REGULATORY COMPLIANCE OFFICER TRADE jobs in MIDDLESEX, United Kingdom

Compliance team Requirements Compliance Experience: Proven experience with an active trade floor is essential Regulatory... regulatory standards Trade Floor Engagement: Regularly engage with trade floor personnel to address potential issues identified...

procedures. We have a core belief: teamwork makes the dream work. About the role The Regulatory Compliance Officer... responsibilities As a Regulatory Compliance Officer, you will be responsible for: Performing horizon monitoring to ensure HCFX...

and compliance framework. You’ll support the Chief Risk Officer (SMF4), Chief Compliance Officer (SMF 16) and MLRO (SMF 17) in... identifying, measuring, managing and monitoring operational risk, credit risk, conduct risk, regulatory compliance risk...

, meet the required standards and has made a commitment to good customer service. Role Info: Chief Operating Officer (COO... and capital schemes, we'd love to hear from you. Reporting to the Chief Executive Officer (CEO), you will play a key leadership...

to consultations on regulatory matters. Oversight of company marketing materials. Compliance review of all relevant client/prospect... assets of over $50bn. THE RESPONSIBILITIES: Supporting the CRCO in advising the business to ensure compliance...

Our client a leading global Investment Bank are recruiting for a Senior Compliance Officer - Control Room and Central... Compliance to join their established Compliance team with offices based in the city of london The Senior Compliance Officer...

. For more information visit Role Summary We are looking for a Senior Surveillance Compliance officer to join the team in London. The... role focusses on Surveillance (Trade and Comms) across a range of asset classes (Commodities, Listed Derivatives, Solutions...

. For more information visit Role Summary We are looking for a Senior Surveillance Compliance officer to join the team in London. The... role focusses on Surveillance (Trade and Comms) across a range of asset classes (Commodities, Listed Derivatives, Solutions...

roleholder will also take ownership of other key regulatory topics as required and in particular around post trade reporting...Job Description: The incumbent will act as a core member of the Business and Functions Compliance team, supporting...

The Regulatory Reporting Officer is responsible managing and overseeing Trade Reporting for the firm and the production... disclosures. Collaborate with Compliance, Risk, Finance, and Technology teams on regulatory changes. Manage European transaction...

The Regulatory Reporting Officer is responsible managing and overseeing Trade Reporting for the firm and the production... disclosures. Collaborate with Compliance, Risk, Finance, and Technology teams on regulatory changes. Manage European transaction...

initiatives, enhancing MI, supporting regulatory initiatives and driving change across the business Trade Origination - driving... and general regulatory rules Ensure that compliance and other compulsory trainings are up to date Cooperate closely with support...

compliance (FCC) environment. Be the point of contact for complex and manage the queue of FCC Transactions Screening and Trade... Broad financial crimes regulatory knowledge including correspondent banking and trade finance best practice. Strong second...

best execution, market abuse, fair & timely trade allocation, and cross trades. Perform the Compliance Monitoring Plan (CMP) control... to regulatory requirements and industry best practice. Support the Gatekeeper within Equity and Fixed Income, ensuring compliance...

Responsibilities Assist the Compliance Officer in designing/improving the Compliance Monitoring Programme framework and carry out... to front office staff in resolving compliance and regulatory issues arising from sales and trading activities; Resolve trading...

Job Description: Main purpose of the Role: To serve as the FCA registered Compliance Officer (SMF16). To develop... and manage regulatory risk. To manage a team responsible for delivering the Compliance Programme, providing advisory support...

understanding of financial institutions with scope to learn from senior compliance colleagues. The intern will help with the... their monitoring abilities. Also assist with producing MI/KPIs to relay back to senior Compliance management for reporting purposes...