54 compliance jobs in London

Background to & purpose of role: CMC Markets requires a suitably skilled Liquidity Risk Manager responsible for the assisting with the management and implementation of an effective Liquidity Risk framework across the Group; including having an input to the Group Risk Appetite. The Liquidity Risk Manager will assist in ensuring that mandated aspects of financial risk are correctly captured, reported and scrutinised in a timely and efficient manner. RESPONSIBILITIES: Assist the Liquidity Risk function at a Group level in supporting the business by providing risk oversight for its current and future initiatives. Assist in the evolution and embedding of an effective Liquidity Risk culture across all areas of the business. The Liquidity Risk Manager will oversee the monitoring and reporting of various risk metrics pertaining to CMC’s Spreadbet, CFD and Stockbroking business, ensuring any breaches are appropriately reported or signed off. Take ownership for projects...

Overview Permanent, full-time, hybrid Job purpose Responsible for analysis and limit establishment, monitoring the credit risk of the business and escalating significant credit risk issues to Management. Facilitate the execution of risk management processes to assist in the achievement of the business objectives of the organisation whilst ensuring effective credit risk mitigation. Responsibilities General Duties Assesses the credit risks and financial strength of new and existing counterparties. Negotiates and administers the exchange of corporate guarantees, netting agreements, Letters of Credit, and other credit support documentation used to mitigate counterparty risk. Involved in the credit risk mitigation aspects of account documentation including terms of business/trading and client agreements. Monitors and manages both counterparty credit and country credit risk limits to ensure compliance with established credit limits, policies, and procedures....

We are looking for an experienced Backend Java Developer to join our Pricing team. We work on a pricing and risk trading platform utilising technologies from TIBCO and OneTick, in Java SE. As well as development, a senior developer will take on more design responsibility for various projects, as well as providing technical mentoring to other members of the team. ROLE AND RESPONSIBILITIES Design and develop pricing and risk components to support the firm's market-making business, working across multiple asset classes ranging across Equities, FX, Commodities and other derivatives; Partner with other key groups: financial engineering and quantitative teams, business operations, product development and the other IT teams; to ensure products are implemented efficiently and meet the demands both internally (dealing) and externally (clients) and addressing any issues that arise; Work with the Front Office users and Business Operations to address any issues; Maintain...

Overview Permanent, full-time, hybrid The purpose of this role is to provide a professional service to current and prospective clients; executing orders, reporting complaints and answering trade related queries whilst keeping within the risk profiles. Responsibilities Handle all client enquiries by telephone, chat and e-mail in a timely and professional manner. Types of enquiries include, but are not limited to, general questions about the products and trading platforms, account opening, funding status and procedures, trade investigations and trade management, and first-line support for the trading platforms. Learn and use proprietary software, trading platforms, systems and other offered products. Identify and investigate platform issues. This includes communicating such issues to other support areas. Work with internal departments to address client issues. This includes, but is not limited to, marketing, sales, compliance, treasury, operations, risk and IT....

IPC is a fintech company that focuses on the human element. Having global presence, we support local markets with cutting edge cloud-based trading communications and managed connectivity. Through our portfolio of communications and connectivity solutions, we focus on solving business challenges and adapting to regulatory changes in the fast-paced global financial markets. This enables our clients to maintain consistent market access, a strong competitive advantage, and enhanced operational efficiency. At IPC, we are committed to attracting, nurturing and promoting diverse talent across our workforce and fostering a sense of belonging within our employee family. We don't just accept differences - it's one of our core values. We recognize that diverse teams make the strongest teams, and we encourage people from all backgrounds to apply. Come be part of the new team that delivers ground-breaking products for our clients. www.IPC.com TITLE: Network Services Senior Product Manager...

Job title: Customer Support Representative Department: Customer Support Industry: Financial Services Employment type: Part time (0 hours contract) Salary: Hourly rate (negotiable) Holidays: Pro-rata 23 days annual leave Location: Remote with one mantuary day in the office per month Hours of work: Varies depending on needs of the business. Will include regular weekend work. Start date: ASAP Valutrades is a mid-size forex, commodities and CFD broker which is rapidly growing and has recently been nominated for ‘Best Retail FX Broker 2022.’ With a culture built around a close-knit team it is a fun, flexible and friendly environment to work in which supports modern life. We are committed to providing an inclusive and supportive culture. Valutrades prides itself on being the future of the financial industry.  What will you be doing?  Providing support to clients through emails, phone calls and live chats Onboarding and offboarding of clients (this...

Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. Job Description MaxComply from IQ-EQ has firmly positioned itself as the world’s leading risk and compliance SaaS platform across global financial services firms and beyond -making complex compliance tasks manageable. Incredible growth has created new opportunities to join the MaxComply commercial team. Our presence spans the globe, and you can be certain of playing a key role in listening, understanding and delivering innovative solutions to those that need it most. You will learn every day, and we expect you to bring your experiences to the table. Day To Day Responsible for personal quota to drive revenue growth through high volume internal and external qualified stakeholder interactions, both in-person and remote....

About EToro Money eToro is the world’s leading social trading network, providing millions of users from around the world a one-stop-shop solution for their trading and investing needs. Since 2007, eToro has positioned itself as a Fintech leader, pioneering revolutionary practices such as social trading, blockchain and machine-learning-based investment products. eToro is a regulated and secure platform, operating in full transparency with its clients’ interests in mind. eToro Money is a part of the eToro Group and provides eToro Trading clients with a smarter and more cost-efficient way to manage their money, moving funds into and out of their trading account instantly and at better exchange rates than other available deposit and redemption methods. About The Role To support eToro Money’s rapid growth, we are now looking for a hands-on / roll-your-sleeves-up kind of risk manager to join the Governance, Risk, and Compliance Team. Their role will be to help...

Overview Permanent, full-time, hybrid OUR TEAM We operate globally from offices in Europe, US and Asia Pacific. Our employees work closely together in multidisciplinary teams, making our success possible. Technology - At StoneX, technology is at the heart of everything we do. Our technologists push the limits of possibility, embracing the right technology that adds value to our business. In our fast-paced environment, short feedback loops collaborating with our business partners allows us to deliver projects into production quickly. Focus – Our teams are business aligned developing and supporting complex solutions across Trading, Risk, Compliance and Operations. JOB BRIEF We are looking for a hands-on Engineering Manager with experience building high-performing, scalable, enterprise-grade applications. The role will encompass architecture and development across all tiers of the application stack. You will be part of a talented engineer team that work on low-latency...

GoHenry is a London and New York-based fintech company that pioneered the youth fintech and financial education category. We are on a mission to make every kid smart with money and to delight our community of 2 million parents, kids, and teens with innovative, market-leading tools to help parents raise financially healthy kids. GoHenry offers a debit card and app for kids and teens and companion apps for the family, with in-app tools for sending money, automating allowance, managing chores, setting savings goals, giving to charity, and in-app financial education lessons where kids can watch videos, take quizzes and earn points & badges. This is all designed to help kids and teens build good money habits that will last a lifetime. The role We are looking for an experienced and self-driven Technical Business Analyst The GoHenry Technology team is adding a Technical Business Analyst role focusing on compliance to protect the strategic growth of the business. The candidate...

About us: Zenfinex- Trade the World We are a globally regulated Forex and CFD broker that gives you more. Our aim is to deliver an exceptional trading environment to help you navigate the financial markets with success. With over 20 years of combined industry experience, our founders recognised a need for a brokerage that deeply understands the needs of its clients. That’s why Zenfinex is now one of the fastest growing brokers worldwide – with clients based in Asia, South America, Africa and Australasia. An ongoing dedication to superior client support and interaction has been the cornerstone to a growing reputation. We’ve ramped up the fundamentals of trading in a fierce fusion of technology, unlimited creativity, and an in-depth understanding of what retail traders want. The result? We provide the best possible trading conditions for our users to thrive in. Along with a wide range of available products including Forex, Cryptos, Indices, Stock CFD’s and Commodities,...

Overview Permanent, full-time, hybrid StoneX’s information security teams hold at bay the forces of evil that want to infiltrate our systems, steal our customers data, and extort money from our shareholders. As a Cyber Security Architect, you will be a senior member of the blue team; working closely with business leaders, technology leaders, and your peers to implement secure, scalable, resilient, and business enabling security systems. This job might be for you if: You enjoy solving problems. You love taking on difficult challenges and finding creative solutions. You don’t get flustered easily. If you don’t know the answer, you’ll dig until you find it. You like helping people. You get a kick out of getting people to those aha! You are patient, level-headed, and cool under pressure. Teaching someone something new makes you feel warm and fuzzy inside. You pay attention to details. As far as you’re concerned, anything worth doing is worth doing right, every single time. You...

Who we are Seedrs is the leading equity crowdfunding platform and the most active funder of private companies in the UK, with £2.3B invested into campaigns and more than 1850 deals funded. We allow all types of investors to invest as little or as much as they like in businesses they believe in and share in their success. We allow ambitious businesses in all sectors to raise capital and build community through an efficient, online process. Seedrs’ HQ is in London, with multiple teams based across Europe. Republic, a U.S. based firm, has recently acquired Seedrs in a mission to create the first global private investing platform. Republic operates several distinct business lines including a retail investment platform, a private capital division, and a blockchain advisory practice. The Republic ecosystem has deployed over $1.5 billion in investments, has supported over 600 companies, and comprises over 2M community members across 150 countries. Now, being officially a part of the...

Overview Permanent, full-time, hybrid A professional individual with experience in the Transaction reporting space who wants to apply their financial markets knowledge and further develop their understanding in the fast-growing sector of Regulatory Reform. With the continued high rate of change in the Regulatory reporting space, Regulatory Operations professionals have a mandate and platform to significantly impact their environment and the wider business Responsibilities Continue to develop expert knowledge in Regulatory requirements, processes, and systems. Responsibility for maintain a reconciliation processes for data validation between exchanges, source systems and the regulators to ensure completeness, accuracy, and timeliness within the reporting process. Responsibility for data validation and processing of the Retail transaction reporting. Provide oversight and impact assessments on Regulatory reports resulting from new markets, new products, business...

Overview StoneX is looking for a high performing Senior Manager to run and optimise our global Content Management (CMS) capability. This person plays a strategic role in defining and executing the roadmap of our Retail & B2B websites (www.Forex.com, www.CityIndex.com , www.StoneX.com , etc) across our serviced regions: UK, EU, APAC, Middle East, North America, LATAM. This is a key role within the global Customer Experience team, working alongside our in-house Copywriters, User Experience designers, Creative designers, Website editors, Optimisation managers and Web developers to deliver engaging digital solutions. This is a global team, distributed across our serviced regions, with a strong base in the London office. While the core accountability is with managing the current and future CMS / Website product roadmap, the remit extends into other digital capabilities: Mobile app integrations, external APIs, data integration to support personalised digital experiences, marketing...

Overview Please note this a Fixed Term Contract - 9 months. Company Profile StoneX (formerly known as INTL FCStone) is an institutional-grade financial services network that connects companies, organisations and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service and deep expertise. We provide access to 36 derivatives exchanges, 175 foreign exchange markets, nearly every global securities marketplace and a number of bi-lateral liquidity venues. We deliver this access with support throughout the entire lifecycle of a trade – from consulting and “boots-on-the-ground” intelligence, to best execution, to post-trade clearing, custody and settlement. In these ways, StoneX enables clients to use the global markets ecosystem to achieve their business goals through one trusted partner. StoneX currently serves more than 30,000 commercial, institutional and payments clients, and more than...

ROLE AND RESPONSIBILITIES The Junior Institutional Services Executive will provide high calibre client service to ensure a positive client experience. Monitor Email Inbox and Telephones in order to immediately triage client queries. The Junior Institutional Services Executive will proactively respond to and manage inbound Institutional Client queries professionally and efficiently; this may include trade support, query management and education; Perform account and back office functions for institutional customers requiring accuracy and attention to detail such as payment bookings and the maintenance of client records. Escalate unresolved issues to line manager, 2nd Line IT support, Business Operations, Dealing Desk and Relationship Managers as appropriate; Provide proactive and support to Relationship Managers or Sales team for the Institutional on-boarding process, this may include liaison with CMCs legal and compliance teams. The Junior Institutional Services Executive...

Data Science Lead THE OPPORTUNITY We are currently seeking a Data Science Lead to drive the strategy and growth of our industry recognised, and award-winning Data Practice. To be considered for this role you will be a respected thought leader in the Data Science industry, with experience in building out a Data Science capability. This is an exciting opportunity to join the Data Leadership Team, in growing the team of data practitioners who are delivering cutting-edge data transformation programmes for Financial Services clients. As the Capability Lead you will be leading and driving the growth of the data science capability, identifying business development opportunities on new and existing clients, and aiding the development of client proposals, and propositions. The Data Science Lead will be instrumental in developing the UK Data Practice, and supporting the broader Global Data Practice in industry changing topics such as Data Science, Advanced Analytics, Artificial...

Overview Permanent, full-time, hybrid Working as part of the Pricing team, you will be responsible for supporting the Pricing and Risk Management applications used by the Global desk. You will work with the desk,Developers and BA’s to ensure that new releases are supportable, well tested and meet the expectations of the Desk. You will be someone who has worked on a Dealing floor and understand domain. You are also a Technical expert able to manage services on Windows and Linux servers. You will be part of an out of hours support rota. Responsibilities Understand business requirements to effectively contribute to the development of solutions and UAT them before release Carry out ad-hoc analysis on large data sets with appropriate languages and tools Use monitoring and alerting tools to proactively address issues before they arise Design and develop in house tooling to help automate frequent tasks Design and develop real-time monitoring tools and alerting Investigate...