risk and Compliance Assistant, you will assist ... 're also truly international in both outlook and opportunity. As a Risk and Compliance Assistant your main responsibilities will involve: * Providing support and assistance to lawyers in the Risk & Compliance team ... As a Risk and Compliance Assistant your skills and qualifications must include: * A legal
- Posted on :
- 23/07/2010
Legal & Compliance Assistant - Policy
- Recruiter :
- TWG Services Ltd
- Salary :
- £22,000 to £28,000 per year
- Location :
- Egham, Surrey
- Description :
- POSITION: Legal & Compliance Assistant - Policy documentation DEPARTMENT: Legal & Compliance Department REPORTING TO: UK Legal Counsel SALARY RANGE: £22, 000 - £28, 000 per annum The Warranty Group ("TWG") is the largest independent provider of extended warranties in the world, providing a comprehensive ... & Compliance department is paramount in ensuring that our products meet all legal and regulatory requirements. The Role: An opportunity has now arisen for a Legal & Compliance Assistant to join the department ... to time; * Assisting in compliance audits, including "mystery shopping", complaints reviews, etc
- Posted on :
- 16/07/2010
Business Intake Analyst/Compliance assistant * TOP FIRM * Londo
- Recruiter :
- Laurence Simons Legal Recruitment
- Salary :
- None specified
- Location :
- City of London
- Description :
- COMPLIANCE ASSISTANT/ BUSINESS INTAKE ANALYST UP TO £30 K This Top International firm are seeking a business intake analyst to join a team of 4. You will be required to carry out due diligence on new clients, liaise with its American offices with regards to intake/conflicts, undertake risk assessment, carry out internal searches on sanctions, liaise with partners and fee earners. Ideal candidates will be familiar with anti money laundering legislation, and will have some experience in a compliance role in a city firm. Please contact Jade Crook of Laurence Simons URGENTLY on 02076459090 and email
- Posted on :
- 29/07/2010
Compliance Officer
- Recruiter :
- Career Legal Professional & Compliance
- Salary :
- None specified
- Location :
- London
- Description :
- An excellent opportunity has arisen at this top 20 law firm for a Conflicts Officer to join the Compliance team. The role will include: * Conducting conflict checks on new clients and matters including ... reports for the Compliance Manager and MLRO * Conducting electronic searches using Worldcheck, Complinet ... /matter monitoring * Assist the Compliance manager with team training and wider firm training. * Conducting training sessions regarding firm policy and procedure. The successful candidate will have proven compliance experience in a similar role in a law firm and be seeking a new role in conflicts and compliance. Pay is
- Posted on :
- 28/07/2010
Compliance Officer
- Recruiter :
- Career Legal Professional & Compliance
- Salary :
- None specified
- Location :
- London
- Description :
- An excellent opportunity has arisen at this top 20 law firm for a Conflicts Officer to join the Compliance team. The role will include: * Conducting conflict checks on new clients and matters including ... reports for the Compliance Manager and MLRO * Conducting electronic searches using Worldcheck, Complinet ... /matter monitoring * Assist the Compliance manager with team training and wider firm training. * Conducting training sessions regarding firm policy and procedure. The successful candidate will have proven compliance experience in a similar role in a law firm and be seeking a new role in conflicts and compliance. Pay is
- Posted on :
- 28/07/2010
Compliance Manager
- Recruiter :
- Cameron Kennedy
- Salary :
- £36,000 to £38,000 per year (pro rata)
- Location :
- London City
- Description :
- Our client, a multinational Retail Bank based in the City, is looking for a Compliance Manager to join its team. They have a reputation for excellent service and they employ over a thousand people worldwide. As the Compliance Manager, you will be responsible for: ensuring the Compliance team are fully up-to-speed with all relevant FSA rules that affect the business, ie marketing/financial promotions/advertising and products in accordance with regulatory requirements; working as a subject matter expert with regards to COB ... for Retail Banking. The ideal applicant for this role will be from a Compliance background and have previous
- Posted on :
- 29/07/2010
Compliance Analyst
- Recruiter :
- Walker Hamill
- Salary :
- None specified
- Location :
- London
- Description :
- Our client is a leading Retailer within the leather goods, accessories and clothing market. They are looking to recruit a new position to support the Head of Compliance in designing and maintaining global best practice financial processes and controls for a period of 11 months on a part-time basis. The role requires commitment to 22.5 hours per week. There is flexibility around how these hours are fulfilled. Job description: maintenance of SAP segregation of duties tool (Compliance Calibrator/RAR); maintain finance ... : part-qualified or audit experience preferred; understanding of compliance and controls issues within
- Posted on :
- 27/07/2010
Compliance Monitor
- Recruiter :
- Manpower Professional
- Salary :
- £40,000 to £50,000 per year
- Location :
- London City
- Description :
- A full Service Brokerage company based in the London City is looking for a Compliance Monitor who will be responsible for monitoring the company’s business in order to ensure it has been conducted in an appropriate manner and in accordance with the Financial Services and Markets Act 2000, exchange rules and company policy. Reporting to the Compliance Supervisor, you will: monitor the daily business conducted by the company; produce and submit monitoring reports to evidence the monitoring; ensure that all business conducted is compliant with the relevant rules and regulations; assist in customer complaints, where
- Posted on :
- 30/07/2010
Compliance Officer
- Recruiter :
- Taylor Root
- Salary :
- Competitive
- Location :
- London
- Description :
- Exciting opportunity for a Compliance Officer with good knowledge of FSA COBS rules and an understanding of how financial markets work to join this leading financial services company. Our client, a leading independent provider of financial advisory services, is seeking a Compliance Officer to assist in all . You must have an understanding of FSA COBS rules, and knowledge and experience of the financial markets. Experience in financial promotion would be advantageous and a Securities Institute qualification ... compliance matters.
- Posted on :
- 22/07/2010
Compliance Analyst
- Recruiter :
- CMC Consulting
- Salary :
- £25,000 to £30,000 per year (pro rata)
- Location :
- London City
- Description :
- Our client is ideally a leading luxury retailer with a fantastic central London location. They are looking for a Compliance Analyst to join the Compliance team for an 11 month project. This project has come about post SAP-implementation so experience of SAP would be beneficial. This role is going to cover processes and controls and is aiming to establish best practices, you will need to be investigative and as such will need to have strong analytical skills. You need to have advanced Macros. This is a fantastic opportunity to join a great company in a fantastic location in a rare Part time
- Posted on :
- 30/07/2010
Compliance Manager
- Recruiter :
- Taylor Root
- Salary :
- Market Rate
- Location :
- London
- Description :
- Our client seeks a compliance manager/ lawyer preferably with experience in the CFD/ spread betting field to join its team. Knowledge of FSA rules, the MiFID and other regulatory policies is essential. Will suit experienced compliance candidates or lawyers looking to move into compliance. This is a multi-faceted compliance role, providing exposure to key staff at all levels within the organisation and to the regulator, and which consequently requires a self-starter with very strong communication skills. Candidates able to start asap will be preferred.
- Posted on :
- 29/07/2010
Compliance Officer
- Recruiter :
- TWG Services Ltd
- Salary :
- £45,000 to £55,000 per year
- Location :
- Egham, Surrey
- Description :
- Compliance Officer Role Purpose: To ensure that all businesses in The Warranty Group's UK ... ; To monitor and audit compliance with Corporate Policies and Regulatory Requirements and provide regular ... and monitor and audit compliance; 2. advise on regulatory and operational issues arising from time to time; 3. support the legal and compliance team and TWG business personnel in providing service to clients 4 ... Responsibility: Day to day operation of the group's regulatory compliance function Key Internal Relationships: * Chief Counsel - Europe * Divisional leaders * UK Legal Counsel * Legal and Compliance team members
- Posted on :
- 16/07/2010
Compliance Manager
- Recruiter :
- Byron Finance
- Salary :
- £700 to £900 per month
- Location :
- Surrey
- Description :
- Our London/Surrey based Financial Services client seeks an experienced Compliance Manager with Retail Investment Funds experience. Duration 6 month, very senior broad-based role with excellent visibility within the business. Gravitas required.
- Posted on :
- 30/07/2010
Global Head of Compliance
- Recruiter :
- Hogarth Davies Lloyd
- Salary :
- None specified
- Location :
- London
- Description :
- across North America and mainland Europe, as well as in Australia and Ireland. An experienced compliance professional is now sought to become Global Head of Compliance and take a strategic overview of compliance ... for the compliance team within the firm in each jurisdiction in which they operate; * Manage all aspects of business risk inherent in the compliance function; * Ensure that companies within the firm comply with the requirements set out in the applicable regulations, Group and the firm's Compliance Policy, the Group Anti ... an effective compliance service to clients; * Ensure adequate regulatory control is maintained over third party
- Posted on :
- 30/07/2010
Compliance Manager- Advisory
- Recruiter :
- McGregor Boyall
- Salary :
- £80,000 per year (80000)
- Location :
- London
- Description :
- My Client are looking for a Compliance Manager to manage the Front Office Compliance team ... knowledge of other areas of wholesale compliance and would be responsible for oversight of two entry level staff. The compliance team is responsible for advising, assisting, monitoring and investigating capital ... & Tasks § Providing proactive, risk-based compliance advice through effective partnership ... out of the different units including advice on/interpretation of compliance policies and procedures. § Managing the Front Office Compliance Team § Ensuring that Front Office Management Team fully participate
- Posted on :
- 26/07/2010
Project Manager - Compliance
- Recruiter :
- McGregor Boyall
- Salary :
- 500.00-600.00
- Location :
- London
- Description :
- Compliance Project Manager - Asset Management/Investment Management space. This position is within the Fund and Global Client Group Compliance team of a major Investment Management firm which has compliance ... experienced compliance professionals for 3 - 6 month contract to assist the team with numerous business ... compliance fund and client regulation, which should ideally include knowledge of the cross-border UCITS ... , and a Working on, and communicating specified compliance projects and initiatives, including for example new regulations. Additional duties - Compliance representative on new product initiatives; Assist
- Posted on :
- 26/07/2010
Compliance Manager - AML
- Recruiter :
- Career Legal Professional & Compliance
- Salary :
- None specified
- Location :
- London
- Description :
- This highly regarded law firm with offices around the globe are seeking a compliance manager to join the expanding specialist compliance team. The successful applicant can look forward to assuming a high level of responsibility advising on, designing and implementing effective compliance controls and policies for the firm to ensure compliance with applicable legislative requirements and leading the AML team. This will be a varied role and encompass: General compliance duties * Drafting complex policies ... and applicable laws, managing the conflicts team as required and delivering compliance training. Client Due
- Posted on :
- 06/07/2010
Compliance Officer - Private Banking
- Recruiter :
- Hudson - SG
- Salary :
- TBC
- Location :
- London
- Description :
- Compliance Officer - Private Banking SG Hambros Bank is part of the private banking division of ... Compliance in providing an expert advisory and monitoring service to enable line management to ensure that SG ... continues to be conducted in compliance with all relevant regulatory obligations, to report to line ... promptly. - To undertake and report to line management on themed compliance reviews to ensure that the firm ... management on the UK regulatory regime. - To undertake projects as required. - To attend the Compliance ... as required. (For the avoidance of doubt, the Compliance Officer is not responsible for advising on
- Posted on :
- 30/07/2010
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