1 to 25 of 138 Regulatory Compliance Jobs in London

Expertise in the ITIL framework, the associated processes and experience in maturing the use of those processes within financial services An understanding of the regulatory, and professional standards for financial services technology and experience managing people and technology to exceed those requirements. Experience in building and leading diverse and … veteran or any other status protected by applicable law.Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all … applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive more »

processes and technology) relating to data protection (e.g. GDPR), privacy, information/cyber security, physical security, business continuity planning, crisis management and incident response, compliance and independent assurance of IT Controls.What You'll Spend Your Time Doing* Define and implement enterprise security strategy and cyber risk policies and standards … of all our assets globally* Oversee, manage and report any activity in relation to data protection, privacy and independent assurance of IT controls* Monitor regulatory compliance and security policies to educates business unit leaders and service managers on compliance efforts* Lead an experienced enterprise team that provides … operational resilience across the business* Keeps abreast with evolving threats/risks, industry trends and works to implement best practices* Proactively support audit and regulatory inquiries and external vendor activities. Participates in leading industry forums and consortiums (e.g. Lloyd's of London).The Successful ApplicantA proven Chief Information Security more »

Job SummaryJob DescriptionWhat is the opportunity?The Head of Data Protection, UK, Europe and APAC works with key business and Compliance leaders to promote demonstrable compliance with data protection and privacy regulations across all RBC businesses and functions in UK, Europe and APAC.Reporting to RBC’s Global Chief … RBC businesses and functional groups throughout the region, to ensure appropriate protection of personal information of RBC clients and employees.What will you do? Oversee compliance with applicable data protection laws and RBC’s Enterprise Privacy Risk Management Policy;Drive a culture of privacy by advocating for appropriate safeguarding of … businesses within the region;Represent the Privacy function on internal and external committees, including actively participating as a member of the Global Privacy and Compliance Senior Leadership teams;Utilize the open and effective channels within Global Privacy Office and the Compliance function, for the escalation and reporting of more »

used in the financial services technology industry. An understanding of the ITIL framework and processes for Incident, Problem, Change management. An understanding of the regulatory, and professional standards for financial services technology. Desired Qualifications:Professional qualifications pertinent to the role.Substantial investment banking experienceJob Expectations:Ability to work in the … veteran or any other status protected by applicable law.Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all … applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive more »

Ensure client satisfaction and address any concerns or issues promptly. Technical Expertise: Stay updated on the latest advancements in green technologies, sustainability practices, and regulatory requirements. Conduct technical evaluations and provide recommendations for the most effective and efficient solutions. Prepare and present technical proposals and reports to clients and … stakeholders. Financial and Regulatory Compliance: Secure necessary permits and ensure compliance with local, state, and federal regulations. Identify and apply for available grants, incentives, and financing options to support project funding. Monitor project expenditures and manage financial performance to achieve profitability targets. Team Leadership and Collaboration: Lead more »

Compliance Monitoring Manager is required by our client in City of London within Financial Services to take ownership of multiple aspects of internal, market conduct, and consumer protection compliance; including any associated second-line controls, and manages advisory and regulatory change projects. As Compliance Monitoring Manager … your primary focus will be to design and maintain testing and monitoring programmes for each relevant regulatory area (financial promotions, product governance or others depending on your experience). In a dynamic and complex environment with growing regulatory challenges and product and process innovations, your role will require … addressing regulatory change by identifying required systems and controls adaptations. As Compliance Monitoring Manager separate from anti-money laundering (AML) related tasks, as a different monitoring plan covers these. The Compliance Monitoring Manager will be instrumental collaborating with other General Compliance team members at the Pan more »

and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade Surveillance Compliance Officer to join the team in London. Role Overview: The VP Trade Surveillance Compliance Officer will play a pivotal role in ensuring our … firm adheres to the highest standards of regulatory compliance. This senior position requires a deep understanding of trade surveillance, market abuse regulations, and extensive product knowledge in FX, Credit, or Rates. The successful candidate will be responsible for monitoring trading activities, identifying potential risks, and implementing robust compliance … detect and prevent market abuse and other illicit activities. Utilise advanced surveillance tools to monitor trading patterns and behaviours across FX, Credit, or Rates. Compliance Monitoring: Conduct thorough investigations into suspicious trading activities and report findings to senior management and regulatory authorities as required. Regulatory Adherence: Ensure more »

Regulatory - Professional Support Lawyer (3 days per week) 5+ PQE Top ranked in Chambers UK and Legal 500; our Regulatory team are recognised as one of the best in the UK. With expertise spanning the investigation and presentation of disciplinary cases across all sectors, our lawyers act for … individuals, organisations, corporates and regulators, providing advice on regulatory compliance, investigations, adjudication, enforcement and prosecutions. We are recruiting for a part-time Professional Support Lawyer who will sit at the heart of the team and support the fee-earners & partners on complex areas of law. This is an … more traditional view and focuses on driving change through ‘horizon scanning’ and feeding updates and knowledge into innovation and tech. Candidates will ideally have regulatory and contentious/litigation experience. We’re looking for someone who loves what they do, who keeps their finger on the pulse with legal more »

define technology requirements and deliver solutions that meet the needs of our clients and business stakeholders. Stay abreast of industry trends, emerging technologies, and regulatory developments in asset management and financial services, leveraging insights to inform technology strategy and drive business growth. Ensure compliance with industry regulations and … big data technologies. Excellent communication and interpersonal skills, with the ability to collaborate effectively with stakeholders at all levels of the organization. Experience with regulatory compliance (e.g., SEC, FINRA, GDPR) and security best practices in the financial services industry. Proven track record of successfully delivering complex technology projects more »

Manager, you will be a dedicated Fixed Income Middle Office Operations specialist and will be experienced in optimising operational efficiency, managing risks, and ensuring regulatory compliance. You will also bring a thorough knowledge of regulator requirements for the FCA, SEC, and CFTC, along with compliance frameworks applicable to more »

Compliance Analyst opportunity working with a rapidly growing Lloyd’s Syndicate. Reporting to the Senior Compliance Analyst and working closely with the Head of Compliance and underwriting teams, you will support the Compliance team on a wide variety of Compliance matters, including supporting on the … set up of new overseas companies and Lloyd’s syndicates. Key Responsibilities: Keeping informed of regulatory developments and communicating key changes out to the business; Horizon scanning; Undertaking initial due diligence on pre-bind sanctions referrals; Support in conducting the annual financial crime risk assessment; Maintaining compliance training … records; Providing advice and guidance to the business on regulatory matters; Reviewing and updating compliance policies and procedures Support in drafting of compliance management information and reporting to Boards, Committees and regulators; Maintaining the business timetable; Responsible for conducting monthly monitoring activities, identifying any issues in the more »

a subject-matter expert (SME) with a strong background in MiFID/R, MAR, and EMIR to work alongside their Global Markets Prudential and Regulatory Compliance Risk Lead. Key Responsibilities: Collaborate with managers on MiFID/R and MAR control assessments and remediation. Engage with project teams to … evaluate control designs and escalate enhancements. Conduct thorough regulatory control assessments and documentation. Facilitate workshops to validate control assessment outcomes. Design and implement processes and tools for regulatory control assessments. Prioritise and manage remediation items and integrate outputs into standard operations. Perform qualitative reviews and support project management … in large banks, with practical, BAU experience. Proficient in transparency and reporting regimes and control translation. Active participation in industry forums and monitoring of regulatory standards. Strong understanding of control vs. process and gap analysis in regulatory compliance. Familiarity with risk areas in regulatory or compliance more »

Act as joint/assistant Secretariat for ALCO and from time-to-time other risk-related meetings. Produce management information for ALCO, Subsidiary Risk & Compliance (RCC) and Branch Risk Committee meetings. Assist the Department Head and the Liquidity Risk Team and join the respective inter-departmental working groups in … the annual updates of the ILAAP and RRP for the Subsidiary, as well as other UK regulatory compliance work. Propose and provide advice on risk management strategy, framework, policy and procedure, and assist in the annual updates of risk-related policy documents owned by Risk & ALM. Daily, weekly … liquidity position and buffer on a daily basis, conduct daily liquidity forecasting and perform ad hoc analyses. Produce management information for ALCO and Risk & Compliance Committee meetings. Internal stress testing, including regular review of the scenarios to ensure that they are relevant and up-to-date. Enterprise Risk Management more »

Standards Job Description: Job Brief To develop, implement, and maintain data governance policies and practices using Azure services. This role ensures data quality, security, compliance, and effective data governance across the organization. Key Responsibilities: Data Governance Strategy: Develop and implement data governance frameworks, policies, and standards. Collaborate with stakeholders … access with Azure Active Directory and safeguard sensitive information with Azure Key Vault. Implement data retention and archiving policies with Azure Synapse Analytics. Monitor compliance using Azure Monitor and Azure Security Center. Architectural Skills: Design and implement data governance architecture using Azure services. Develop automated data movement and transformation … processes. Ensure alignment with regulatory compliance standards like GDPR and HIPAA. Qualifications: Minimum of 10 years of experience in data governance or a related field. Strong expertise in Azure services (Purview, Data Factory, Synapse Analytics, Active Directory, Key Vault). Knowledge of data governance principles and compliance more »

London Liverpool Street. Work alongside the Global Head of Delivery, Heads of Business Functions, Business Analysts and Project Managers to deliver end-to-end regulatory compliance with our Risk and Control Programme objectives, requiring coordination from numerous business areas Own planning, scheduling and resourcing for the Risk & Control more »

of potential customers, ensuring a sound risk management framework for new acquisitions. This role requires a deep understanding of credit risk, financial analysis, and regulatory compliance, as well as the ability to make informed recommendations to support business growth while maintaining prudent risk levels. RESPONSIBILITIES Conduct comprehensive credit … assessments of potential customers applying advanced financial modeling and analysis techniques. Evaluate credit risk associated with new acquisitions, considering industry trends, economic factors, and regulatory requirements. Collaborate with cross-functional teams to gather relevant data and insights for accurate risk assessments. Develop and implement credit risk strategies to optimize … analytical and quantitative skills, with proficiency in financial modeling and risk assessment methodologies- using SAS or SQL In-depth knowledge of credit risk management, regulatory compliance, and industry best practices. Excellent communication skills with the ability to present complex information in a clear and concise manner. HOW TO more »

machines, containers, storage, networking, and databases. Collaborate with development teams to optimize application performance and scalability in Azure environments. Implement security best practices and compliance standards to ensure data protection and regulatory compliance within Azure deployments. Monitor and optimize Azure resource utilization, performance, and cost efficiency. Troubleshoot more »

Management for both FM and Scientific Assets across all UK sites. Engage in cross departmental projects. Support QA in internal/Sponsor Audits. Maintain regulatory compliance at all times Support to Smart Management Team to ensure all activities are completed. PERSON SPECIFICATION: Experience (essential) Good PC skills Experience more »

for businesses across various sectors. Their expertise lies in seamlessly integrating third-party IAM and PAM solutions into complex IT environments, ensuring enhanced security, compliance, and operational efficiency for their clients. Job Description: As a IAM/PAM Security Consultant you will play a crucial role in delivering bespoke … Directory, LDAP), SSO technologies, and federation protocols (SAML, OAuth, OIDC). Strong understanding of related technological approaches (e.g. Zero Trust, Least Privilege, ) Familiarity with regulatory compliance and industry standards related to identity and access management. Exceptional analytical and problem-solving skills, with the ability to translate complex requirements more »

and third parties. Team Development: mentor team members and share knowledge. Emerging Technologies: assess and document new technologies for proposal and review by stakeholders. Regulatory Compliance: ensure adherence to FCA, PRA, TCF, and GDPR regulations. Cybersecurity: implement a security-first approach in all systems and environments. What We more »

Security Assurance Analyst to support their existing team. THE ROLE: Information Security Assurance Analyst The Security Assurance Analyst will participate in activities related to regulatory compliance, cyber security assessments of vendors/delegated authorities, IT audits/assurances, security awareness and training initiatives, and the management and reporting … ensuring the confidentiality, integrity, and availability of enterprise services. This position involves working closely with key stakeholders across the business, including Procurement, Delegated Authority, Compliance, Risk, Operations, and the broader Technology Services team. KEY RESPONSIBILITIES: Information Security Assurance Analyst Be part of a dedicated Information Security team, contributing to … records of all third-party cyber security assurance findings. Facilitate cyber security discussions with third parties to support and enhance their security posture. Perform compliance reviews for new software requests. Offer guidance and assist business stakeholders with Information Security communications across the organization. Collaborate with colleagues to support Information more »

them being customer obsessed and lead the transformation initiatives to build new offerings, solutions and innovative business models aligned to the market trends and regulatory commitments. Cognizant has seeking an established UK Transmission and Distribution Consulting lead/Associate Director as part of our Utilities Industry consulting group where … domain being customer obsessed and lead the transformation initiatives to build new offerings, solutions and innovative business models aligned to the market trends and regulatory commitments. Key Responsibilities: Engage with business stakeholders to ensure compliance with industry regulations and upcoming changes in electricity transmission and distribution market structure … Review, analyse and provide solutions around UK electricity network domain specific problem statements in the functional areas of strategic spatial planning, design standards, regulatory approval, planning approval, supply chain and skills, communities and engagement and outage planning Build a team of T&D specific domain consulting capability with ability more »

Job Title: Regulatory Compliance Officer Location: London, United Kingdom Type: Full-Time (5 days a week, on-site) About the Client: Our client is a pioneering fintech company that specialises in global payments and remittances. They are committed to providing seamless financial solutions to their customers and ensuring … the highest standards of compliance and regulatory adherence. Role Overview: We are seeking a dedicated and experienced Regulatory Compliance Officer with a focus on Consumer Duty to join our client's dynamic team in their London office. This role demands a proactive and knowledgeable professional who … can swiftly adapt to a new environment and contribute to the company’s compliance framework. Key Responsibilities: Ensure compliance with UK regulations for payment and financial services, specifically focusing on Consumer Duty requirements. Develop, implement, and monitor compliance policies and procedures to ensure the company’s operations more »

THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business. Assisting in compliance oversight of all activities outsourced to other entities. Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to … the Company. Execution of a risk-based compliance monitoring programme in line with regulatory guidelines and in conjunction with business and compliance departments. Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis Compliance oversight of financial promotions issued by the more »

innovative, and successful Life Sciences companies. Our 750 consultants are working on innovative activities in engineering, production, quality (QA, QC, validation), R&D, and regulatory affairs across Belgium, Switzerland, Germany, Denmark France, and Canada. Thanks to our excellent team, we support manufacturers in all stages of drug development. Respect … work in a stimulating environment, with a lot of opportunities for your professional and personal development. Job Summary We are seeking an experienced Risk & Compliance Construction Manager to join our team. This role will ensure the safety and regulatory compliance of construction projects within highly regulated environments … comprehensive safety policies and procedures for construction projects. Conduct regular safety inspections and audits on construction sites to identify and mitigate potential hazards. Ensure compliance with industry safety regulations and standards. Conduct safety training sessions for construction personnel to promote a culture of safety. Investigate incidents and accidents, and more »