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Compliance and MLRO - SMF16/17 - Banking London / Hybrid £100,000 - £130,000 per annum I am looking for a compliance and MLRO for a European banking institution. You will be experienced wi...
We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board. The role holder will be responsible for t...
An international bank specializing in prime brokerage and institutional equities is looking for a Head of Compliance and Financial Crime to join their team. The role holder will be expected to take on...
My client is a B2B Fintech. We are seeking a Compliance professional who has experience of creating risk assessments and can implement a risk framework. This would suit an individual who has a complia...
Our client is seeking an individual with experience and capability of holding SMF3 function as Managing Director of their growing IFA firm. This unique opportunity is available to join an IFA firm le...
Our client is seeking an individual with experience and capability of holding SMF16 and SMF17 functions within their growing IFA firm. This unique opportunity is available to join an IFA firm led by ...
Head of Compliance & MLRO – Wealth Management Experience Required Ref: 4014G £120K + Bonus & Benefits Hybrid (City of London) We have...
We are exclusively recruiting for a Global Investment Management company looking for a Head of Compliance & MLRO (SMF16/17). Main Responsibilities:
Our client is a rapidly growing mortgage provider who offers bridging facilities across the UK. Although being a new company to the market they have major plans for growth across the next 10 years and...
A Boutique Interdealer Brokerage firm based in London is looking to recruit a Compliance Associate to join the business to assist with the day to day compliance duties with a development plan in place...
Head of Compliance = Pensions - £60,000-£80,000 My Pensions client are looking for an experienced Compliance Manager to join our Compliance team, reporting directly into the Managing Direct...
Senior Regulatory Compliance Consultant Our client is a FCA regulated investment firm. The firm provides multi-asset execution, liquidity prime brokerage, and trading technology solutions for institu...
Compliance MonitoringRegulationsTechnical ComplianceCASSTechnology SolutionsA Boutique Interdealer Brokerage firm based in London is looking to recruit a Compliance Associate to join the business to assist with the day to day compliance duties with a development plan in place...
Our leading client is looking for senior regulatory compliance associate who can assist with liaison with regulators, monitoring and completion of ongoing compliance obligations, and development and m...
FCASMF16SMF17Who are HSBC Innovation Banking We’re the power behind the UK’s forward-thinkers, future-makers and leap-takers, helping them ignite the bold ideas that reshape our world. We off...
A Boutique Interdealer Brokerage firm based in London is looking to recruit a Compliance Associate to join the business to assist with the day to day compliance duties with a development plan in place...
Responsibilities include:
The successful candidate will be expected to;
They have performed exceptionally well since inception, with recent perfromance resulting in a significant increase in AUM and headcount. The hire will be the most senior Compliance professional for ...
Job Title: Compliance Manager Industry: Financial Services Location: Liverpool Salary: £40,000 - £50,000 Job r...
ComplianceFinancial PlanningSMF16Key Responsibilities:
Reed Financial Services are delighted to be able to represent a well established Chartered Financial Planning firm in their search for a Trainee Financial Advisor. This would be a golden opportunity ...
Reed Financial Services are delighted to be able to represent a well established Chartered Financial Planning firm in their search for a Trainee Financial Advisor. This would be a golden opportunity ...
Reed Financial Services are delighted to be able to represent a well established Chartered Financial Planning firm in their search for a Trainee Financial Advisor. This would be a golden opportunity ...
Reed Financial Services are delighted to be able to represent a well established Chartered Financial Planning firm in their search for a Trainee Financial Advisor. This would be a golden opportunity ...
The Role
A market-leading UK-wide Financial Services Consultancy and Support Services provider, specialising in DFM and Wealth Management businesses, is looking to expand its sales footprint and client base. ...
Compliance Officer - Wealth Management / Securities Trading Sun Global Investments Limited is an idea-centric wealth and investment management firm for Professional Investors...
Senior Compliance Manager Mortgage FinTech Birmingham OR London (Hybrid) Next step - Head of Compliance Are you looking ...
ComplianceCompliance MonitoringMortgage BrokersMortgage LendingAn exciting opportunity has arisen for an experienced compliance professional to join a highly-reputable financial planning firm in Cheshire. You will be based out of their Sandbach office (one of the...
ComplianceCompliance MonitoringFinancial PlanningReportsFile ReviewWe are delighted to be working with a retail financial services company within the insurance space, who are looking to appoint a Head of Compliance to join their team. The successful candidate will be...
Our Clients is a market leading and vey progessive Financial Planning firm and they are currently looking for an experienced Compliance Officer to support their Asset Management and Platform Managemen...
ComplianceFinancial ServicesMiFIDPosition: Compliance Manager Reporting to: SMF16 Location: Norwich (office based) Working Hours: Monday to Friday 09.00 to 17.00 ...
A fantastic opportunity has arisen to join a leading Northeast based practice of independent financial planners as Compliance Director or Head of Compliance. On offer to the successful candidate will...
Senior Compliance Associate
£55,000 - £65,000 + Bonus + Benefits
London City - Hybrid by agreement with Head of Compliance
A fantastic opportunity has arisen to join a leading Northeast based practice of independent financial planners as Compliance Director or Head of Compliance. On offer to the successful candidate will...
Is it time for a new challenge with an ambitious, growing business Have you taken your current Head of Compliance role as far as you can Or are you looking for your first move into s...
ComplianceCorporate FinanceInsuranceInvestment ManagementMLROA rare opportunity has arisen to join one of the UKs longest standing Independent Financial Advisers and Investment Managers at a senior and potentially, director level. My client is looking for a Com...
An exciting opportunity has arisen for an experienced compliance professional to join one of the leading financial services businesses in the north east. The firm are open to receiving applications ...
ComplianceCompliance MonitoringFinancial ServicesCompliance ProceduresCompliance OversightA small prestigious international Bank is seeking an experienced Compliance Officer to be responsible for maintaining effective compliance policies and controls for the London branch. Your duties wil...
Background on role Staude Capital is looking for a reliable and experienced compliance and operations operator to become part of our highly focused team. This person would head up t...
Reed Banking and Financial Services are delighted to be working with an international bank in their search for a Head of Compliance SMF16. As the Head of Compliance you will have ove...
Is it time for a new challenge Youve probably taken your current role in as far as you can, through an FCA authorisation process and beyond. Youve implemented a robust Compliance fra...
ComplianceCompliance MonitoringFinancial ServicesCASSAn Interim Head of Compliance is required by a rapidly expanding, Funeral Planning and Life Assurance firm that has submitted 2 separate applications to the FCA. The main focus of this role will there...
ComplianceFinancial ServicesA leading mortgages advisor Description Be the dedicated person for compliance and risk oversight function and hold the controlled functions with the FCA (SMF16) Be a leader in emb...
JOB ALERT - My National IFA client seek a Compliance Manager to join their business , you will be responsible for all compliance duties and lead a dedicated team of 3 and working clos...
JOB ALERT - My National IFA client seek a Compliance Manager to join their business , you will be responsible for all compliance duties and lead a dedicated team of 3 and working clos...
JOB ALERT - My National IFA client seek a Compliance Manager to join their business , you will be responsible for all compliance duties and lead a dedicated team of 3 and working clos...
JOB ALERT - My National IFA client seek a Compliance Manager to join their business , you will be responsible for all compliance duties and lead a dedicated team of 3 and working clos...
Key Duties in this interesting, varied, interim role.
Expanding international bank based in central London is looking for a meticulous and confident Compliance Advisory Manager to join their growing team. The purpose of the role it to assist the Head of ...
Up to £85,000 + Bonus + Benefits Our client is a well-respected financial organisation that are looking for an entrepreneurial Head of Compliance Monitoring to join the business. This is...
Twenty84 is helping a well-established Crypto company find an experienced and committed Head of Compliance / MLRO to join their inclusive and talented team. This full-time Head of Compliance role is b...
AMLComplianceRisk ManagementMLROCryptoJob Title: Compliance Manager Industry: Financial Services Location: Sale, Manchester Salary: £75,000 Reference Num...
ComplianceManagementReportingRiskOversightWorking for a growing Payments firm in the UK, you will take over all financial crime and compliance duties. This includes taking the SMF17 role and liasing fully with the FCA. Fantastic opportunity f...
Head of Compliance and Financial Crime, SMF 16/17. London based offices with flexible hybrid working from home and office based on need of the position. (Aim is 2/3 days per week in the office). Key R...
Head of Compliance and Financial Crime, SMF 16/17. London based offices with flexible hybrid working from home and office based on need of the position. (Aim is 2/3 days per week in the office). Key...
MLROHead of ComplianceHead of Financial CrimeSMF16SMF17Chief Compliance OfficerThe role reports to the COO Private Equity and will work closely with Head of Legal, Private Equity, as part of a small multi-disciplinary team of legal, tax and compliance professionals. The role ret...
We are currently working exclusively with a well-established & successful UK based electronic trading platform who are currently setting up a new banking business to be based in Cardiff (hybrid workin...
ComplianceManagementMCOBBCOBSReference: C375 Job Title: Part Time Compliance Officer - Private Equity Company Information: A Private Equity firm is looking to hire a Compliance Officer (SMF16 & 17) on a part time basis to join th...
We are looking for an enthusiastic Head of Compliance (or exceptional Senior Compliance Manager) to join our team in the consumer credit broking & mortgage intermediary space. You will be working wit...
I am representing a National IFA firm who seek a Compliance Director on a FTC/ interim basis. Group Director of ComplianceInterim - 6 months minimum contract Delegated respon...
I am representing a National IFA firm who seek a Compliance Director on a FTC/ interim basis. Group Director of ComplianceInterim - 6 months minimum contract Delegated respon...
Working for a growing Payments firm in the UK, you will take over all financial crime and compliance duties. This includes taking the SMF17 role and liasing fully with the FCA. Fantastic opportunity f...
The firm run a variety of alternatives businesses. The CCO (SMF16 and SMF17 function holder) will have coverage of all business lines and management of a small team (with budget to hire an additional ...
THE RESPONSIBILITIES: Conduct Trade surveillance for trading activity across the business areas to identify potential instances of market abuse through the analysis of alerts generated by the surveill...
Creating, reviewing and updating Compliance policies and procedures in line with regulatory guidelines Developing a programme for Compliance Training and competency development Horizon scanning and ma...
Chief Compliance Officer & MLRO Investigo are partnering with a growing FinTech Trading Platform to recruit a Chief Compliance Officer and MLRO. Your role will be to undertake the roles of SMF16, SMF1...
Company description:People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you ...
Overview The Head of Compliance role plays a key leadership role maintaining high standards across the LFSL business, while constantly looking for new ways to improve efficiencies and performa...
Head of Compliance Link Fund Administrators 6 month contract Remote working – Office location is in London (May be required in the office post Lockdown) In Scope of IR35 (PAYE/UMB only) Ov...
A Head of Compliance & MLRO (SMF16 and SMF17) is required by an exciting early-stage digital bank to build out and manage their Compliance and Financial Crime operations. You responsibilities will in...
Banking Compliance Financial Services MLRORole background My client is a leading regional Building Society which has its head office in Newport, South Wales. The Society provides a range of mortgage and savings products and a broad range of ...
Compliance Regulaty Requirements Risk Data Protection ManagerWe are exclusively recruiting for a junior COO to join a growing business with the role requiring an individual with Legal & Compliance background looking to expand into a COO role at this growing bus...
Title: Head of Compliance / MLRO (SMF16/17) Contract type: Permanent Salary: Competitive Location: London, UK FINCO Search is working with an internationally established private bank servicing High Ne...
Fintelligent are supporting an innovative finance services group to secure the services of a Chief Compliance Officer to overseeing the Compliance (SMF16) and Risk Divisions. This is a fantastic oppo...
Compliance Crest Euroclear HMRC ISA Regulaty Risk CASS ICAAP PRA FCA GDPR SMF16In this role you would: Run the UK Branch financial crime and compliance (FCC) and internal controls functions. Review and approve/challenge any new accounts in terms of CDD and KYC information. Maint...
This is a brand-new role as Head of Compliance, reporting in to the Head of Legal who until now, had been performing these duties. This position is intended to be SMF16/17As things stand there are few...
I’m working exclusively with an International Digital Banking and Asset Management FinTech start-up to recruit the firm’s first Head of Compliance & MLRO (SMF16 & SMF17). The business is highly am...
Asset Management Banking Compliance Financial Services MLROOlivetree was founded on key guiding principles which direct our behavior, our decision making, and our interaction with each other and our stakeholders. At the core of those principles is a collabora...
3 - 6 month opportunity Working for a niche advisory business, our client is looking to hire a Director on an interim basis to take on the SMF16/17/3 roles. A Compliance SME plus experience of gabriel...
I am currently partnering with a highly reputable Investment Platform as they look to recruit a Head of Compliance. If you have extensive Compliance experience working in the Asset/Life space, please ...
A Head of Compliance is required by a rapidly expanding, highly entrepreneurial Financial Services provider as they prepare for the imminent arrival of FCA regulation. It is therefore likely that this...
Compliance Financial ServicesWe are working with an IFA network with 8 Advisors who urgently seek a Head of Compliance to take SMF16 and SMF17 responsibility. Responsibilities as follows:
THE RESPONSIBILITIES: Act as a delegate to the Director of Global Compliance in the Financial Crimes Committee and Risk Management Committee representing Compliance before those Committees. Undertakin...
Location: Home-Based initially. Can be based in London, Bristol, Manchester or Glasgow once restrictions allow. Job Introduction This top tier Commercial Law firm has significant operations that are...
Compliance Compliance Moniting Regulaty Requirements Compliance Procedures Legal ComplianceLocation: Home-Based initially. Can be based in London, Bristol, Manchester or Glasgow once restrictions allow. Job Introduction This top tier Commercial Law firm has significant operations that are...
Compliance Compliance Moniting Regulaty Requirements Compliance Procedures Legal ComplianceLocation: Home-Based initially. Can be based in London, Bristol, Manchester or Glasgow once restrictions allow. Job Introduction This top tier Commercial Law firm has significant operations that are...
Compliance Compliance Moniting Regulaty Requirements Compliance Procedures Legal ComplianceA global bank with a selective but strong presence in London is looking for a new MLRO / Head of Compliance. In this role, you will lead a small team of 3 passionate financial crime and compliance spe...
Our client is an award winning PE backed fintech, who provide an investment platform service to large number of investment and wealth managers. With an enviable client portfolio, our client offers a c...
Job Title: Chief Compliance Officer - SMF16 & 17 (CF10/CF11) Salary: to £125K plus benefits Contract type: Permanent Location: London, UK FINCO Search is representing a London based, yet interna...
Reporting to the CRO who holds both the SMF4 and SMF16 the appointed candidate will lead a small team of experienced staff responsible for all aspects of compliance and financial crime. This is a bro...
The Client: My client is a highly reputable financial planning practice that prides themselves on the personal touch that they provide their clients. They offer tailored financial solutions on a rang...
My client is an established dynamic fast growing investment company providing innovative services to retail customers and SME’s. The current Head of Compliance is leaving the industry and they are s...
You will have the opportunity managed the firms compliance agenda across the existing business practice and multiple new geographic hubs, including the upcoming launch of a US office. The successful ...
Job Role
Maldon Partners are recruiting a Chief Compliance Officer on a permanent basis for a leading independent Equity Research Provider based in London. The role requires an experienced candidate who has s...
Job Title: Chief Compliance Officer - SMF16 & 17 (CF10/CF11) Salary: to £125K plus benefits Contract type: Permanent Location: London, UK FINCO Search is representing a London based, yet interna...
Recruit Wealth are delighted to be representing a national Financial Services and Wealth Management brand who are now looking to recruit their new Chief Operating Officer. The business is currently g...
Due Diligence Money Laundering SAR Oversight SocaJob Title: Chief Compliance Officer - SMF16 & 17 (CF10/CF11) Salary: to £125K plus benefits Contract type: Permanent Location: London, UK FINCO Search is representing a London based, yet interna...
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