THANK YOU FOR REGISTERING

Compliance Monitoring Officer Overview  As a Compliance Monitoring Officer, you will be responsible for conducting second-line file reviews and thematic assessments of investment management activities. Key Responsibilities: Producing high-quality monitoring reports summarising findings, trends, and recommendations for remedial actionCollaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendationsExperience & Qualifications:At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management or wealth management.Level 4 Investment Advice Diploma (IAD) or equivalent (e.g., CISI, CII).Strong working knowledge of FCA rules, particularly around suitability

OverviewThe Senior Director, Business Analytics is responsible for leading and optimizing one or more lines of business through data-driven strategies that enhance profitability, credit performance, and growth. This individual will set strategic goals, drive execution, and collaborate across departments to ensure alignment on key initiatives and business outcomes.Key ResponsibilitiesDefine and execute the strategic vision for a line of business, focusing on growth, credit performance, and profitability.Lead high-quality, autonomous analysis that directly informs business decisions and performance improvements.Develop and maintain efficient, automated processes that minimize operational risk and improve consistency.Drive growth through stable, cost-effective acquisition and application channels.Own and monitor credit performance across channels, ensuring data-driven decisioning and oversight.Build and manage relationships with internal and external partners, vendors, and key stakeholders.Partner with internal teams to establish operational frameworks and infrastructure supporting business initiatives.Create and maintain credit and decisioning models and frameworks tailored to the line of business.Oversee data infrastructure and reporting capabilities to ensure accurate monitoring and insight generation.Develop communication processes to share business performance insights with leadership and stakeholders.Lead planning and resource allocation for technical implementations that enhance program performance.Manage, mentor, and develop a team of analysts to support business objectives.Execute special projects and initiatives as required by business priorities or leadership direction.Qualifications & ExperienceBachelor’s degree required; advanced degree preferred.8 years of hands-on experience in credit risk, loan pricing, or process design within a consumer finance or related analytics-driven environment.Proven ability to manage external partnerships and stakeholders throughout project lifecycles.Expertise in analytical techniques used to produce forecasts, insights, dashboards, and business reporting.Strong background in initiative shaping, project management, and execution oversight.Demonstrated ability to lead strategically while remaining comfortable with hands-on, independent work.Experience building analytical or operational frameworks in complex or evolving environments.Technical proficiency in data analytics, credit analytics, or quantitative modeling.Excellent communication, organizational, and stakeholder management skills.Ability to manage confidential information, prioritize effectively, and operate in a fast-paced, dynamic setting.Proven experience leading and mentoring analytical teams, including coaching, training, and performance management.Skilled at influencing, resolving conflict, and driving collaboration across diverse teams.Proficiency with Microsoft Office and other analytical or business software; quick learner of new systems and tools.Demonstrated commitment to operational excellence, innovation, and organizational values.

Compliance Advisory Associate Overview   As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Key Responsibilities:Provide advice, training, and guidance to the business on regulatory mattersWorking on regulatory horizon scanning and anticipating upcoming regulatory changes.Support the review of Financial PromotionsAssist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.Manage ad hoc regulatory queries from the business Experience & Qualifications:Previous experience in a similar Compliance role within Wealth & Investment Management.Detailed, and current, technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR)  and other relevant regimes.Strong attention to detail

Senior Finance Leader – Hospitality & Multi-Site Operations | ScotlandI’m supporting a growing organisation in the hospitality sector with the appointment of a senior finance leader who will oversee all accounting operations for a large, multi-site portfolio. This is a key role for someone with strong financial control experience who is ready to step up and take ownership of a complex, high-volume environment. It would particularly suit a Financial Controller looking for their next move into a broader leadership position.The RoleYou’ll be responsible for leading the full accounting function for a sizeable hospitality portfolio, ensuring financial accuracy, compliance and consistent delivery across multiple sites. This includes oversight of all core accounting areas such as AP, AR, income & banking, GL, fixed assets, treasury and monthly close.A big part of the role involves looking at how things are done today and identifying where processes can be improved, standardised or automated. You’ll help shape the long-term direction of the finance operations, working closely with senior leadership on planning, reporting and continuous improvement initiatives.Key ResponsibilitiesLead day-to-day finance operations across a large hotel and hospitality portfolioEnsure all accounting activity is delivered accurately and within agreed timelinesOversee month-end close, reporting and compliance with relevant accounting standardsBuild, lead and develop a high-performing finance teamIdentify and implement process improvements, automation and system enhancementsMaintain strong internal controls and ensure consistent ways of working across sitesAct as a key point of contact for external auditorsSupport the onboarding of new sites and clients where requiredBuild strong working relationships with internal stakeholders and operational teamsContribute to budgeting, forecasting and performance reviewsWho We’re Looking ForA finance leader with experience in hospitality, hotels, multi-franchise or multi-site operations (essential)Someone who has held a Financial Controller or senior finance operations roleExperience managing complex, high-volume accounting teamsStrong understanding of AP, AR, GL, fixed assets, and financial reportingComfortable working in a fast-paced environment with multiple moving partsExperience working within or alongside Shared Services is an advantageStrong systems experience – any exposure to large ERP platforms is welcomeA practical leader who enjoys improving processes and coaching teamsBased in Scotland or willing to relocateIdeal Background10 years in finance and accounting rolesExperience in hotel accounting or multi-site hospitality operationsTrack record of leading teams and improving finance processesFamiliarity with automation, RPA or finance transformation projects would be helpful

Senior Compliance Advisory Manager London (Hybrid) A leading UK wealth management firm is looking for a Senior Compliance Advisory Manager who will support and deputise the Head of Compliance Advisory in providing regulatory guidance across the business and delivering practical technical advice to first-line teams,. Key ResponsibilitiesMaintain compliance policies and deliver training.Manage incidents, root-cause analysis and control improvements.Oversee financial promotions and provide second-line approvals.Oversee compliance for appointed representatives.Support DSAR processes and FCA reporting requirements.Deputise for the Head of Compliance Advisory on projects and governance matters.What We’re Looking For5 years’ compliance advisory experience in financial services or wealth management.Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).

Senior Fund Administrator - In-House Our client, a dynamic local AIFM, are growing their Luxembourg operations and looking to bring in an experienced Senior Corporate/Legal professional.  Key ResponsibilitiesOverseeing the on boarding and structuring process of regulated fund vehicles (private equity), ensuring alignment with applicable regulatory frameworks.Coordinating the preparation and execution of board meetings, including reviewing and approving core fund documentation.Monitoring legal and regulatory developments impacting the fund and ensuring their timely implementation by third-party service providers.Managing investor on boarding work flows in coordination with external stakeholders (transfer agents, legal counsel, compliance teams), with a strong focus on AML/KYC compliance and operational efficiency.Providing oversight of post-launch fund operations, including capital activity (subscriptions, capital calls, and distributions), maintaining investor registers, and ensuring accurate investor reporting Essential Skills & Experience Minimum of 5 years working experience in a fund administration/fund corporate position in LuxembourgWorking of open-ended fund structures and AIF'sStrong understanding of Luxembourg regulatory frameworks – AIFMD & CSSFYou must have authorisation to work in Luxembourg along with previous experience working in Luxembourg to be considered for this position.Call Settings Override To From Record Yes No Always use these settings

The Enterprise Risk Management (ERM) Analyst reports directly to the Head of Enterprise Risk and is responsible for providing independent oversight and constructive challenge regarding risks across the organization. This role supports the implementation of the operational risk framework, including activities such as risk and control assessments, control testing, exposure monitoring, issue and action management, key risk indicators, scenario analysis, and business continuity planning. The Analyst also identifies organization-wide risk issues, monitors risk profiles to ensure alignment with the established risk appetite, facilitates escalation processes, supports accurate governance reporting, and assists business units in identifying and reporting incidents promptly.Essential Duties & Responsibilities• Risk Assessment:Conduct analyses of the organization’s credit, liquidity, interest rate, and capital risk exposures, utilizing stress testing and scenario analysis for thorough evaluation.• Risk Mitigation:Implement mitigation strategies and action plans to reduce the impact of identified risks across key risk categories.• Policy Development:Develop and maintain risk management policies and procedures aligned with regulatory expectations and industry best practices.• Monitoring & Reporting:Track risk exposures and prepare regular reporting for senior leadership. Contribute to the development of key performance and key risk indicators.• Toolset Administration:Administer governance, risk, and compliance (GRC) systems to support activities such as issue/action management, risk assessments, and control testing.Skills, Education & Experience Requirements• High school diploma or GED required; bachelor’s degree preferred.• 3–7 years of experience in risk management within financial services, with specialization in one or more areas: credit, liquidity, market, or enterprise risk.• Strong understanding of risk management principles, regulatory frameworks, and industry best practices.• Advanced proficiency in risk management systems and tools, including Microsoft Excel, Word, PowerPoint, Power BI, and similar platforms.• Ability to produce and interpret complex Excel reports to monitor trends, variances, and exceptions.• Strong analytical, problem-solving, and decision-making skills.• Excellent written and verbal communication skills, with the ability to engage effectively across the organization.

VP – Compliance Business Partner, FIC Sales & Trading |📍 New York, NY (Hybrid) | 💼 Vice President Level | 🕒 Full-Time | 📅 Start: August/September 2025A global financial institution is looking to hire a Compliance Business Partner to support its Fixed Income & Currencies (FIC) Sales & Trading business, with a primary focus on credit products. This is a high-impact VP-level role working directly with front-office trading and sales teams, offering a rare opportunity to influence the compliance culture and risk framework of a major markets division.What You'll Be DoingAct as the first point of contact for compliance advisory within credit trading and sales.Monitor regulatory developments and help the business adapt policies, controls, and processes in line with market regulations (SEC, FINRA, CFTC, MSRB).Participate in and lead internal risk assessments, surveillance reviews, and compliance testing efforts.Collaborate with stakeholders on control design, policy implementation, and supervisory oversight.Support internal investigations, regulatory inquiries, and audits.Deliver targeted training and guidance to ensure adherence to firm-wide and regulatory standards.Partner with business leaders to proactively identify, assess, and mitigate compliance risks.What You Bring7+ years of compliance, legal, or regulatory advisory experience within capital markets.Strong understanding of fixed income products, particularly credit instruments.Knowledge of broker-dealer regulations and U.S. financial market requirements (SEC, FINRA, CFTC, etc.).Confident communicator with the ability to engage front-office professionals and senior leadership.Bachelor’s degree required; JD or MBA is a plus.What’s On OfferCompetitive compensation: $130,000 – $200,000 base + performance-based incentives.Hybrid working environment – New York-based role with flexibility.Comprehensive benefits including healthcare, retirement plans, wellness initiatives, and paid time off.The opportunity to make a real impact in a high-visibility role on a dynamic trading floor.