Wonderful opportunity to join a leading wealth client as a compliance manager, working across the region with a range of IFA Networks, to assist them on their regulatory requirements.
As a Compliance Manager/Partner your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
The role is key in the identification and resolution of customer, regulatory, reputational, and operational risks, which are a key component in establishing an effective control function.
Posted by Page Personnel Finance • £200/day to £220/day
My client is seeking a diligent and detail-oriented Compliance Assistant to join a dynamic compliance team.
The successful candidate will play a crucial role in ensuring their operations adhere to regulatory requirements and internal policies, contributing to their ongoing commitment to ethical practices and regulatory excellence.
This is a hybrid 12 month contract, offering the flexibility to work both remotely and from their central London office.
You'll be responsible for overseeing the day-to-day compliance monitoring program within a small legal and compliance team, engaging in a diverse range of tasks.
MERJE are supporting a boutique Private Equity firm in their search for a Compliance Associate in London.
Key responsibilities include identifying and evaluating current and future regulatory changes, formulating policies and guidance to safeguard the firm's reputation, and ensuring thorough compliance with regulations and investment mandates.
Lead and develop the Investment Advisory Compliance team, setting development goals and annual objectives.
Perform detailed analysis, interpretation, and practical application of new regulatory requirements affecting the company's investment activities.
Provide practical guidance to the company's investment teams in Equities and Fixed Income on interpreting and applying regulatory requirements, industry codes, and internal policies.
Willis Towers Watson is a leading global advisory, broking and solutions company that helps clients around the world turn risk into a path for growth.
We design and deliver solutions that manage risk, optimize benefits, cultivate talent, and expand the power of capital to protect and strengthen institutions and individuals.
With roots dating to 1828, Willis Towers Watson has 40,000 employees in more than 140 countries.
Posted by Davies Talent Solutions • £40K/yr to £45K/yr
General
As a Compliance Manager, you will be instrumental in ensuring the organisation's compliance with regulatory requirements and industry standards.
Your key responsibilities will include developing and implementing compliance programs, conducting risk assessments, and fostering a strong compliance culture within the team.
Overview
Davies is currently working with a Research and Consultancy firm that is seeking a dedicated Compliance Manager to join their team.
MERJE has partnered with a high profile well reputed within professional services firm, and we're on the lookout for a Compliance Director to join their high-performing financial services regulatory compliance team.
This is an exciting role offering the chance to collaborate with experienced compliance and legal professionals, working on a broad range of regulatory compliance and financial crime matters.
The role is open to candidates based in either Leeds or London, with a hybrid working policy of three days per week in the office.
Posted by Nashrock Recruitment • £90K/yr to £100K/yr
General
Direct Reports: Senior Compliance Analyst, Compliance Assistant, Compliance Monitoring Assistant
The Compliance Manager will serve as the deputy to the Head of Regulatory Affairs, supporting day-to-day compliance operations, managing the Compliance team, attending key meetings, preparing reports, and stepping in when needed.