The Compliance Officer is responsible for preparing and submitting mandatory reports to clients and regulatory authorities across various jurisdictions.
This role includes making statutory disclosures, establishing a strong control environment, and updating processes based on regulatory changes.
Key Responsibilities
Submit timely and accurate reports to global regulatory authorities (e.g., SEC Form PF, SEC Schedule 13, FCA Gabriel reporting).
Our client, a reputable and successful name within financial services, are seeking a Regulatory Compliance Analyst to join their current team.
This is a great opportunity for applicants with a minimum of 12 month's experience within compliance, financial crime, monitoring reviews, AML, sanctions or transaction monitoring.
The successful candidate will have
At least 1 year's relevant experience within the UK banking or financial sector.
Duties will include: Supporting the Head of Compliance to ensure the firm meets its regulatory requirements as set out in the DPB Handbook.
My client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements.
Support the firm in its application for its FCA Authorisation, ensuring policies and procedures meet the new requirements.
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.
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.
Due to growth my client, a leading Financial Services company, currently seek an experienced Compliance / Governance specialist to join their Employee Benefits division.
Duties will include
Ensuring staff competency across the Group Risk division.
Assessing customer claims, complaints and appeals.
They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
The Senior Compliance Advisory Manager is responsible for ensuring that the the business Group complies with all relevant laws, regulations, and internal policies.
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.