1 to 25 of 111 Regulatory Compliance Jobs in London

part of Dyninno group of companies which provides products and services in the travel, finance, entertainment, and technology sectors in 50+ countries. As a Regulatory Compliance Manager specialising in UK Financial Services within the Payments sector, you will play a pivotal role in ensuring adherence to regulatory requirements governing payment services. You will navigate complex regulatory landscapes, interpret regulations, and implement strategies to ensure compliance while supporting business objectives. Location : London, United Kingdom. Work from the office 4 days per week. Work from home 1 day per week. Key Responsibilities: 1. Regulatory Analysis … and Interpretation: Stay updated with relevant UK financial services regulations, directives, and guidelines pertaining to payment services. Analyse regulatory changes and assess their impact on payment operations and compliance frameworks. 2. Compliance Framework Development: Develop and maintain robust compliance policies, procedures, and controls specific to payment more »

Assistant Manager Compliance (Regulatory) West end Permanent Hybrid 2/3 split (very generous and achievable annual bonus of up to 58%) Up to £55,000 cer Financial are working alongside a bank who are based in Knightsbridge. They are seeking a Assistant Manager Compliance (Regulatory) to work with them on a permanent basis. The Responsibilities of an Assistant Manager Compliance (Regulatory) Will Include: Assist with the UK Regulatory Compliance monitoring plan by executing reviews independently on various themes such as suitability and appropriateness, client categorisation and financial promotions. Completing regulatory … Horizon scanning. Interpret new/amended regulations, identify significance to the UK business and prepare white papers where relevant. Provide project management assistance and regulatory advice for duration of project. Assist with the provision of regulatory compliance training. Assist with all tasks related to Single Customer View more »

Job Description Senior Compliance Officer - Banking Our Client is a small retail bank based in Central London. They are looking to recruit a Senior Compliance Officer with at least 5-8 years of experience of relevant banking/AML compliance in established bank/financial institutions. Main … Focus or role: To promote and manage the culture and practice of regulatory compliance and ethical standards in the conduct of Anti-Money Laundering Compliance functions throughout the Bank London Branch, and to ensure AML Compliance function is in compliance with those requirements and applicable … standards. To ensure the effectiveness of AML Compliance function's management and regulatory risk issues through the establishment and maintenance of appropriate and effective framework and procedures, compliance and regulatory risks are anticipated, identified, escalated and reported to Head of Compliance, mitigated and managed so more »

Compliance Analyst (Insurance) £40,000 - £60,000 Overall Objective of Role: To provide proactive and professional regulatory compliance assistance and support across the business. Main Responsibilities: Ongoing regulatory compliance support, reporting and coordination: · Provide ongoing advice and support on regulatory matters to the Group … Risk & Compliance Director, Group Compliance Manager and the other Compliance Officers in the Group as required. · Support the Group Risk & Compliance Director on regulatory returns and other reporting for the entities in the Group where he/she is the appointed Compliance Officer. · Provide … support, as required, to other Compliance Officers in the Group on regulatory returns and other reporting. · Provide licencing, KYC and sanctions guidance and advice to the Group’s businesses and departments. · Support the Group Risk & Compliance Director and Group Compliance Manager in the maintenance and administration more »

Job Title: Junior Compliance Analyst (Graduate) Location: London, United Kingdom Company Overview: Join our dynamic commodities firm located in the heart of London's financial district. We specialize in trading various commodities on global markets and are committed to maintaining the highest standards of regulatory compliance. As part … of our expansion, we are seeking a Junior Compliance Analyst to join our team. Role Overview: As a Junior Compliance Analyst, you will play a crucial role in ensuring that our operations adhere to regulatory requirements and industry best practices. This role offers an exciting opportunity for … someone eager to learn and develop skills in compliance, Know Your Customer (KYC) procedures, and transaction monitoring. You will work closely with senior members of the compliance team, gaining valuable experience and training to progress in your career. Key Responsibilities: KYC Compliance: Assist in conducting due diligence more »

Role:Product Manager/Owner - Compliance (Regulatory/FinCrime) Salary: £65k - £80k Location: London, Southwark Hybrid working IRIS are on the search for a Product Manager/Product Owner with experience in FinCrime and Regulatory compliance. You will focus on working with stakeholders and engineering teams to … deliver features and products and ideally would have worked with compliance, AML or Fraud teams. Due to the structure of the team and departments, you will sit inside a scrum team, but hold the responsibilities of a Product Manager. Role: As a seasoned Product Manager/Owner specialising in … Compliance, Regulatory, and FinCrime, I bring extensive experience in collaborating with stakeholders and engineering teams to deliver innovative solutions. My career has been defined by a commitment to ensuring regulatory compliance and mitigating financial crime risks through the development and implementation of robust product strategies. Key more »

Head of Risk and Compliance About us Our rapidly growing fintech customer are transforming the private capital markets. With deep regulatory knowledge and cutting-edge technology, they have enabled frictionless asset creation and transferability across the digitisation of all assets. Their technology is already being used by some … of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet. The role As a regulated business, compliance is not only mandated by regulatory bodies, it is also key to business success. The business are currently regulated by the FCA in the … UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and sustained period of growth and future expansion, we’re looking for a talented Head of Risk and Compliance to join the team and build on great more »

We are looking for an experienced compliance professional to join the Amazon Payments UK (APUK) team to support compliance operations of the firm. Reporting to APUKs Senior Compliance Manager, the Compliance Manager will be responsible for supporting regulatory compliance of the payments propositions within … the UK. The Compliance Manager will be part of the 2nd line Compliance Office and responsible for providing regulatory oversight and approval for new programs, providing expert advice to stakeholders and supporting strategy design with regulatory input. This opportunity requires a subject matter expert to contribute … within a fast-paced, growing team. You will champion customer outcomes and use your knowledge of the industry and regulatory horizon to ensure sustainable, compliant solutions are formed. You will comfortably handle ambiguity, and provide pragmatic challenge to colleagues, peers and leadership and you are not afraid to roll more »

team will be accountable for. providing real-time advice and oversight for payments activity on an end-to-end basis from horizon scanning for regulatory developments, supporting compliance with regulatory change through to oversight of ongoing compliance and operational risk management. providing independent assessment of risk … within the Payments area and highlighting areas for improvement in risk management and controls aligned to the Nationwide Enterprise Risk Management Framework Scanning the regulatory horizon to identify emerging risks, regulatory change and gain wider industry awareness to provide advice and challenge. Working with colleagues from across the … through our own Risk Academy. About you As a minimum you’ll have: You will need strong technical knowledge and understanding of the payments regulatory and legislative framework, the governing regulators including their remits and their strategic intentions as well as external market developments. You will also have a more »

and secure products and services to take control of their financial lives. Job Description Summary: PayPal is seeking a dynamic, innovative, and driven Credit Compliance Manager to join our high-performing UK Risk and Compliance team, reporting to the Credit Compliance Lead. The role contributes to the … in the UK, which offers both regulated and unregulated credit products to its consumers and merchants in those markets. It will focus on ensuring regulatory compliance along with the development and implementation of the Credit Risk and Compliance strategies and relevant policies. Job Description: Core Duties and … Key Strategic Objectives Manage the planning and oversight of key regulatory deliverables in relation to the UK credit portfolio; Monitor relevant regulatory developments and changes Provide functional leadership as the Regulatory/Market Compliance subject matter expert across PayPal’s Risk and Compliance organization and more »

BASIC QUALIFICATIONS Experience in compliance program management, legal, governance, audit, risk/loss prevention, or equivalent. 5+ years of experience in banking, payments, or e-commerce companies including retail payments, consumer credit, lending, and insurance within a second or third line of defense function. Prior knowledge of regulatory compliance, conduct, and financial crime regulations. Sound knowledge of relevant Assurance or Audit practices. Experience advising, supervising, interpreting, and communicating complex regulations to a diverse audience. Excellent team player with the ability to work closely with others to deliver data-driven results, identify and resolve issues. Strong and … businesses. The successful candidate should help the rollout and execution of our second line of defense risk testing and have extensive knowledge of conduct, regulatory compliance, and financial crime requirements. The successful candidate is an ambitious self-starter, with a proven capability to work independently and as part more »

blockchain technology to join their legal team. The ideal candidate will have experience advising clients on a wide range of crypto-related matters, including regulatory compliance, token offerings, smart contracts, and decentralized finance (DeFi). Responsibilities: Provide legal counsel to clients on matters related to cryptocurrency, blockchain technology … and digital assets. Advise clients on regulatory compliance issues, including securities laws, anti-money laundering (AML) regulations, and tax implications. Draft and review legal documents, including whitepapers, terms of service, privacy policies, and token sale agreements. Assist clients with structuring and launching token offerings, including initial coin offerings … cryptocurrency regulation and industry best practices. Requirements: Strong understanding of cryptocurrency fundamentals, including blockchain technology, consensus mechanisms, and token economics. Experience advising clients on regulatory compliance matters in the cryptocurrency space. Excellent written and verbal communication skills. Ability to work independently and collaboratively in a fast-paced environment. more »

blockchain technology to join their legal team. The ideal candidate will have experience advising clients on a wide range of crypto-related matters, including regulatory compliance, token offerings, smart contracts, and decentralized finance (DeFi). Responsibilities: Provide legal counsel to clients on matters related to cryptocurrency, blockchain technology … and digital assets. Advise clients on regulatory compliance issues, including securities laws, anti-money laundering (AML) regulations, and tax implications. Draft and review legal documents, including whitepapers, terms of service, privacy policies, and token sale agreements. Assist clients with structuring and launching token offerings, including initial coin offerings … cryptocurrency regulation and industry best practices. Requirements: Strong understanding of cryptocurrency fundamentals, including blockchain technology, consensus mechanisms, and token economics. Experience advising clients on regulatory compliance matters in the cryptocurrency space. Excellent written and verbal communication skills. Ability to work independently and collaboratively in a fast-paced environment. more »

Compliance Advisor - Storage Centrica Energy Storage+ (CES+) is a key Business Unit within the Centrica group and operates large scale natural gas storage and production facilities in East Yorkshire, across its sites at Easington and an offshore platform in the North Sea. CES+ has energy transition ambitions, looking to … create an integrated energy hub, not only to meet our own net zero ambition, but to provide infrastructure which supports UK energy security and regulatory energy transition commitments. It's an exciting time to join us to help us with our ambitions. As a Compliance Advisor, you'll … assist with providing compliance regulatory support and advice to the gas storage business regarding the operation of Centrica Energy's assets. Strong knowledge of gas storage assets is essential along with experience in the field of regulatory compliance with knowledge of areas such as UK REMIT more »

delighted to partner with a globally recognised foreign exchange brokerage headquartered in London. Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme. … Key Responsibilities: Foster relationships with front office staff to enhance their understanding of regulatory obligations Monitor front office operations for adherence to rules, escalate issues as needed, and implement corrective actions Conduct compliance reviews and assessments of front office activities Test controls to ensure business operations comply with … regulatory requirements Act as a first point of contact for general regulatory queries, providing advice and guidance to the business Generate management information reports on surveillance, liaison, and training efforts Lead remediation projects for areas of compliance weakness identified by the second line of defence Contribute to more »

As a Cyber Security Compliance Officer, you are the guardian of our organisation's data governance and compliance framework. Your expertise will ensure that our data handling practices are in strict adherence to global data protection regulations and standards. This role is critical in navigating the complexities of … data privacy laws, implementing robust data governance strategies, and instilling a culture of data ethics and compliance throughout the organization. Essential Duties and Responsibilities: Regulatory Compliance : Maintain expert knowledge of global data protection laws (e.g., GDPR, CCPA, DPA(UK)), and ensure our data governance policies and practices … of the company, serve as point of contact for data protection authorities. Risk Management : Identify, evaluate, and mitigate risks associated with data privacy and compliance, implementing a risk management framework that aligns with global standards. Policy Development : Develop, review, and enhance data protection policies, standards, and procedures, ensuring they more »

THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata … reports and Connect applications as needed. Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions. Update company policies, procedures, and help deliver regulatory training. Stay informed on regulatory changes and integrate this knowledge into company policy. Be passionate about fintech … compliance, and be able to use your knowledge and experience to help formulate strategy, propose solutions and manage risk.. Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations. Be a collaborative member of more »

Are you a seasoned regulatory or compliance lawyer looking for your next challenge? SSQ has partnered with a leading global analytics company renowned for its exceptional ESG analysis and data insights, widely considered as the gold standard by institutional investors globally. Due to upcoming global reforms within this … sector our client is looking for specialist compliance counsel, with experience of advising on regulatory reform and corporate compliance (Anti-bribery, FCPA, Ethics, Codes of Conduct, Conflicts etc). The Role: The ideal candidate for the position will be responsible for a range of crucial tasks related … to regulatory compliance. This includes conducting thorough analysis and overseeing the implementation of significant regulatory initiatives, as well as drafting and implementing policies and procedures. They will also be tasked with mapping regulatory rules, managing changes, and navigating registration application processes. Additionally, the role involves handling regulatory more »

Legal Counsel (Regulatory) Location: London Salary: Competitive + Bonus + Benefits Reports to: Senior Legal Counsel Role type: Permanent/Full Time WFH: Hybrid working model Direct Reports: N/A The Role: The role sits with a leading Pensions Insurance Specialist and will report directly to the Senior … Counsel within the legal function. The ideal candidate is an experienced Lawyer with over 4 years of post-qualification experince specialising in UK Regulatory Law. You will provide high-quality commercially focused regulatory legal advice to Compliance and the wider business, as well as assist the firm … on wider strategic projects. Job Responsibilities: To provide high-quality legal advice on UK financial regulatory issues, including FCA and PRA rules, compliance requirements, market conduct and market abuse. Assist the Legal and Compliance teams and the wider business to help ensure that all relevant current regulations more »

overall growth of the stockbroking proposition and strategy. T his role requires deep knowledge of stockbroking, financial markets, technical expertise, strategic planning, stakeholder management, regulatory compliance, and leadership. Non-Negotiables: Deep understanding of investment funds and related products, as well as experience in retail platform business (D2C or … Advised/IFA). Strong technical knowledge of trading platform architecture, trade processing, market data analytics, and regulatory compliance. Lead the design, development, and launch of solutions for projects such as UK Govt Gilts and Corporate bonds, International Dealing/Multicurrency, IPOs (Initial Public Offerings), and Limit Order enhancements. … Compliance knowledge: Understanding of the regulatory environment, especially related to stockbroking, securities trading, and shareholder rights. This includes GDPR, MiFID II, and other relevant financial services regulations. ROLE PROFILE Design and administration of: Employee stock ownership plans (ESOPs) Stock Plan Services (SPS) Share incentive schemes and their tax more »

responsible for overseeing and managing all aspects of financial crime prevention within the organization. This role requires a deep understanding of various financial regulations, compliance frameworks, and the ability to develop and implement strategies to mitigate financial crime risks effectively. You will lead a team of professionals dedicated to … fraud, terrorist financing, and other illicit financial activities. Key Responsibilities: Strategy Development and Implementation: Develop and implement comprehensive financial crime prevention strategies aligned with regulatory requirements and industry best practices. Continuously assess and enhance existing strategies to adapt to evolving financial crime threats and regulatory changes. Policy and … and evaluate financial crime risks across all business areas. Develop risk mitigation plans and work closely with relevant stakeholders to address identified risks effectively. Compliance Oversight: Ensure compliance with relevant regulatory requirements, including Anti-Money Laundering (AML) laws, Know Your Customer (KYC) regulations, and sanctions screening. Monitor more »

Coopman Search and Selection are delighted to partner with a top tier hedge fund witch circa $5 billion AUM who are looking hire a Compliance Associate due to the impressive growth of the firm. The role will report direct into the CCO and will form part of small compliance function. In this role you will be responsible for assisting with all compliance and legal matters covering multiple jurisdictions whilst contributing to ensure the firm maintains a robust compliance control framework. Key Responsibilities: Develop and maintain Compliance Policies & Procedures Ensure FCA & SEC regulatory compliance requirements are adhered too Assess compliance issues for new business projects, including new funds, instruments, counterparties & business lines Support the firm’s sanctions & anti-money laundering (AML) controls Conduct marketing & presentation reviews Monitor regulatory sanctions & company conflicts Carry out SEC filings, including Annual ADV (Part 1 and more »

Position: Head of Compliance - Trade Finance House Company Overview: Trade finance house dedicated to providing innovative financial solutions currently seek a dynamic and experienced Head of Compliance to join their team. Role Overview: As the Head of Compliance, you will play a pivotal role in ensuring that … our operations adhere to all relevant regulations and standards. You will be responsible for developing, implementing, and overseeing our compliance program, as well as providing guidance to internal stakeholders on compliance matters. This role offers a unique opportunity to lead and shape the compliance function within a … dynamic and fast-paced environment. Key Responsibilities: Develop and maintain policies and procedures to ensure compliance with applicable laws and regulations, including but not limited to anti-money laundering (AML), know your customer (KYC), and sanctions regulations. Conduct regular compliance risk assessments and implement controls to mitigate identified more »

Regulatory Technology Projects – Quantitative Investment Manager - London Company Overview: Our client is a global investment management firm that utilises systematic and quantitative strategies across financial markets that seeks to achieve high quality, uncorrelated returns for their clients. As a technology and data-driven firm, they design and build their … operations teams functionally around the world. Role Overview: In this role, you will play a crucial role in maintaining and enhancing the firm's regulatory focus from a technical perspective. You will be responsible for a range of tasks including the implementation of technology across the compliance function. … solid background in Regulation Technology, with experience in implementing and optimising technology solutions across the financial services industry. Key Responsibilities: · Technology implementation within the compliance function · Regulatory compliance: stay abreast of changes in regulatory requirements and industry trends · Data Analysis and visualisation · Documentation and reporting · Training more »

Our Client, a growing Quant Hedge Fund, are looking for a regulation technical specialist with an understanding of coding to join their compliance team in a permanent position . This role will focus on leveraging solutions to enhance compliance processes, automate tasks, and optimize operations within a trading … environment. Key Responsibilities: Regulation Technology Implementation: Lead the assessment, selection, and implementation of technology solutions to automate compliance processes, enhance monitoring capabilities, and streamline operations. Regulatory Compliance: Stay abreast of changes in regulatory requirements and industry trends, assess their impact on the fund's operations, and … implement appropriate Regulation Technology solutions to ensure compliance. Risk Management: Identify and assess compliance risks associated with quantitative trading activities and collaborate with stakeholders to implement risk mitigation strategies using technology solutions. Key Requirements: Bachelor's degree in computer science, finance, or a related field; advanced degree preferred. Familiarity more »