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Axcis Education
Oxford Circus
We are currently recruiting a full-time Compliance Officer to join our team in our Central London office. This is a diverse and exciting role which may suit an applicant who is looking to develop their career in the field of SEND education recruitment or just administration in general. If you have a background in education and administration this c
Job Source: Axcis EducationHays Specialist Recruitment Limited
London
Your new company A well known international bank is looking for a regulatory compliance professional for a 6-month fixed-term contract. The bank caters to a diverse clientele, offering a range of banking services including retail, private, and corporate banking. Your new role In this role, you'll play a critical part in ensuring the Bank's adherenc
Job Source: Hays Specialist Recruitment LimitedMontresor Legal
, United Kingdom
Montresor Legal is actively seeking a Compliance Associate to be part of a London-based investment firm. This is an excellent opportunity that will allow the successful candidate to work on a variety of compliance matters, have direct contact with the business and be the point person for compliance matters. You will report to a highly supportive a
Job Source: Montresor LegalCoopman Search and Selection
Greater London
Job Description Coopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. The firm have offices across UK, Dubai & US. Key Responsibilities: Ensure FCA
Job Source: Coopman Search and SelectionCaravel
London
Job DescriptionOur client, a prominent tax and wealth management advisor, seeks a regulatory compliance officer for their London office.The ideal candidate will have a minimum of 2 years’ compliance experience, preferably (but not essential) in financial services. My client does offer training, so they are open to considering candidates with a vari
Job Source: CaravelRutherford
London
Job Description Rutherford is currently partnered with an elite private equity firm that are looking to hire a Compliance Officer into the London team. Responsibilities : Provide expert regulatory advice to the investment/deal teams. Manage code-of-ethics and compliance monitoring related tasks. Support on global regulatory projects and help the
Job Source: RutherfordTaylor Root
greater london, england, United Kingdom
We are supporting our Lloyds of London insurance client, who are hiring a Compliance Officer to join their growing team. The Compliance Officer will support the Senior Compliance Manager with generalist compliance duties, including; delegated authorities, updating and embedding policies and procedures, monitoring regulatory developments and provid
Job Source: Taylor RootMoneyfarm
London
Job Description Who we are: We’re a pan-European digital wealth manager with 128.000 active investors (growing fast!) and over £3.5 billion invested on our platform. With 170+ people across 4 offices in Italy and the UK, we’re supported and funded by Poste Italiane, Cabot Square Capital and Allianz. We started in 2011 in Milan with a simple vis
Job Source: MoneyfarmLondon Area, United Kingdom
Purpose
Help develop Lockton’s response to emerging regulatory risk and developments in the regulatory landscape. Contribute to Compliance’s assurance activities that ensure the business has the procedures, skills and tools it needs to deliver services and meet its strategic objectives. To help develop and maintain adequate policies and procedures to ensure compliance with the FCA Handbook across the business, provide training and guidance on the regulatory framework and provide support to all functions within the Risk & Compliance Unit.
Key Tasks & Responsibilities
Provide day-to-day support to the Head of Compliance
Escalating major issues and/or highlighting where trends exist to the Head of Compliance
Implement best practice strategies and to gain knowledge of office specific business activities.
Contribute to the overall development of the Compliance function’s strategy
Drive forward development of Management Information and Business Insights
Consider the impact of any matters of concern or changes that arise in the business, from our regulators, the insurance market or European Commission.
Responsible for horizon scanning and identification of emerging regulatory issues
Ensure Lockton has in place robust and effective procedures to mitigate regulatory risk
As required, responsible for regulatory submissions via Connect, Gabriel and any other FCA notifications
Record breaches and complaints, ensuring appropriate records are maintained and lessons learned with corrective actions implemented to prevent future problems.
Requirements
Essential
A solid understanding of the regulatory framework, particularly SMCR and ICOBS and their application within the business.
Ability to identify opportunities for business efficiency, develop and implement internal systems and controls.
Relevant transferable experience gained from a compliance role
Ability to build effective and positive business relationships, and deliver solutions to stakeholders
Ability to be professional and tactful in negotiation – to listen and be influential in achieving objectives
Proven ability to be flexible and adaptable to an ever-changing environment
Proven ability in problem solving skills, including the ability to resolve complex issues and devise actionable solutions
Ability to compile, analyse and interpret management information and data to facilitate decision making
Desirable
An understanding of or working knowledge of the legal and general principles applicable to insurance
An understanding of or working knowledge of the nature and structure of the insurance industry
An understanding of or a working knowledge of the broking process
An understanding of or a working knowledge of how to mitigate E&O
Compliance Officer jobs in London Area, United Kingdom
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