Employment Type : Full-Time
Sterling Williams are working with a commodities broker based in the heart of London who are actively looking to hire a Trade & Communications Surveillance Analyst to join their Compliance function. Permanent City of London - hybrid working (3:2) Salary circa 55 - 60,000 pa plus benefits As part of this exciting compliance role you will be responsible for the trade and communication surveillance function within the firm: Undertake monitoring...
Employment Type : Full-Time
Regulatory Compliance Advisory Analyst Location: London (3 days a week in the office) Are you ready to take your regulatory compliance career to the next level? Join a forward-thinking organisation that values collaboration and fosters a positive compliance culture. This role is perfect for someone with a few years of compliance experience looking to expand their expertise and drive meaningful impact. Key Responsibilities: Provide day-to-d...
Employment Type : Full-Time
Join a company that’s taking the RegTech industry by storm! About us: Ruleguard is a fast-growing technology company serving the financial services compliance market. As a leading firm within the innovative “RegTech” sector we delight in creating cutting-edge business software to make it as easy as possible for banks, brokers and investment firms to comply with regulation. Benefits we offer: 25 days of annual leave increasing by 1 day each...
Employment Type : Full-Time
Private Credit Financial Analyst 55,000 - 60,000 London/Hybrid Sterling Williams are working alongside a Financial Institution they are seeking a financial analyst that will focus on the ongoing risk management and surveillance of client’s investments in various private credit and other investments. This role involves ensuring that all investments are in compliance with the client’s risk appetite, it’s established policies and procedures, and th...
Employment Type : Full-Time
Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace.?We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more.?We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive.? A fantastic new opportunity has become availabl...
Employment Type : Full-Time
Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace.?We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more.?We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive.? A fantastic new opportunity has become availabl...
Employment Type : Full-Time
My client, a mid sized European Bank is looking to hire a Credit Underwriter responsible for underwriting Buy to Let mortgages & Commercial Loans for presentation to credit committee. JOB PURPOSE Credit underwriter will be a key interface in the creation and delivery of credit products and solutions and will also interact with Second line Risk Management - Credit on a regular basis, quickly ensuring a broad knowledge of risk management polic...
Employment Type : Full-Time
Responsibilities: Trade Monitoring: Continuously oversee trading activities to identify potential breaches such as market abuse and insider trading. Alert Analysis & Investigation: Examine and investigate alerts generated by systems, assessing trading patterns and market conditions. Detailed Reporting: Compile thorough investigation reports and escalate Suspicious Transaction and Order Reports (STORs) to the MLRO and relevant committee...
Employment Type : Full-Time
Key Responsibilities: Provide day-to-day compliance advisory support to the business, acting as the first point of contact for regulatory queries. Offer guidance on regulatory requirements and compliance obligations across multiple jurisdictions. Establish strong relationships with front office and other departments, ensuring Compliance is seen as an effective second line of defence. Play a central role in establishing the Regulatory Compliance ...
Employment Type : Full-Time
A leading tier 1 bank is looking for someone to join their 1st line Risk and Control team on a temporary contract until the end of the year, supporting the assessment of the control environment under key financial regulations. They are seeking a subject-matter expert (SME) with a strong background in Market Abuse Regulations (MAR), or MIFID Key Responsibilities: Perform detailed control assessments to identify control gaps / enhancement opportun...