1 to 25 of 319 Regulatory Compliance Jobs in the UK

The Role: This role will operate independent of business operations to provide proficient advice and assist SMFL on a wide range of compliance matters, including regulatory and conduct risk issues, to ensure ongoing compliance with its obligations under the regulatory regime. The Senior Compliance Lead … will play a key role in ensuring that SMF has fit-for-purpose systems and processes in place to manage regulatory risk and deliver good customer outcomes. This role will provide advice and guidance to the business on technical regulatory issues, utilising broad financial services knowledge to contribute … to policy changes, analysing the impact of regulatory changes, appreciating when potential issues require escalating, and ensuring the implementation of any required changes to internal policies/procedures and partner with key stakeholders in the business to deliver change and improve controls. Key Responsibilities: Key responsibilities include, but are more »

exchangers and air handling units. Planning and organisation skills to be able to manage multiple elements of a project at once. An awareness of regulatory compliance associated with industrial projects, including planning, building control, fire, environmental permitting, noise assessments and electrical connections. Appreciation of energy saving measures and more »

A successful start-up company in the iGaming sector is keen to hire a Compliance Officer. This role is responsible for managing day-to-day compliance operations, supporting the Compliance Committee, acting as a liaison with regulatory bodies and managing compliance related communications. Key Responsibilities … Operational Compliance Management Implement and oversee the company's regulatory compliance policies and procedures. Work under the direction of the Managing Director and in collaboration with the compliance team to identify and mitigate compliance risks. Monitor changes in legislation and enforcement that may impact the … company's gambling operations. Support Compliance Committee Activities Participate in Compliance Committee meetings, contributing to agenda setting and the execution of the committee's responsibilities. Aid in facilitating discussions, ensuring that all viewpoints are considered and compliance objectives are met. Regulatory Compliance Oversight Maintain and more »

Compliance Analyst - Wealth Management Bristol Area (1-2 days a week in office) £35k - £45k DoE Minimum of 1-2 years experience within Compliance or as a Paraplanner Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and … fostering positive customer outcomes under the FCA’s Consumer Duty requirements. Working closely with the Group Head of Compliance, they will be instrumental in ensuring strict adherence to regulatory mandates while championing excellence in customer outcomes and customer service. The primary focus will centre on ensuring compliance … the highest standards of advice quality and professionalism through comprehensive training and competence programs. The analyst’s efforts will be essential in safeguarding both regulatory compliance and our clients' best interests, reinforcing our reputation as a trusted financial services provider. Key Responsibilities: Conduct regular reviews and assessments of more »

The Commodities Compliance Officer will be responsible for ensuring compliance with all regulatory requirements and internal policies related to our metals trading activities. This role demands a professional with in-depth knowledge of base metals compliance, while also considering candidates with experience in precious metals. Key … Responsibilities: Regulatory Compliance: Ensure the firm's trading activities in base metals and precious metals comply with relevant UK and international regulations. Policy Development: Develop, implement, and maintain compliance policies and procedures specific to metals trading. Monitoring and Reporting: Conduct regular compliance monitoring and prepare comprehensive … reports for senior management and regulatory bodies. Risk Management: Identify, assess, and mitigate compliance risks related to metals trading, ensuring robust controls are in place. Training and Support: Provide training and guidance to staff on compliance matters related to metals, fostering a culture of compliance across more »

Coopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. The firm have offices across UK … Dubai & US. Key Responsibilities: Ensure FCA & SEC regulatory compliance requirements are adhered too Operate core compliance programme (PAD, Conflicts, Gifts and entertainment) Assess compliance issues for new business projects, including new funds, instruments, counterparties & business lines ·Assist with International long/short daily filings· Monitor regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required Review of trade errors, market abuse related matters and market soundings Organise compliance training Experience Required: 5+ years compliance experience, ideally within a hedge fund or investment manager Strong understanding more »

in the ultrasound field. Drive innovation and continuous improvement in product development and engineering processes. Manage relationships with external partners, suppliers, and stakeholders. Ensure compliance with industry standards, regulations, and quality assurance protocols. Provide technical guidance and mentorship to team members. Prepare and present technical reports and updates to … strategically. Strong communication and interpersonal skills. Ability to work collaboratively with cross-functional teams. Demonstrated ability to drive innovation and continuous improvement. Experience with regulatory compliance and quality assurance in a technical environment. It’d be nice if you had: Knowledge of ultrasound technology and its applications. Knowledge more »

on a 3 month fixed term contract. You will play a vital role in ensuring the integrity of clients through the highest standards of regulatory compliance, risk assessment, and due diligence within our organisation. Excellent communication skills are essential, as you will be required to provide verbal and … This role is a great opportunity to join an established Fintech business and will play a key part in ensuring the business meets its regulatory objectives. ***This role is based onsite at our London Liverpool Street office 5 days per week*** ROLE AND RESPONSIBILITIES Assist in reducing financial crime … and supporting the business to ensure the existence of a strong risk culture with robust supporting systems and controls. Keep up to date with regulatory requirements around Anti Money Laundering, Bribery and Corruption, Financial Crime including Market abuse and Insider Dealing, Countering the Financing of Terrorism and Financial Sanctions. more »

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

Operational Resilience Business Partner (Corporate Functions & HR) VP Introduction: Are you driven by the challenge of ensuring operational resilience and regulatory compliance within the financial sector? We are seeking an experienced Operational Resilience Business Partner (Corporate Functions & HR) VP to join our team. In this role, you'll … play a pivotal role in supporting corporate functions such as finance, compliance, and HR, ensuring compliance with operational resilience regulations across the UK (FCA/PRA) and the EU, including the Digital Operational Resilience Act (DORA). Responsibilities: Develop, embed, and manage the Operational Resilience framework, tools, and … methodologies in line with regulatory requirements. Act as a single point of contact for corporate functions, supporting the identification of critical/important functions and mapping them within the Operational Resilience Framework. Coordinate with stakeholders across Corporate Functions and HR to ensure a cohesive approach to resilience management. Conduct more »

Compliance Manager and Data Protection Officer This is a permanent full-time position offering a hybrid working model. There is a requirement for one day per week in the London office and the option to work the remainder of the week remotely if preferred. About the Company: Our client … and preventing fraud. They partner with major organizations to protect financial institutions and emergency services across the UK. Role Overview: We are recruiting a Compliance Manager and Data Protection Officer (DPO) on behalf of our client. Reporting to the CFO, this role ensures transparent, ethical, and compliant data use … evaluates emerging regulations (including AI), and collaborates with the Executive Team on policy implementation. Key Responsibilities: Privacy Compliance: Fulfil DPO duties, manage governance systems, and execute privacy strategies. Conduct Data Protection Impact Assessments (DPIAs). Facilitate risk management plans and regulatory assessments. Serve as the main contact for more »

product offerings to enhance functionality and efficiency. Performance Monitoring: Define and track key performance indicators (KPIs) to measure product performance and drive continuous improvement. Regulatory Compliance: Ensure all products comply with relevant regulatory standards and best practices within the fund services and investment industry. Requirements: Experience: Minimum more »

the sales teams in preparing proposals, and winning new projects. Technical Leadership: you'll provide technical leadership to a team of engineers and professionals. Regulatory Compliance: you'll ensure that electrical systems and projects comply with relevant regulations, codes, and standards and compliance to our QA processes. more »

functional partners, internal and external stakeholders, and senior leadership to continually improve procedures and policies based on emerging trends and challenges, and to ensure compliance with all laws, policies and processes. Participate in team meetings, training sessions, and workshops to enhance skills and knowledge. Qualifications and Requirements: Minimum of … to 5 years of industry experience, with at least 2 years of experience in either trust & safety, privacy, compliance, or similar functions; Experience working with international partners across different time zones and cultures, including working on legal or regulatory compliance obligations; Strong project management and communication skills more »

is looking to expand the team as they are looking for a Legal Assistant. You would be responsible for reviewing Engineering test files for regulatory compliance and conducting related research. Responsibilities : Maintains an understanding of the certification compilation and research process, including methods for obtaining required information Review more »

systems. Main Tasks Collaborate with IT team, and business units to develop scalable infrastructure strategies. Oversee all IT infrastructure operations, ensuring best practices and regulatory compliance. Train and develop junior staff to ensure high-quality service delivery. Manage vendor relationships to ensure value and policy compliance. Ensure seamless service more »

Technical Compliance Engineer - Medical Devices About Us: Our client is dedicated to innovating and delivering high-quality medical devices that improve patient outcomes. Their team is composed of experts from various fields, all committed to pushing the boundaries of what's possible in health care. We value integrity, excellence … and collaboration. Role Overview: As a Technical Compliance Engineer, you will play a crucial role in ensuring our clients medical devices meet all regulatory requirements and standards. You will work closely with cross-functional teams to develop, implement, and maintain compliance programs that align with industry regulations … and company policies. Key Responsibilities: Regulatory Compliance: Ensure all medical devices comply with relevant international and local regulations. Quality Assurance: Collaborate with the quality assurance team to conduct internal audits, manage non-conformance's, and implement corrective actions. Product Development Support: Provide regulatory guidance during product development more »

on trends or critical to quality findings identfied. Engages operational leaders in execution of quality strategies, while driving a strong culture of quality and compliance and continuous improvement. Essential Job Duties: Is responsible for inspection preparation, conduct and response Ensures development, maintenance, and execution/delivery of fit-for … purpose/risk-based audit programs aligned with global RC&QA strategies and alignment with industry best practices and regulatory expectations Represents RC&QA as a senior leader as a key point of contact in various client meetings including but not limited to proposals and bid defences Propose and … create appropriate organisational metrics/dashboards demonstrating quality and compliance Communicate escalation issues to management in a timely manner implementing appropriate functional and business solutions and providing regular update Negotiate, influence and effectively manage constructive crucial conversations with business partners and external stakeholders Partner with operational leaders to ensure more »

Asia for their Treasury needs. Key Responsibilities: Core Activities Strategy/Framework/Policy: Assist in the ownership and creation of the various Liquidity regulatory reporting, policies and assessment including the Individual Liquidity Adequacy Assessment (ICARA), Recovery Plan and related policies which are reviewed and approved by the respective … management, including the management of funding and liquidity; Monitoring and adherence to the Boards’ liquidity risk appetite; To take account of all financial and regulatory compliance requirements and associated thresholds; and Ensure individuals responsible for managing liquidity are sufficiently experienced and fully understand the requirements. Cash & Liquidity management … the governing bodies, CFO, and CEO of the firm, other internal stakeholders and the Group as appropriate; Review exceptions/excesses to internal and regulatory policies and limits; Escalation of issues to management/committees as required; Report on the effectiveness of Treasury processes, policies and controls when requested more »

Compliance Associate – Private Credit Firm - London Company Overview: Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are … currently seeking a Compliance Associate to join their Compliance team and contribute to the success and growth of the firm. Role Overview: As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for … and ensuring adherence to applicable regulations, policies, and procedures. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels. Key Responsibilities: · Regulatory compliance: Stay abreast of relevant financial regulations, including but not 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 »

an entire body of work as you take this CNI company on a OT cyber security journey from its current brownfield state , to achieving regulatory compliance with the governing bodies regulations for OES in the GB. This is a hands-on career defining role! This work must be … done, and compliance must be achieved, so you’ll be backed from the top and supported with complete buy in across the board. In relative terms (for CNI) this is a small/Med orgaisation, which means decisions can be made quickly and without fuss – it’s a place … the Responsibilities of the Cyber Security OT Manager: The overarching responsibility is to take complete ownership of the OT/Cyber function and ensure compliance is achieved with the governing bodies regulations (OES/NIS/CAF etc) within the designated timelines. Including but not limited to: cyber risk more »

solutions. Our client, a leading US-based organization with global presence, is on a mission to revolutionize data collaboration while safeguarding privacy, confidentiality, and regulatory compliance. Recognized for excellence in innovation and awarded prestigious accolades including CB Insights’ AI 100 and the Regtech 100 Awards, they are backed by … SMPC, Federated Learning, TEE). Data Science experience (data analysis, data management, statistics, and machine learning). Familiarity with relevant data protection regulations and compliance standards in government sectors. Strong knowledge of SQL and database systems. If you're ready to make a substantial impact, driving success in both more »

About Compliance The Compliance team oversees the regulated activities that Barclays undertakes. The team includes experts in three main disciplines: Regulatory Compliance (Consumer Protection, Market Integrity and Market Conduct); Financial Crime (Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption); and Operations. Compliance is a critical … part of our business: changes to economic conditions and regulatory requirements make our compliance department a busy place. Many of our Compliance team members work with senior business leaders, helping to keep Barclays up to date with the latest thinking on control and regulation. As a Compliance … your talent to our team. Please visit our website here for more information. About Financial Crime Financial Crime is a component pillar of the Compliance Function delivering oversight and services dedicated to the management of ABC, AML, Sanctions and Anti-Tax Evasion Facilitation Risks. ­­­­­­­­­­­­­­­­­­Overall purpose of role The more »

Risk and Compliance Lawyer Guildford/Surrey 3 days working from home Exciting opportunity for an experienced Compliance Lawyer/professional to take on a new Risk & Compliance role for this very well established and forward-thinking private practice law firm. You will currently work in a … Compliance role, and ideally already with experience of working in a law firm environment with all the unique regulatory and compliance requirements and challenges. In this role you will be a key member of the firm’s risk management team, helping implement and overseeing statutory and regulatory compliance with the SRA, with experience of the AML regulations, taking responsibility for the firm’s complaints procedures and for the firm’s adherence to the Lexcel quality standards. It is in every sense a 360o role where you will enjoy being the primary point of contact on more »