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Daniel Owen Ltd
Kingston upon Thames
Compliance Officer Based in Kingston Monday - Friday (Apply online only) £239.35per day Reporting to our Asset & Compliance Lead Officer, our Compliance Officer role will manage and offer guidance in all aspects of Fire Safety and Asbestos compliance for buildings owned or managed by the Council's Housing Landlord. You will act as the main point o
Job Source: Daniel Owen LtdCPS Group
London
re you an experienced Quality and Compliance Officer who is looking to work with a growing company that would allow you to work across multiple divisions. My client, are a Global Consultancy that work across multiple sectors. This role requires somebody who is able to look at the processes that each division utilise, and then develop some consisten
Job Source: CPS GroupCarnegie Consulting Ltd
London
Our client, an esteemed name in the emerging investment space are looking for a Compliance Officer to join them reporting to the Compliance Manager and COO. Who They Are: Not your typical investment firm. They thrive on teamwork, quality research, and a non-hierarchical structure that fosters/nurtures innovation and responsibility. They value mutua
Job Source: Carnegie Consulting LtdLHH Recruitment Solutions
London
Compliance ManagerAre you a meticulous and detail-oriented professional? Do you have a passion for ensuring that a company operates within legal and ethical boundaries? If so, we have an exciting opportunity for you.Our client, a leading organisation in the financial services industry, is seeking a Compliance Manager to join their dynamic team. Thi
Job Source: LHH Recruitment SolutionsQuantum Group
London
We are inviting applications for compliance officer position for an international bank based in city London . This is a 6 months contract to start immediately. Key Responsibilities: Performing Compliance Risk Assessments Second line oversight of the Bank's compliance with the applicable law, regulations and internal policies Developing and implemen
Job Source: Quantum GroupKane Recruitment
EN1, Bush Hill Park, Greater London
The provision of good quality, secure, private housing solutions for Enfield residents is a key priority in the Council’s Good Growth Housing Strategy. The Private Housing Team’s role is to be the strategic lead in this area; understanding the market, pressures for residents and creating solutions that contribute to a balanced housing market. Addit
Job Source: Kane RecruitmentVox Network Consultants
North London
Role Purpose The Compliance and Monitoring Officer (CMO) will be responsible for ensuring all properties within the Housing Gateway Ltd. (HGL) and the councils Let (EL) portfolios (the portfolios) have all statutory certificates and licences. The CMO will be expected to liaise with contractors, tenants and freeholders to arrange the testing and in
Job Source: Vox Network ConsultantsNFP People LTD
London
Compliance Officer We’re looking for a dynamic and a highly motivated individual to join a new role in the Compliance and Data Protection team. This is a remote working role and applications from individuals who are seeking flexible working options are welcomed. Position: SIT33 Compliance Officer Location: Home-based, UK Nationwide, however, occa
Job Source: NFP People LTDLondon Area, United Kingdom
About the company:
The company is an innovative player in the Fintech sector, aiming to revolutionize how individuals manage their finances and invest for the future. They steer away from speculative ventures like cryptocurrency and yesterday's tech giants, focusing instead on empowering real people to optimize their investments. Currently, they are seeking a dynamic Compliance officer to join their UK team.
This role demands an individual keen to immerse themselves in various compliance facets within a progressive fintech enterprise.
Roles & Responsibilities:
Assist with everyday financial promotion approvals , complaint settlements , transaction evaluations, and onboarding inquiries.
Complete all required fields in Regdata reports and connect applications as required.
Establish and carry out the Compliance Monitoring program , which includes monitoring financial promotions and optimal execution.
Keep corporate policies and processes up to date, and assist with regulatory training.
Keep up with changes in regulations and incorporate this information into business policy.
Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
Assist in directing the establishment of compliance procedures and controls , guaranteeing adherence to AML/CTF, FCA regulatory compliance, and other laws .
Maintain an efficient compliance framework by working cooperatively with the Compliance team.
Collaborate between divisions to uphold compliance requirements , including AML Finance, Risk, Product, Tech, and Sales & Marketing.
Encourage a culture that prioritizes compliance over the needs of the customer.
Support the creation of compliance procedures that meet legal and commercial requirements.
Encourage risk-based compliance initiatives that safeguard customers and guarantee adherence to financial crime regulations.
Provide input on compliance-related reports for the Board and management, emphasizing any significant risks.
Expectations & Requirements:
Three or more years of experience in a buy-side investment business directly related to generalist compliance and financial crime .
Operational skills in creating and managing a compliance program and a practical understanding of UK regulatory criteria.
Possessing the necessary drive and determination to join a fast-growing start-up team where you will have the chance to have a big impact.
Familiarity with the FCA handbook, HMRC ISA regulations, JMLSG, and GDPR guidance
Flexibility and readiness in research using contacts in the industry and your knowledge to find answers in areas where you may not have prior experience.
The capability to simplify complicated issues and support peers with a service-oriented mindset.
Knowledge of the evolving regulatory environment and the inquisitiveness to identify prospects in technological and market advancements despite these shifts .
Ideally possess industry certifications in risk management and compliance, or are pursuing them.
How You Can Apply: You can apply directly or send us an email at [email protected]
Compliance Officer jobs in London Area, United Kingdom
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