Posted by London Stock Exchange • £20K/yr to £100K/yr
We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us.
LSEG is more than a diversified global financial markets infrastructure and data business.
With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs.
Posted by Davies Talent Solutions • £40K/yr to £50K/yr
Role Overview
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.
General
Davies is currently working with a Research and Consultancy firm that is seeking a dedicated Compliance Manager to join their team.
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.
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.
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
You will work closely with various departments to monitor and enforce compliance policies, identify potential risks, and implement measures to mitigate those risks.
As a Compliance Officer, you will play a crucial role in ensuring that the company adheres to all relevant legal and regulatory requirements.
This is a hybrid role that combines working from their Central London office with remote work flexibility.
Compliance is developing a risk-based programme of ongoing monitoring, designed to check that key controls are being performed correctly by the business.
The Compliance function is evolving the way in which it manages risk, placing greater emphasis on understanding and measuring the key controls operated by business divisions.
The Compliance function is evolving the way in which it manages risk, placing greater emphasis on understanding and measuring the key controls operated by business divisions.
The Partner Compliance Specialist/Fraud Handling Specialist will be responsible for identifying, investigating, and mitigating fraudulent activities within our affiliate network.
Purpose of Position
This role demands a keen eye for detail, strong analytical skills, and a proactive and upbeat approach to prevent and address fraudulent behaviour.
Working under the overall direction of the Director, Corporate Compliance Assessment, fulfill the second line of defence mandate with respect to compliance oversight by providing independent assessment, review, testing and validation of compliance related controls operating across Canada Life UK business.
General
Canada Life UK looks after the retirement, investment and protection needs of individuals, families and companies.
We help to build better futures for our customers, our intermediaries and our employees by operating as a modern, agile and welcoming organisation.
We are currently seeking a Compliance Specialist to join our client's Legal and Compliance team.
As a Compliance Specialist, you will play a crucial role in providing specialised support across various areas of expertise.
This includes working collaboratively with stakeholders to prepare for audits, assisting with customer questionnaires, managing incidents, and conducting policy reviews.