Senior Funds Compliance Officer Jobs in United Kingdom | Glassdoor

Senior Funds Compliance Officer Jobs in United Kingdom

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  • 3.6
    Credit Suisse – London, England
    9 days ago 9d
    Business catch ups with Senior Management (Trading, Sales, Fund Linked Products, COO) Personal Compliance obligations, including… advisory compliance support to the Equity Derivatives businesses; covering the OTC derivatives, structured retail products, fund-linked…
  • 3.2
    HarbourVest Partners – London, England
    7 days ago 7d
    the UK Legal & Compliance Officer, the UK Compliance Manager will assist, amongst other things, with the compliance of HarbourVestâs… General Compliance Working with the UK Legal & Compliance Officer to continuously monitor the on-going compliance of HarbourVestâs…
  • MERJE Ltd – London, England
    20 days ago 20d
    a Head of Funds Compliance position in their London office. The Role Reporting into the Chief Compliance Officer, you will… mutual funds to the Board, Senior Management and other colleagues on regulatory risk matters Managing the Compliance relationships…
  • Zoek – Gatwick, England
    16 days ago 16d
    hedge funds, mutual funds and pension funds) and your role as the Compliance Officer will be to support the compliance team.You… A Compliance Officer is required to support a team of Senior Compliance Officers at a global equities broker based in London.…
  • 2.7
    Capita – United Kingdom
    25 days ago 25d
    with the stated annual compliance monitoring plan. Provide report findings to the Compliance Officer for review and approval… resolutions in a timely manner. Provide assistance to the Compliance Officer in the ongoing review and implementation of regulatory…
  • MERJE Ltd – London, England
    30+ days ago 30d+
    to continued growth they are looking to recruit a Senior Compliance Officer. Although operating in a boutique environment you… registered as a Nominated Officer and MLRO with HMRC. You will be responsible for: - Managing the Compliance team - Maintaining…
  • Chikara Consulting Ltd – London, England
    10 days ago 10d
    complaints or errors to Line Manager and Compliance officer promptly. Ensure compliance report is updated on a timely basis Ensure… My client is a leading fund administration company looking to recruit an experinced Senior Accountant to their head office in…
  • LMA – London, England
    14 days ago 14d
    opportunity is available at a distressed debt fund who are looking for a talented compliance officer to join them. The incumbent will report… report to the firm's London based Chief Compliance Officer. Some of the key responsibilities are outlined below: Assisting…
  • 3.2
    Hamlyn Williams Ltd – London, England
    30 days ago 30d+
    Senior Compliance Officer- London- £60,000-£80,000- Leading European Investment BankA Leading European Investment bank have mandated… mandated me to secure them a Senior Compliance Officer to join their Securities team. This is a great opportunity to join a leading…
  • 3.5
    Barclays – London, England
    23 days ago 23d
    directly to the Chief Controls Officer with a further line to the Business Delivery & Controls Officer for the specific location)… Purpose of role The role of the Business Delivery & Controls Officer - PB&O Product, is to support the growth aspirations of the…
  • 4.6
    JCW Search – London, England
    13 days ago 13d
    regulatory compliance space and a background in at least one of the following areas: hedge funds fund of funds long-only… experience of working at the FCA, for a compliance consultancy or as an in-house Compliance Officer. Whilst this is not a business…
  • 3.7
    Morgan Stanley – London, England
    21 days ago 21d
    on all features of relevant Compliance procedures and policies -Representing Compliance in new fund launches, closures and key… exposure to retail funds (UK, Luxembourg and Ireland), although individuals with general investment, regulatory compliance experience…
  • Coast Specialist Recruitment – Henley on Thames, England
    22 days ago 22d
    reporting to the Compliance Officer and the CAML Board in respect of these responsibilities. Member of the Senior ManagementTeam… asappropriate External: FCA, Fund Auditors, Depositary, Custodian, Compliance Consultants, Fund Administrator,TAandRegistrar,Lawyersandanyotherthirdpartyserviceproviders…
  • Chikara Consulting Ltd – London, England
    30+ days ago 30d+
    complaints or errors to Line Manager and Compliance officer promptly. Ensure compliance report is updated on a timely basis Ensure… Senior Accountant - Private Equity My client is a leading fund administration company looking to recruit an experinced Senior…
  • 4.0
    People First – Manchester, England
    13 days ago 13d
    Job Title: MANDARIN speaking Senior Officer - Wealth Management and Private Banking Skills: Fluent Mandarin and relevant banking… Direct experience in investment management specifically UHNWI funds in a high quality Private Banking/Asset Management environment…
  • Chikara Consulting Ltd – London, England
    29 days ago 29d
    complaints or errors to Line Manager and Compliance officer promptly. Ensure compliance report is updated on a timely basis Ensure… experience Strong knowledge of Private Equity Industry and Fund Administration Sector Strong Excel skills including understanding…
  • 3.7
    Morgan Stanley – Glasgow, Scotland
    30+ days ago 30d+
    The Finance Division globally reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects… employs in excess of 1,200 staff across Operations, Technology, Fund Services and Finance. Due to our growing business, we have a…
  • 4.3
    Heat Recruitment – Bury, North West England, England
    6 days ago 6d
    reports and track cases through to completion Assist the Compliance Officer in maintaining appropriate systems and records Deal with… protection Specific functions include researching products, funds and solutions, preparing reports for client meetings, highlight…
  • Reed Insurance – Henley on Thames, England
    30+ days ago 30d+
    Company with funds under management is actively looking to recruit a skilled Compliance Assistant to work alongside a Senior Compliance… updating fund literature such as the NURS-KII Document, UCITS KIID and Prospectus under the direction of the Senior Compliance Manager…
  • 5.0
    Zen Consulting Ltd – Oxford, England
    30+ days ago 30d+
    reporting to the Compliance Officer and the Board in respect of these responsibilities. Member of the Senior Management Team.… the Senior Compliance Manager directly and for the indirect management of the Compliance Monitoring Manager and Compliance Assistant…
  • 3.7
    Morgan Stanley – Glasgow, Scotland
    30+ days ago 30d+
    The Finance Division globally reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects… employs in excess of 1,200 staff across Operations, Technology, Fund Services and Finance. Due to our growing business, we have a…
  • 4.0
    Wellington Management – London, England
    6 days ago 6d
    Chief Risk Officer; * Legal and regulatory compliance, in close partnership and collaboration with the Legal and Compliance groups,… management; (vi) legal and regulatory compliance; (vii) fund operations and administration; (viii) fund investor services. In discharging…
  • 3.4
    Citibank – Edinburgh, Scotland
    7 days ago 7d
    the EMEA Head of Securities Services Compliance. Job Purpose: • Senior Compliance Officer for the EMEA Securities Services business… include but are not limited to: • Act as the sole onsite Compliance officer in Citi Edinburgh • Actively participate in various Product…
  • 3.4
    AXA – London, England
    8 days ago 8d
    position is within the Compliance department of AXA REIM SGP (UK), to support the UK Senior Compliance Officer in both regulated and… : Support UK Compliance in carrying out its main missions: - Interpreting texts and setting up a compliance system Regulatory…
  • 3.4
    Huxley Associates – City of London, England
    12 days ago 12d
    hedge funds, mutual funds and pension funds) and your role as the Compliance Officer will be to support the compliance team.… Reference: HA-32538029 A Compliance Officer is required to support a team of Senior Compliance Officers at a global equities…
  • 3.5
    Citi – Edinburgh, Scotland
    7 days ago 7d
    the EMEA Head of Securities Services Compliance. Job Purpose: • Senior Compliance Officer for the EMEA Securities Services business… include but are not limited to: • Act as the sole onsite Compliance officer in Citi Edinburgh • Actively participate in various Product…
  • 3.1
    SF Group – United Kingdom
    30+ days ago 30d+
    financing, taxation/compliance, pricing strategy and commercial opportunities To co-ordinate the Company's funding strategy to deliver… source a dynamic and intellectually capable Chief Financial Officer. The business in question has turnover of c£200m and EBITDA…
  • 3.3
    RWE – Solihull, England
    23 days ago 23d
    investment papers (High Complexity) 4. Compliance: Ensure all projects adhere to compliance interfaces with company secretariat,… Governance Board supported by the Digital Programme Control Officer. Skills and experience • Degree, higher education or management…
  • 3.0
    npower – Solihull, England
    23 days ago 23d
    Governance Board supported by the Digital Programme Control Officer. Skills and experience • Degree, higher education or… investment papers (High Complexity) 4. Compliance: Ensure all projects adhere to compliance interfaces with company secretariat,…
  • 3.5
    M&G – London, England
    2 days ago 2d
    evidencing of completion of SOX controls; and with Senior Accounting Officer (SAO) legislation. Review and improvement of existing… Job Title: Senior Financial Accountant Internal property Fund Job Code: 992706 Skill Category: Real Estate…
  • 3.4
    HSBC – London, England
    30+ days ago 30d+
    the Head of Group Compliance, Regional Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate… external regulators. Foster a compliance culture and implement Group Compliance Policy by managing compliance risk in liaison with the…
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