Job Title: EMEA Client Assets Compliance Professional (Director) Location: Glasgow Level: Director (AVP) JR032557..., and respect for diverse perspectives. Legal and Compliance Division (LCD) LCD comprises the Legal, Regulatory Relations...
for a Compliance Monitoring and Surveillance Officer. Principal tasks include execution and enhancement of the firm's Compliance... Monitoring Programme (CMP), alongside ongoing thematic surveillance. THE RESPONSIBILITIES: Compliance Monitoring Plan (CMP...
ongoing compliance with them) Surveillance, monitoring and investigations including sampling trader chats and reviewing..., such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them) Working with Middle Office...
framework and compliance with the anti-money laundering, terrorist financing, sanctions, bribery, tax evasion requirements... and ensure compliance with financial crime regulations. In collaboration with the MLRO and DMLRO, lead on developing...
is required for this role. THE RESPONSIBILITIES: Develop, implement and maintain robust compliance framework, policies, and procedures... laundering and counter-terrorism financing (AML/CTF) measures. Oversee regular risk assessments, compliance reviews, and audits...
. They are looking to hire a Compliance Officer to play a pivotal role in supporting the business through the delivery of second line monitoring.... THE RESPONSIBILITIES: Contributing to the development and execution of the annual Compliance Monitoring Programme ('CMP...
in drafting and updating appropriate policies and procedures Conduct reviews in accordance with the Compliance Monitoring Plan... Lists EXPERIENCE REQUIRED: Extensive compliance monitoring and surveillance experience within a financial services firm...
of all relevant documents. Manage Periodic Reviews and Trigger Event Reviews within defined timelines, ensuring compliance... (CDDM) Report for Compliance approval. Ensure that beneficial ownership is clearly established with appropriate documentary...
and its fund clients. Carry out day-to-day compliance monitoring support, including personal account dealing review... on financial returns from the Finance team. Support the Head of Compliance with her oversight of the SM&CR framework, including...
balance of the role leans heavily towards regulatory compliance, data protection, and policy, with the remainder covering... Compliance and Policy: Own ongoing FCA compliance obligations, including regulatory reporting, policy maintenance, and horizon...