Associate Compliance Officer Jobs in City of London, England | Glassdoor
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Associate Compliance Officer Jobs in City of London, England

193 Jobs

  • 4.2
    BookingBug – London, England
    9 days ago 9d
    from you We are looking for an Information Security ComplianceOfficer to join our Engineering team based in Farringdon in our… conduct ISMS Audits to meet Compliance and legislative requirements, as well as internal audits and compliance checks against company…
  • Raymond James Investment Services Ltd – City of London, England
    NEW
    Job Title: COMPLIANCEOFFICER Department: COMPLIANCE & LEGAL Directly Responsible To: COMPLIANCEOFFICER & DEPUTY MLRO… and assistance within the Compliance team when required Other duties as assigned ComplianceOfficer - Specialist/Technical…
  • Panoramic Associates – London, England
    9 days ago 9d
    Panoramic Associates are excited to assist a London Market Broker in their search for a Compliance Manager to join their team… Your duties as Compliance Manager will include: Implementing programmes and policies to maintain FCA compliance Review/agree…
  • 3.9
    Goldman Sachs – London, England
    NEW
    PWM EMEA and associated projects impacting on the PWM business. KEY RESPONSIBILITIES Providing Compliance input into various… the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program…
  • 2.6
    Vitality – London, England
    NEW
    including: Complaints Lapse rates Breaches Exclusive Associates Attend Joint Management Committees Site visits Risks… identified and acted upon and to work with the Head of Sales Compliance to provide robust oversight. Accountabilities Collation…
  • 3.2
    EBRD – London, England
    7 days ago 7d
    the relevant financial markets and products, including the associated risk quantification, documentation and operational requirements… United Kingdom Office City London Division Risk and Compliance Group Dept. / Bus. Group Risk Management Business Unit…
  • 3.9
    O2 – Slough, Berkshire, South East England, England
    NEW
    small but mighty Compliance Team are on the hunt for an experienced ComplianceOfficer. As the Complaince Officer, we`ll need you… briefing senior management on risks associated with businesses processes -Managing compliance queries and reported breaches via…
  • 3.7
    Morgan Stanley – London, England
    9 days ago 9d
    EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firms compliance with core regulatory… of the EMEA Compliance Testing Team, the focus of this role will be helping to deliver the Departments Compliance testing work…
  • 3.7
    Interactive Brokers – London, England
    NEW
    The key objective of this role is to assist the ComplianceOfficer in order: To ensure adherence to market conduct… AML obligations by assisting the Money Laundering Reporting Officer ("MLRO") under UK and international laws and regulations pertaining…
  • 3.7
    Interactive Brokers – London, England
    NEW
    clients. The key objective of the Compliance/AML Associate role is to ensure that IBUK is in compliance with the rules and regulations… and feedback to ensure expedient compliance account processing. The Compliance/KYC Associate will also be expected to provide…
  • 3.4
    SEI Investments – London, England
    11 days ago 11d
    or the relevant regulator associated with the topic/theme of the review are considered. o Compliance monitoring testing procedures… approach, review the compliance monitoring work of the Firm’s Compliance Officers. › Support the Compliance department with the…
  • 3.7
    Morgan Stanley – London, England
    NEW
    business. This London based role sits within the Coverage Risk Officer function which operates to ensure the risk profile for each… audit background. Understanding of Operational Risk and associated regulations. Project / Program Management experience.…
  • 3.6
    Bloomberg – London, England
    NEW
    role? Bloomberg is looking for an experienced AML ComplianceOfficer to join the AML team which covers the multitude of businesses… regulatory developments, for example MLD4 and MiFID2 and associated knowledge of trading venues, MTFs, and SEF We'd love to…
  • 4.0
    Advantage Resourcing Uk Limited – London, England
    6 days ago 6d
    Group Compliance Director to quickly resolve issues as they are identified Act as MLRO (money laundering reporting officer) for… Management Framework, and an effective compliance strategy, infrastructure and associated policies, consistent with recognised and…
  • 3.7
    J.P. Morgan – London, England
    7 days ago 7d
    Room currently consists of 8 employees. Target Level Associate Key Duties & Responsibilities · Day to day involvement… involvement in the core responsibilities of Control Room Compliance including: · maintaining and monitoring the firm's Chinese…
  • 3.4
    LaSalle Investment – London, England
    7 days ago 7d
    PowerPoint slide archives Coordinating with the regional complianceofficer. Organising and coordinate of investors’ due diligence… Job Title: Associate Location: UK, London Department: Client Capital Group Employment Type: Full Time To Apply: Please email…
  • 3.7
    Morgan Stanley – London, England
    8 days ago 8d
    EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory… deadlines. -Working knowledge of a range of asset classes and associated rules and regulations. -Risk identification: able to assess…
  • 3.5
    Wells Tobias – London, England
    27 days ago 27d
    market is seeking an accomplished ComplianceOfficer to take control of the Compliance & Risk Management function of the firm.… on risks associated with business processes, manage all compliance queries and co-ordinate regulatory and compliance training.…
  • 3.4
    BNP Paribas – London, England
    15 days ago 15d
    Manager of Registrations/Head of Central Compliance as well as other key Compliance, HR, Legal and Business stakeholders.… contravened the policy. To perform all monitoring tasks associated with the gifts and entertainment function. Personal Account…
  • 3.9
    Goldman Sachs – London, England
    4 days ago 4d
    the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program… of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended…
  • 3.4
    BNP Paribas – London, England
    24 days ago 24d
    and internal Compliance requirements, including, but not limited to, the London Compliance manual and Compliance policies and… Head of Financial Crime Investigations. Oversee tasks associated with the delivery of an investigation including, planning,…
  • 3.4
    Société Générale - UK – London, England
    9 days ago 9d
    as required Attendance at relevant industry and trade association seminars Profile: COMPETENCIES AND WORK EXPERIENCE… BUSINESS LINE OR DEPARTMENT To actively and promptly undertake Compliance communication monitoring of key risk areas of Societe Generale…
  • 3.3
    Clarion – London, England
    1 days ago 22hr
    the merger between two of the country's largest housing associations, Affinity Sutton and Circle Housing Group. With over 125,000… Through various methods including sample testing, the review of compliance inspection certificates, and safety checks you will be responsible…
  • 3.4
    SEI Investments – London, England
    15 days ago 15d
    approach, review the compliance monitoring work of the Firm’s Compliance Officers. ›Support the Compliance department with the… significant compliance and/or regulatory experience and with strong evidence of a clear desire to work in a dedicated Compliance role,…
  • 3.6
    Cognizant – London, England
    NEW
    Life Sciences Regulatory ComplianceOfficer will report to the Life Sciences Chief ComplianceOfficer. Education/experience… relating to regulatory and compliance. The Life Sciences Senior Regulatory ComplianceOfficer will coordinate and support…
  • 3.4
    Société Générale - UK – London, England
    10 days ago 10d
    Summary of the Key Purposes of the Role The ComplianceOfficer of the Control Room provides pro active support to the… Global Investment Banking Compliance team To maintain theWatch, Restricted and Insider Lists and associated processes To clear…
  • Cranleigh Scientific – London, England
    1 days ago 22hr
    Lab Quotations Officer -Chemistry- LIMS -GMP - SW.London-c.£20k A leading pharmaceutical company is seeking an Enquiries and… and Quotations officer to join its Business Operations department. This is a permanent, NON-LAB based role but within a pharmaceutical…
  • 3.7
    Morgan Stanley – London, England
    1 days ago 20hr
    business. This London based role sits within the Coverage Risk Officer function which operates to ensure the risk profile for each… audit background. Understanding of Operational Risk and associated regulations. Project / Program Management experience.…
  • 4.8
    Radley James – London, England
    5 days ago 5d
    this fast passed growing business as a hands on Data Security Officer. My client is looking for someone who has a strong knowledge… security standards and Gambling Commission compliance. Achieve and maintain ISO 27001 compliance and related standards such as those…
  • 3.7
    J.P. Morgan – London, England
    18 days ago 18d
    www.jpmorganchase.com/ . Our Compliance Function With a diverse team of Compliance professionals supporting all areas… thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on…
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