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Compliance Jobs
Free
E-book: 100 Job Descriptions in Risk and Compliance Management
Example 1:
Compliance Manager, Reading,
Financial Giant
Location: London
Salary: £65K + BONUS +
BENS
Job type: Permanent
IT
Compliance Officer, London, US Financial Giant A fantastic
opportunity has risen for an IT Compliance officer to start work
for a Multi Billion pound US Organisation. (You will be given
the choice to work in Reading or London)
You will be
given full responsibility for the technology operational
compliance covering business systems, application and
infrastructure services across all pan EMEA business Units
operating from within the Technology Operations Group, including
assurance for technology projects in EMEA.
You will be
ensuring that all relevant checks & controls are in place,
conducting successful external and internal audit reviews
engaging respective parties. Reporting compliance concerns,
issues & risks including failures to Compliance and Technology.
The ideal candidate should be experienced and have excellent
knowledge of Sarbanes Oxley (SOX) regulations, COBIT or any
other compliance/QA qualifications.
No finance
experience is required as this is an exciting opportunity to
break into the financial arena! CV’s being reviewed now!
Example
2:
Compliance Officer / Manager - Brokerage Firm - FSA
approved
Location: UK
Salary: c. £75,000 plus
competitive package
Job type: Permanent
Compliance Officer / Manager - Brokerage Firm - FSA Approved
A new and expanding compliance function of a well known Wealth
Management Brokerage Firm requires a Compliance Officer /
Manager.
The successful candidate will be capable of
leading a small team whilst getting involved in the day to day
compliance activities of a brokerage firm: - Compliance
monitoring - Anti Money Laundering (AML) reporting - Market
abuse reporting - Client due diligence and documentation /
database maintenance -
Internal and external audit
This role will suit candidates with critical thinking skills
(possibly an accountancy background) and the desire to take a
leading role in guiding a small team forward and expanding their
responsibilities in the wider group of companies.
This
is certainly a strategic hire for the client, therefore,
applicants will be expected to deliver and make a difference
from day one.
Applicants must be FSA approved, have
strong experience of UK regulatory compliance and hold a good
understanding of the activities of a brokerage firm (Wealth
Management).
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