This Compliance Manager role will be a subject matter expert in investments and funds, and be responsible for advising on and overseeing the clients investing products, as well as broader Compliance duties.
The Risk & Compliance team plays a key role in protecting the clients customers and business.
To assist in the provision of high-quality compliance governance and supervision.
Reporting to the Managing Director, you will play an important role in ensuring compliance with relevant legislation and procedures.
Implementing and maintaining the operation of effective systems and controls to mitigate business risks and to ensure compliance with FCA Regulation and the regulatory framework for ARs.
An exciting opportunity has arisen for an experienced Risk and Compliance Manager to join a digital assets firm as part of their risk and compliance team in their London or Luxembourg office.
The Risk and Compliance Manager will be involved in
Challenging existing processes to ensure we are performing controls in line with and/or exceeding industry standards.
Assessing new products, clients, crypto assets/blockchains and geographies.
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world.
We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information company.
Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems.
A small European Bank has an exciting opportunity for an experienced Compliance Manager.
Your responsibilities will include
Ensuring compliance policies/procedures are applied at all levels, and that any changes meet regulatory requirements and are communicated to the London branch.
Being the central point of contact for staff/law enforcement agencies regarding the reporting of suspicions/enquiries.
Reports to the Head of Global Framework Compliance, this role is responsible for managing a multi-discipline team that maintains and oversees the delivery of the Compliance Framework disciplines of Regulatory Change Management, Compliance Rule Mapping, Compliance Risk Assessments and Compliance Monitoring.
This manager in Compliance Framework also oversees the maintenance of Northern Trust governance documents database (OneBook) as well as Compliance-owned governance documents; and manages partners who provide reporting to the Global Compliance Committee and Compliance and Ethics Oversight Committees on the Compliance Framework and Compliance-owned Risk Profiles.
Compliance Framework looks to ensure a deep understanding of and adherence to the in-scope disciplines of Compliance Framework by Regulatory Entity and (Global) Practice Compliance officers globally.