FCA COMPLIANCE OFFICER jobs in ENGLAND ENGLAND, United Kingdom #3

Summary of Role To resolve complaints made to the firm according to the Financial Conduct Authority’s (FCA) Dispute...

's CMP, under guidance from the Compliance Officer. Prepare reports in respect of all monitoring for review by/discussion... with the Compliance Officer, in accordance with Company guidelines. Assist the Compliance Officer with monitoring...

Compliance, a unit which forms part of Global Compliance and Corporate Risk, is entrusted with providing regulatory advice... Compliance Oversight function. Provide leadership and guidance in relation to the the activities of all products & services...

Compliance Officer. We currently operate a hybrid working model at IBKR, and so you will be able to commute to our fantastic... Authority (“FCA”), covering all regulatory risk overseen by General Compliance notably including Product Governance, PRIIPS...

as either Compliance Officer or Compliance Manager. Note We will not accept any CVs via agencies Diversity & Inclusion Pictet... service. The Pictet Asset Management Compliance Team is organised around three main areas: Distribution, Trading...

team comprises over 60 individuals in the UK, reporting through to the Chief Risk Officer. The Compliance team located in...Location: London Job title: Compliance Specialist Who we’re looking for We are looking for a Compliance Specialist...

) Compliance Office team to invent simple solutions to difficult regulatory issues. Reporting to APUK's Chief Compliance Officer... Officer Team's reporting to governance committees including the Monthly Risk and Compliance Committee and the Quarterly Legal...

to Chief Compliance Officer To provide a key point of contact between the Marketing business lines and Compliance. The...Archax is an FCA-regulated exchange, broker and custodian for digital assets, targeted at professional...

Chief Compliance Officer and the Senior Management of the Howden UK&I businesses. To contribute to the Howden UK... to support our Risk, Legal & Compliance teams. This is a great opportunity for someone who has the expertise to provide...

Job Description: Main purpose of the Role: To serve as the FCA registered Compliance Officer (SMF16). To develop... and deliver a Compliance Programme, including an Annual Compliance Plan and Compliance Monitoring Programme, designed to identify...

to the Senior Compliance Officer heading the General Compliance team. We currently operate a hybrid working model at IBKR... services, seeks a generalist compliance professional to join our fast-paced business in a complex operating environment...

the ongoing regulatory and change programs by acting as the FCA compliance expert Prepare and submit regulatory reports... about emerging compliance trends and best practices Create and comment on compliance MI that feeds into the Compliance Officer...

Head of Compliance & Money Laundering Reporting Officer - Birmingham or London, UK (hybrid) Salary: up... Job Summary - Head of Compliance & Money Laundering Reporting Officer You will play a crucial role in ensuring Saible achieves...

Compliance, to join our high-performing UK Risk and Compliance team. You will report to the PPUK Chief Compliance & Risk Officer..., including in-depth knowledge of regulatory compliance spanning the UK environment, specifically expectations of the FCA and PSR...

and procedures in line with FCA regulations. Ensure ongoing compliance with all relevant AML laws and regulations. Oversee the... compliance. Act as the primary point of contact with the FCA and other regulatory bodies on AML matters. Ensure timely...

at Howden. Data Protection & Complaints Oversight Officer Manager: Operations Manager Department: KGMUS Motor... procedural issues and implement changes Able to make quick and precise decisions Good understanding of FCA regulations Good...

, overdraft services. As a Senior Officer – Commodity Finance, you will be responsible for the assessment of each credit proposal... Crime and Compliance departments to ensure prompt and effective delivery Prepare research papers on the commodity business...