Jobs in the City

Job Title: Risk & Compliance Manager (Reg focused)Location: Hybrid - Remote/LondonDepartment: Compliance & RiskReports To: Head of Compliance & RiskRate: Up to 530pd Inside IR35Contract: Initial 6 months with extension possibilitiesStart Date: End of JanThe Role: The Compliance & Risk Manager is responsible for providing regulatory and risk framework advice to ensure compliance with regulatory obligations and promote optimal client outcomes.Main Tasks:Regulatory Advice: Provide internal advice on regulatory matters, including:Authorisation: Rules and processes for establishing and operating authorised schemes.Documentation and Disclosure: The importance of clear and comprehensive fund documentation.Management and Governance: Responsibilities of the Authorised Fund Manager (AFM) and depositary, and rules for ensuring effective management and oversight of the scheme.Investor Relations: Rules for marketing, distributing, and communicating with investors, including disclosure requirements such as Key Investor Information Documents (KIIDs).Investment Powers and Borrowing Limits: Guidelines for the types of investments a scheme can make and restrictions on leverage and borrowing to manage risk.Pricing and Dealing: Rules for valuing fund assets and pricing units/shares, and procedures for subscriptions, redemptions, and transfers.Financial Reporting: Requirements for preparing and filing financial reports, and auditing standards for collective investment schemes.Regulatory Reporting: Obligations for reporting to the FCA, including notifications of breaches or changes.Specialised Rules for Specific Schemes: Additional rules for UCITS, NURS, and QIS schemes to address their unique characteristics.FCA Handbook Knowledge: Maintain expertise in the FCA Handbook, including COBS, DISP, and CASS.Risk & Control Assessments: Coordinate and oversee risk & control self-assessments for the Compliance function and provide advice on First Line assessments.Governance Support: Advise governing bodies and committees on compliance matters.Regulatory Framework Application: Support the practical application of regulatory frameworks within the business.Regulatory Change Monitoring: Monitor regulatory updates, assess their impact, and oversee their implementation.Management Information: Provide management information to the Head of Compliance & Risk and relevant committees.Procedure Coordination: Coordinate compliance procedures in line with internal standards and business goals.Diversity and Inclusion: Promote and support diversity and inclusion in accordance with FCA objectives.Qualifications and Skills:- Extensive knowledge of regulatory frameworks and the FCA Handbook.- Strong understanding of risk management processes.- Excellent communication and advisory skills.- Ability to assess and implement regulatory changes.- Commitment to promoting diversity and inclusion in the financial sector.This role requires a proactive individual with expertise in regulatory compliance and risk management to support the organisation's operations effectively.

Your new company A leading global trading platform is looking for a Payroll Specialist following a recent company restructuring. The role is based in their UK offices in Central London. They are a business that prides themselves on having a great working environment and being a business that looks to develop all their staff. Your new role

VAT Manager - Top 25 Accountancy Firm

H9 Technical Recruitment are partnered with a Renewable Energy advisory client and hiring for a Vice President to be responsible for assisting with strong deal-flow to maintain the market position and enable future growth covering their Renewable Energy, Power and Infrastructure sectors

Your new company This company is an iconic brand with operations around the world. With year-on-year growth and a superb pipeline for further investment and development, the organisation is looking to add to their property finance function. The company is a values-driven business and is renowned in the industry for its employee-focussed approach and excellent benefits.Your new role This role is to lead on the service charge accounting for luxury residential buildings in a prime London location. The Property Accountant will be responsible for all residential service charges, engaging with building managers, estate managers and the wider property management team to ensure commitments to high profile residents are met in a timely, accurate and professional manner.The role will include:

Job Title: Risk ManagerLocation: Hybrid - Remote/LondonDepartment: Compliance & RiskReports To: Head of Compliance & RiskRate: Up to 600pd Inside IR35Contract: Initial 6 months with extension/perm possibilitiesStart Date: Mid/End of JanRole Overview:We are seeking a dedicated and experienced Risk Manager to join our Compliance & Risk team. The successful candidate will identify, assess, and mitigate risks across the organisation, develop risk management strategies, ensure regulatory compliance, and promote a culture of risk awareness.Experience in remediation and implementation work in an Asset or Investment Management business is very desirable.Key Responsibilities:Risk Identification and Assessment:- Identify current and emerging risks affecting the organisation.- Conduct risk assessments to evaluate impact and likelihood.- Maintain and update the organisation's risk register.Risk Mitigation and Management:- Develop and maintain risk appetite statements.- Create risk metrics, including Key Risk Indicators and Risk Thresholds.- Implement risk mitigation strategies and action plans.- Monitor and adjust risk controls as necessary.- Embed risk management practices into daily operations with business units.Regulatory Compliance:- Ensure compliance with regulatory and legal standards.- Monitor regulatory updates and assess business impact.- Collaborate with compliance and internal audit teams on regulatory requirements.Risk Reporting:- Prepare and present risk reports to senior management, committees, and boards.- Provide insights on risk trends and recommend strategies.Business Continuity and Resilience:- Develop and test business continuity and disaster recovery plans.- Ensure operational resilience against disruptions.Training and Awareness:- Conduct risk training and awareness programmes for staff.- Foster a culture of risk awareness and accountability.Collaboration:- Liaise with internal teams (compliance, operations, IT, legal) and external stakeholders.- Provide risk-related insights for cross-functional projects.The client is looking for an immediate start, therefore the interview process will be 1 round only. if you align well to the above and have recent experience within an Asset/Investment Manager, please apply for the position.

Job Title: Investment Compliance AdministratorLocation: Hybrid - Remote/LondonDepartment: Compliance & RiskReports To: Head of Compliance & RiskRate: Up to 270pd Inside IR35Contract: Initial 6 months with extension possibilities and perm opportunityStart Date: End of Jan/Start of FebRole: Support the Investment Administration Team with private client investment administration and custodian systems.Key Responsibilities:- Incorporate Consumer Duty requirements into the compliance monitoring plan- Conduct testing procedures and themed reviews to ensure positive consumer outcomes across products, services, and interactions- Identify gaps, issues, or potential consumer harm and escalate concerns about the firm's ability to meet Consumer Duty obligations- Arrange client ISA subscriptions- Set up and maintain client accounts- Transfer client assets in/out of nominees- Maintain client contact databases- Process client payments- Promptly action client and investment manager communications- Handle client, introducer, and third-party enquiries- Perform reconciliations between custodian systems- Promote diversity and inclusion as per FCA guidelinesSkills and Competencies:- High degree of numeracy, IT skills (particularly Excel)- Meticulous attention to detail- Accurate typing skillsThis is a great role to get yourself into the Compliance team of a growing Investment Manager. Potential to move to a perm role and grow within this business is realistic.

Associate Director - Transfer Pricing

Job Title: Compliance Monitoring OfficerLocation: Hybrid - Remote/LondonDepartment: Compliance & RiskReports To: Head of Compliance & RiskRate: Up to 420pd Inside IR35Contract: Initial 6 months with extension likelyStart Date: End of March/Start of AprilRole Overview:We are seeking a Compliance Monitoring Specialist to deliver our annual risk-based Compliance Monitoring Plan. The successful candidate will coordinate control testing and themed reviews, liaise with IT for exception reports, and provide assurance to Senior Management on compliance with policies and procedures.Key Responsibilities:- Deliver the annual risk-based Compliance Monitoring Plan.- Coordinate control testing and themed reviews to ensure compliance with policies and good client outcomes.- Liaise with IT to develop exception reports for control testing and monitoring.- Apply specific knowledge of compliance monitoring related to Best Execution and Market Abuse.- Provide management information to the Head of Compliance & Risk and other governing bodies.- Maintain documented and effective compliance monitoring procedures.- Incorporate Consumer Duty requirements into compliance monitoring to ensure positive consumer outcomes.- Promote and support diversity and inclusion in line with the FCA's regulatory framework.Skills and Qualifications:- Experience in compliance monitoring and testing within the financial services industry.- Strong understanding of regulatory requirements, compliance risks, and controls.- Expertise in developing risk-based monitoring plans and testing methodologies.- Excellent analytical and critical thinking skills to identify gaps and issues.- Keen attention to detail and adherence to procedures.- Proficiency in data analysis, reporting tools, and exception monitoring.- Ability to interpret regulations and translate them into actionable monitoring steps.- Effective communication skills for reporting findings and recommendations.- Collaborative approach to working with cross-functional teams.- Ideally achieved or working towards relevant CISI/CII qualification or equivalent.Experience in a similar position within an Asset/Investment Manager will make your candidacy stronger.

Transfer Pricing Assistant Manager - Top 10 Firm

Exciting Opportunity in Private Wealth Industry.Are you a meticulous and technically adept individual with a passion for financial planning? Our client, an esteemed organisation in London, is seeking a Financial Planning - Technical Support to join their dynamic team. If you are looking for a role that offers both administrative and technical support, this permanent position could be the perfect fit for you.In this role, you will have the opportunity to contribute to the success of the Financial Planning Team by providing crucial administration and technical support. With your exceptional knowledge and progress towards industry qualifications, you will play a vital role in ensuring the smooth operation of the team.Responsibilities: