Job Type
Date Posted
Salary Range
Distance

Senior Trade Compliance Officer Jobs in London, England

53Jobs

  • 3.4
    BNP Paribas – London, England
    7 days ago 7d
    and exchange trading related questions and enquiries that arise. Contribute to, and represent the Compliance position at new… of the Compliance risks and ability to research and present advice on current regulatory topics. Experience of trading floor…
  • 4.4
    Clovis Oncology, Inc. – London, England
    NEW
    The Senior Director, Regional ComplianceOfficer (EU) is responsible for general legal support for Clovis Oncology’s European… Participate in regional compliance initiatives or projects if required. Serve as the country Data Privacy Officer. Provide legal…
  • 3.7
    J.P. Morgan – London, England
    11 days ago 11d
    Markets Compliance Team comprises of 30 professionals and is based on the London Equities, Fixed Income and Commodities Trading Floors… www.jpmorganchase.com/. Our Compliance Function With a diverse team of Compliance professionals supporting all areas…
  • 3.1
    DTCC – London, England
    NEW
    Position Title: Compliance Associate Position Summary: The Compliance Analyst supports the DDRL Chief ComplianceOfficer in managing… DDRL Compliance program which addresses the corporate regulatory and compliance requirements as well as local DDRL trade repository…
  • 3.3
    Huxley – London, England
    25 days ago 25d
    seeking a ComplianceOfficer to support the Compliance Manager. This is a generalist position focussing on anything from trade surveillance… structure so you will be exposed to all senior stakeholders, which includes the Head of Compliance. This role will give you the breadth…
  • 3.3
    Robert Half – London, England
    NEW
    Brokerage to urgently a seniorCompliance Manager/ SeniorComplianceOfficer to manage the entire Compliance function for a new start-up… projects. Surveillance. Customer Due Diligence. TradeCompliance/ Compliance Monitoring. Financial Crime. Marketing Materials…
  • 3.7
    Morgan Stanley – London, England
    4 days ago 4d
    Initiatives Compliance team to lead Infrastructure Compliance test checks and desk reviews to monitor compliance with relevant… EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory…
  • 3.4
    Royal Bank of Scotland Group – London, England
    11 days ago 11d
    Join NatWest Markets (NWM) as a Regulatory Compliance Advisory Officer for Trading & Flow Sales in London In this role you'll… result in compliance with regulatory developments.  You'll have the confidence and integrity to challenge senior stakeholders…
  • 3.4
    The Royal Bank of Scotland – London, England
    11 days ago 11d
    Join NatWest Markets (NWM) as a Regulatory Compliance Advisory Officer for Trading & Flow Sales in London In this role you'll… result in compliance with regulatory developments. You'll have the confidence and integrity to challenge senior stakeholders…
  • 3.1
    BNY Mellon – London, England
    10 days ago 10d
    Purpose: (What the job role involves) The role of the UK ComplianceOfficer Investment Services is primarily to support BNY Mellon… and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes…
  • 3.5
    Bank of America – London, England
    23 days ago 23d
    coordination of regular Compliance training to the various desks Preparation of MI for seniorCompliance management Working closely… Electronic Platform Compliance front line unit team resulting from regulatory requirements. Helping senior members of the team…
  • 3.7
    Northern Trust – London, England
    18 days ago 18d
    Junior) Capital Markets ComplianceOfficer We are currently looking for a Capital Markets ComplianceOfficer to join our EMEA Capital… programmes to address them. For the Capital Markets ComplianceOfficer the main responsibilities will include: Assisting…
  • 3.7
    Morgan Stanley – London, England
    18 days ago 18d
    escalation and reporting of risk and compliance related issues to EMEA compliance coverage/senior management and supervisory oversight… escalation and reporting of risk and compliance related issues to EMEA compliance coverage/senior management, supervisory oversight…
  • 3.7
    J.P. Morgan – London, England
    13 days ago 13d
    internal audits, regulatory & compliance test and exams Ensure Trades adherence to and compliance with the User Tools, Third… and CIB Banking Liaison and coordination with the Senior Global Trade Product Team in EMEA to institutionalize special projects…
  • 3.4
    BNP Paribas – London, England
    21 days ago 21d
    risk in his/her daily activities and abides by the Key Front Officer Responsibilities, where relevant Corporate role model,… Paribas Global Markets. The team is located in the front office trading rooms worldwide, with 40 staff based in the main hubs of Paris…
  • 3.8
    Interactive Brokers – London, England
    7 days ago 7d
    and publicly traded under the symbol "IBKR." The key objective of this role is to assist the ComplianceOfficer in order:… AML obligations by assisting the Money Laundering Reporting Officer ("MLRO") under UK and international laws and regulations pertaining…
  • 3.4
    Macquarie Group – London, England
    20 days ago 20d
    management information to senior management; Providing appropriate transactional and regulatory compliance advice; Provide technical… day queries that arise on a trading floor interactions involving traditional exchanges and trading venues; reviewing and developing…
  • 3.7
    Capital Group – London, England
    NEW
    Assists and may provide suggestions to the Principal Investment Officer (PIO) / Mandate Manager (MM) with cash flow management by providing… Capital System. Directly engages the Investment Group, works with Trading and other GIC teams or business groups. Primary responsibilities…
  • 3.7
    J.P. Morgan – London, England
    21 days ago 21d
    able to work effectively with senior executives of the firm. The BCO will be based on the Trading floor in London, he/she will… and FVA reserves). The role is the Business Control Officer (BCO), level within the Markets BCO team, focusing on the CPG…
  • 3.5
    Bank of America – London, England
    11 days ago 11d
    Program and the Global Compliance Enterprise Policy (GC Policy). As a member of a FLU complianceofficer team, this role applies… coordination of regular Compliance training to the various desks Preparation of MI for seniorCompliance management Working closely…
  • 3.4
    Société Générale – London, England
    6 days ago 6d
    mapping, reconciliation etc..) Resolution of any e-trading issues: trades issues, client connectivity, limits, clients queries… Summary of the Key Purposes of the Role The Onboarding officer is responsible of the day-to-day management of the onboarding…
  • 2.3
    IBG LLC – London, England
    6 days ago 6d
    and publicly traded under the symbol "IBKR." The key objective of this role is to assist the ComplianceOfficer in order:… AML obligations by assisting the Money Laundering Reporting Officer ("MLRO") under UK and international laws and regulations pertaining…
  • 3.0
    AIG – London, England
    20 days ago 20d
    required, Undertake the function of Money-Laundering Reporting Officer (MLRO), Lead the development of anti-financial crime policies… we have a vacancy for a Compliance Manager in London and we’d love to hear from you! The Compliance Team within AIG Life sits…
  • 3.0
    SunAmerica Affordable Housing Partners – London, England
    20 days ago 20d
    we have a vacancy for a Compliance Manager in London and we’d love to hear from you! The Compliance Team within AIG Life sits… objectives can be achieved whilst regulatory compliance is maintained. Unlike some compliance teams, the AIG Life team is proactive and…
  • 3.5
    FXCM, Inc. – London, England
    25 days ago 25d
    Assurance reviews to Senior Management and the Board. Regular meetings with CEO, COO and Director of Global Compliance on Financial… leading provider of online foreign exchange (forex) trading, CFD trading, spread betting and related services. Our mission is…
  • 3.4
    Man Group – London, England
    NEW
    supports the Head of Information Security and Chief Technology Officer (CTO) with the creation of a framework for evaluating the security… regulatory compliance with enterprise security policies and educates business unit leaders and service managers on compliance efforts…
  • 3.7
    Morgan Stanley – London, England
    24 days ago 24d
    EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory… in London you will assist the International Data Protection Officer in relation to the following activities: Interactions…
  • 3.7
    investec plc – London, England
    6 days ago 6d
    reporting, senior accounting officer and tax computations that CIB impacts; Increasing tax awareness and compliance across CIB… numerous activities undertaken by both the lending and trading desks. Trading desks cover both fixed income and equities. The role…
  • 3.6
    Citi – London, England
    NEW
    ID: 17078466 Description Job Purpose: A Client Service Officer (CSO) will provide excellent client service in partnership… service in relation to all client investment needs: •Completing trade tickets •Confirm with client as and when required per guidelines…
  • 2.9
    Hammersmith & Fulham – London, England
    10 days ago 10d
    Senior Fire Safety and Means of Escape Officer Borough London Borough of Hammersmith & Fulham Job category… service to local residents and businesses. The Council operates a trading account, thus our service must be competitive in both cost…
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