1 to 4 of 4 Compliance Specialist Jobs in London

Role: UK Legal Entity Compliance Specialist Location: London Duration: 12 Months Hybrid 3 days in the office Summary : Responsible for acting as a general Compliance Specialist in the UK to the in-scope Asset Servicing entities. Major Duties: as the senior Compliance Specialist subject … matter within the Asset Servicing UK Legal Entity Compliance team across all applicable entities and compliance programme requirements. as a conduit between the UK Legal Entity Compliance Oversight team, Global Compliance Framework team and Global Regulatory change programme. as the Compliance Specialist providing Asset … Servicing entity support for all Compliance matters. a sound understanding of the FCA and PRA regulatory environment including COBS, CASS, SYSC, DISP, COLL, FUND, MIFIDPRU an active participant in the identification and implementation of improvements to benefit the wider EMEA Compliance sphere to ensure a best-in-class more »

Compliance Specialist £80k A leading brand in the FS space, who specialise in supporting firms with advisory, risk management and capital requirements, are looking for a Compliance Specialist to tackle a broad role in Governance and Compliance. The role Develop the current compliance programme (policies … Maintain up-to-date knowledge of industry regulations in an advisory capacity Manage current and new regulatory projects Your profile Understanding of Financial Markets Compliance Knowledge of UK (EU) regulations Comfortable managing regulatory change projects and horizon scanning/watching Excellent soft skills For full details please apply here. more »

Assurance Risk and Control (ARC) is looking for a Framework Compliance Specialist to provide maternity cover for the team. This is a 12 month role based in the UK. This position supports our cyber security and ESG certification programme, and the successful candidate will need extensive experience in … compliance activities associated with ISO 27001, ISO 9001 and SOC 2 as a minimum . The nature of this position requires contact with company employees at all levels as well as contact with external auditors, client representatives, vendors and other business-related representatives. What You'll Do: Work with more »

a reliable choice. THE RESPONSIBILITIES: Managing and reporting on regulatory projects, including advising on and supporting the business in implementing regulatory change. Support the Compliance Monitoring team with mapping and interpretation of key regulatory requirements as are applicable to the annual Compliance Monitoring Plan, as required. Assist in … the design and maintenance of the compliance training content. Support the delivery of the Compliance team’s key processes and controls, production of monthly MI, KRI/KPI and risk reporting. Lead on tracking regulatory horizon developments in the UK as they relate to financial crime. Support on … the annual Group Financial Crime Risk Assessments. Assist the MLRO to prepare the annual MLRO Report. Manage and oversee updates to the framework of Compliance Policies, Manuals and Procedures, including approvals via relevant committees. Manage and oversee responses to counterparty diligence requests. Support the Operational Due Diligence Team on more »