Senior Trade Compliance Officer Jobs in London, England | Glassdoor

Senior Trade Compliance Officer Jobs in London, England

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  • 3.6
    Credit Suisse
    London, England
    Business catch ups with Senior Management (Trading, Sales, Fund Linked Products, COO) Personal Compliance obligations, including… Global Markets Compliance – Derivatives Coverage A position has arisen in the Coverage Compliance Team within the Global…
  • 13 days ago 13d
    Zoek
    Gatwick, England
    A Compliance Officer is required to support a team of Senior Compliance Officers at a global equities broker based in London.… as the Compliance Officer will be to support the compliance team.You will need to have the basic foundations of compliance within…
  • 3.7
    Morgan Stanley
    London, England
    aspects of the Compliance Registrations function including but not limited to: -Approved Persons Regime; -Senior Manager and Certification… EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firmâs compliance with core regulatory…
  • 3.3
    5 days ago 5d
    AXA
    London, England
    position is within the Compliance department of AXA REIM SGP (UK), to support the UK Senior Compliance Officer in both regulated and… sectors (mortgages, CMBS, bonds, etc.) - Instruments traded on regulated or non-traded markets - Units or shares of UCITS or AIF - Financial…
  • 3.7
    Morgan Stanley
    London, England
    essential) -Previous Compliance coverage experience relevant to electronic trading would be beneficial. Senior experience in relevant… Background on the Team The team provides Compliance Coverage to the e-trading franchise on a cross asset basis. The newly created…
  • 3.4
    8 days ago 8d
    Huxley Associates
    City of London, England
    Reference: HA-32538029 A Compliance Officer is required to support a team of Senior Compliance Officers at a global equities… the Compliance Officer will be to support the compliance team. You will need to have the basic foundations of compliance within…
  • LMA
    London, England
    talented compliance officer to join them. The incumbent will report to the firm's London based Chief Compliance Officer. Some… Reviewing the firm's trading activities Working closely with the investment team with regards to compliance matters You will also…
  • Banking Support
    City of Westminster, England
    based in the City are recruiting for a Senior Compliance Officer/VP on a permanent basis to manage and provide portfolio monitoring… support for portfolios trading the UK, Europe, Asia and the US. Reporting into the Head of Compliance you will be responsible…
  • TRACS
    London, England
    POSITION: Senior Project Support Officer (PSO)LOCATION: Central London DURATION: 6 - 12 Months Contract with the option for further… origin, sexual orientation or religion. Capita TRACS is a trading name of Capita Resourcing Ltd. Services offered is those of…
  • 3.4
    Man Group
    London, England
    Job Title: AHL Senior Compliance Officer Job Code: 968400 Skill Band: Compliance Location: UK - London Type: Permanent… maintenance of the alpha capture compliance program Advise and support in developing and managing a trade surveillance program Perform…
  • 3.4
    CORPORATE
    London, England
    other compliance colleagues. • Advise the Chief Compliance Officer of S&P Global Platts with regard to significant compliance matters… Global is seeking an experienced Compliance Officer (CO) to join the S&P Global Platts compliance function in EMEA. The CO will be…
  • 3.7
    Morgan Stanley
    London, England
    Sales and Trading Compliance. The role involves reporting directly into the EMEA Head of Fixed Income Compliance. Principal… and compliance professionals relating to areas across Fixed Income Compliance d) Business Engagement Engage with senior business…
  • 3.9
    Nicoll Curtin
    London, England
    is looking for a Surveillance Compliance Officer to conduct daily surveillance of all trading activity to identify suspicious or… SURVEILLANCE COMPLIANCE OFFICER BANKING COMPLIANCE AND SURVEILLANCE JOB IN LONDON CONTRACT My client, an Investment bank is…
  • 2.7
    7 days ago 7d
    Capita Resourcing
    London, England
    Examinations Officer, (London or Norwich based)We are seeking an Examinations Officer to join our team. The role is for AXELOS… qualifications such as PRINCE2 and ITIL. The Examinations Officer will ensure the smooth operation of the Exam Institute examination…
  • Essential Employment
    Grays, England
    Trading Standard Support Officer needed in Grays £7.88 - £9.86 per hour Ref: 235202 This is a temporary full time position for… prevent crime and disorder ·To carry out the duties of a Support Officer and for that purpose to be suitably experience and competent…
  • 3.4
    AXA Rosenberg
    London, England
    Manager and the Senior Compliance Monitoring Officer with the design, implementation and identification of a Risk Based Thematic and… responsibility of the Compliance Monitoring and Surveillance Oversight Officer will be to assist the Compliance Monitoring Manager…
  • 3.4
    Citibank
    London, England
    the EMEA region. Key Responsibilities: ICG AML Compliance Officer for Markets and Securities Services The role will… Team, and Local AML Compliance Officers as necessary, and present to Commitment Committee, BPC or other senior escalation forums…
  • Banking Support
    City of Westminster, England
    based in the City are recruiting for a Senior Compliance Officer/VP on a permanent basis to manage and provide portfolio monitoring… support for portfolios trading the UK, Europe, Asia and the US. Reporting into the Head of Compliance you will be responsible…
  • 3.5
    CitiGroup
    London, England
    region. Key Responsibilities: ICG AML Compliance Officer for Markets and Securities Services The role will… Team, and Local AML Compliance Officers as necessary, and present to Commitment Committee, BPC or other senior escalation forums…
  • 3.4
    Société Générale
    London, England
    report to the Senior Compliance Officer GIB COO & Project , located in Paris. Summary 1. Improve GIB processes, reporting… . • The Compliance Projects and Team Operations Officer of the London Global Investment Banking Compliance team will report…
  • 3.9
    10 days ago 10d
    Adzuna
    London, England
    Aylesbury, please feel free to contact Sarah Stevens, Senior Intel Officer on 01296 388771. For an informal discussion about the… opportunity to build on your Trading Standards career and make a real difference? We are seeking to recruit Trading Standards Officers.…
  • Law Support
    London, England
    based in the City are recruiting for a Senior Compliance Officer/VP on a permanent basis to manage and provide portfolio monitoring… support for portfolios trading the UK, Europe, Asia and the US. Reporting into the Head of Compliance you will be responsible…
  • Banking Support
    City of London, England
    based in the City are recruiting for a Senior Compliance Officer/VP on a permanent basis to manage and provide portfolio monitoring… support for portfolios trading the UK, Europe, Asia and the US. Reporting into the Head of Compliance you will be responsible…
  • 3.1
    6 days ago 6d
    State Street
    London, England
    Markets, Trading, Derivatives. Job Opening ID Job Opening ID: 154025 Posting Title: Senior Auditor,Officer… sound audit theory and compliance with the department’s risk based audit methodology. * The Senior Auditor will ensure that…
  • Broadgate Search Ltd
    London, England
    I am recruiting for a Compliance Monitoring Officer (post-trade monitoring) on behalf of a leading Asset Management client in… to assist the Head of Compliance Monitoring within the Investment Compliance team with daily Post-Trade Monitoring. Candidates…
  • 4 days ago 4d
    JobsOnline.co.uk
    London, England
    Examinations Officer, (London or Norwich based) We are seeking an Examinations Officer to join our team. The role is for AXELOS… management qualifications such as PRINCE2 and ITIL. The Examinations Officer will ensure the smooth operation of the Exam Institute examination…
  • 2.5
    IBG LLC
    London, England
    and publicly traded under the symbol "IBKR." The key objective of this role is to assist the Compliance Officer in order:… AML obligations by assisting the Money Laundering Reporting Officer ("MLRO") under UK and international laws and regulations pertaining…
  • 3.2
    Interactive Brokers
    London, England
    and publicly traded under the symbol "IBKR." The key objective of this role is to assist the Compliance Officer in order:… AML obligations by assisting the Money Laundering Reporting Officer ("MLRO") under UK and international laws and regulations pertaining…
  • Rabobank London
    London, England
    Regional Head of Compliance as well as the Head of Compliance, London. - Manage the Regional Privacy Officer, in alignment with… with the Head of Compliance London, given that the Privacy Officer role is 0.5 FTE Regional Privacy Officer reporting to the Deputy…
  • 3.1
    State Street
    London, England
    electronic trade confirmation process and systems; attention to ‘straight through’ processing of trades; verification of trades against… standard to the client. The Trade Management Support Team is responsible for servicing all aspects of trade processing and settlement…
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