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Compliance Jobs in Surrey

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You are here: Jobs > Accounting & Finance > Compliance > Surrey

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Compliance Officer

Salary:
£35k - £45k pa
Location:
Surrey
Job Type:
Contract/Temp
Date Posted:
17-May-2012 11:23Add to My Shortlist

A leading Financial Services organisation specialising in the underwriting; administration and marketing of warranty and service contracts for manufacturers; retailers and distributors requires an experienced Compliance Officer to join its team and provide assistance in the delivery of the European Compliance Plan and general support for the Compliance function. Responsibilities will include; * Desk based monitoring reviews across a range of different business areas * Provide technical advice, guidance, support and where required training to the...

Compliance Monitoring Officer

Salary:
£30k.00 - £55k.00 pa
Location:
Surrey
Job Type:
Permanent
Date Posted:
23-May-2012 10:36Add to My Shortlist

Role: Compliance Monitoring Officer Location: Surrey Salary: Highly Competitive + Benefits A Leading Financial Services organisation is offering an excellent opportunity within their compliance monitoring function. The position of compliance monitoring officer is a fantastic role covering a broad and varied remit, covering audits across a wide range of business areas. Working closely with the Compliance Monitoring Manager, as well...

Risk Review Compliance

Salary:
£50k - £80k pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
18-May-2012 11:45Add to My Shortlist

Top Tier Global Investment Bank seeks Risk Review Compliance professional. Role Details: * Work as part of the team responsible for risk-based compliance testing across corporate and investment banking in the EMEA region. * Plan for and manage the execution of compliance reviews according to the established review schedule. * Performing risk assessments to prioritise areas for review. * Identifying...

Director of Compliance Central Services (CCS) Operations

Salary:
GBP600 - GBP800 p/day
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Contract/Temp
Date Posted:
23-May-2012 09:13Add to My Shortlist

Director of Compliance Central Services (CCS) Operations An immediate opportunity has arisen for an experienced Director of Compliance Central Services (CCS) Operations to join our client, a major financial services company based in London Key responsibilities of the Director of Compliance Central Services Operations job will include: - Representative for CCS in the Global Compliance Control Framework OpCo, a joint...

Regulatory Compliance Consultant(RETAIL FUNDS)

Salary:
£50k.00 - £60k.00 pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
22-May-2012 08:13Add to My Shortlist

Job Board Advert Regulatory Compliance Consultant(RETAIL FUNDS) Our client is a professional financial services group for the asset management and securities industry . Its service offering is regulatory compliance consultancy services Alongside this, it offers services including hosted regulatory permissions, due diligence, compliance training, risk management and recruitment. Its Regulatory Compliance Consulting business is dedicated to providing compliance advisory services...

Senior Group Compliance Manager : Outstanding Opportunity

Salary:
£70k.00 - £95k.00 pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
23-May-2012 10:01Add to My Shortlist

An excellent opportunity has arisen for a Senior Compliance Manager to have oversight of a Top Tier Investment Firm working with all the Senior Stakeholders ensuring the business unit complies with their obligations under the various Financial Services regulatory requirements for which the Group Head of Compliance & Regulatory Affairs is accountable. The roleholder will: * Monitor the Regulatory Compliance...

Compliance - Private Client / Fund Specialist

Salary:
£600 - £900 p/day
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Contract/Temp
Date Posted:
22-May-2012 17:40Add to My Shortlist

Private Client Investment Process Manager Role: Oversight and Governance of Private Client and Charities Business. Description Within the Private Clients business responsibility for the first line of defence rests with the business management and fund managers and encompasses the development, monitoring and oversight of the key controls that are in place to deal with the day to day. The Private... to the Head of Private Clients has responsibility for assisting management with the oversight and governance of the Private Client and Charities Business. This role requires a comprehensive knowledge of investment management and an in-depth understanding of private client investment processes. The individual will also require a detailed understanding of Compliance and Risk as well as Anti-Money Laundering and the client sanctions checking process A key element of the role will be the ownership of three key control mechanisms: The Portfolio Suitability Group. A control mechanism introduced to monitor commonality and suitability has been active since autumn 2011.The Portfolio Suitability Group...

Central Compliance Professional

Salary:
£50k - £65k pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
23-May-2012 16:04Add to My Shortlist

Central Compliance Professional needed to join reputable Investment Bank with global presence. Job description: * Approving PA Dealing, OBAs, Gifts & Entertainment and Private Investments. * FSA & SEC Approved persons registrations, including Training & Competence. * Compliance regulatory reporting (Gabriel & Fees). * Advise (or developing competencies to advise) on the regulatory requirements pertaining to the mandate of the...

Compliance Manager - Private Wealth Management

Salary:
£60k - £80k pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
22-May-2012 17:43Add to My Shortlist

Compliance Manager needed to join London Private Wealth Management division of Reputable Financial Services firm with coverage of asset management business as well. Role duties will include: * Provision of advice on regulatory developments. * Updating compliance policies. * Delivering training - covering key regulatory risks and compliance policies including induction training to new employees. * To provide appropriate compliance...

Compliance Officer - Front office support

Salary:
£55k.00 - £70k.00 pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
23-May-2012 10:52Add to My Shortlist

Compliance Officer - Front office support London Based Global Asset Manager Up to £70,000 per annum + Benefits + Bonus Our client is a leading global asset manager with over £120 billion under management and offices world wide is looking to bring on board a compliance analyst to work in close liaison with their front office team. Overview: The Investment...

Compliance Manager - Private Wealth Management

Salary:
£60k - £80k pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
22-May-2012 17:41Add to My Shortlist

Compliance Manager needed to join London Private Wealth Management division of Reputable Financial Services firm with coverage of asset management business as well. Role duties will include: * Provision of advice on regulatory developments. * Updating compliance policies. * Delivering training - covering key regulatory risks and compliance policies including induction training to new employees. * To provide appropriate compliance...

Investment Compliance Manager

Salary:
Neg
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
22-May-2012 17:55Add to My Shortlist

Prestigious global fund manager seeks a compliance professional to support the operation of the UK compliance programme, overseeing monitoring of all trade activity for funds. Applicants will demonstrate excellent academics, a high level of intellectual curiosity and a sound investment compliance background. This is a senior role requiring a high level of technical regulatory knowledge, together with leadership ability and...

Compliance Manager

Salary:
£50, 000
Location:
Bracknell, Reading, Slough, Maidenhead, Basingstoke, Berkshire, Surrey
Job Type:
Contract/Interim
Date Posted:
23-May-2012 15:00Add to My Shortlist

Responsible for the compliance issues within the FSA regulatory requirements of the CF10 compliance oversight areas. This is a contract role and will require the person to have several years experience within a compliance role within the INSURANCE SECTOR. You will need to have a strong working knowledge of the FSA handbook and be able to demonstrate how to apply...

Assistant Compliance Manager - Private Wealth Management

Salary:
£40k - £60k pa
Location:
City Of London, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
22-May-2012 18:02Add to My Shortlist

Assistant Compliance Manager needed to join London Private Wealth Management division of Reputable Financial Services firm with coverage of asset management business as well; this will be in an advisory capacity. Role duties will include: * Provide assistance to the Compliance Advisory team in promoting a strong compliance culture amongst the regulated and unregulated business units within WM-UK and assist...

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