1 to 25 of 33 Compliance Analyst Jobs in the UK

Job Description Technical Compliance Analyst - (GamblingCompliance) Company: Vixio is the leading provider of regulatory intelligence. Our trusted insights and analysis give our clients a true picture of what’s happening in an ever-changing landscape. We combine world-class content with advanced technology to help our clients make … leading regulatory insights and analysis, Vixio is now expanding its coverage of legal and regulatory requirements for gambling operators and suppliers to include technical compliance requirements in regulated online gambling markets globally. As part of this expansion, Vixio is seeking a Technical Compliance Analyst to oversee the … development of a forthcoming Vixio technical compliance solution. The role will involve collaborating with internal and external stakeholders, including clients, to design, develop and launch a premium technical compliance solution to provide significant value to online gambling companies operating in multiple jurisdictions around the world. What You'll more »

Job Description 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 Paralegal 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 with the Consumer Duty specifically within the advisory functions of the organisation. This entails providing robust support to our advisors, ensuring they uphold the highest standards of advice quality and professionalism through comprehensive training and competence programs. The analyst’s efforts will be essential in safeguarding both more »

more than $7.0 billion in assets as of 12/31/23. Position Overview This position will assist in the management of the compliance programs’ policies, reporting and practices for Deerpath. Under the direction of the Compliance Director, the Compliance Associate will be responsible for applying … compliance policies and procedures to business practices, documenting the assessment, testing of supervisory controls, fostering compliance related initiatives, maintaining policies and procedures, monitoring and creating controls. Primary Responsibilities Assist the Compliance Director with the firm’s Compliance Program which consists of SEC compliance, State specific … compliance and compliance in International jurisdictions (particularly UK & EEA) Review and apply company’s compliance policies outlined in the Code of Ethics, Compliance Manual, AML/KYC policy and other policy documents Assist with Fund Compliance registration, marketing and reporting requirements Monitor and create control more »

Job Description The Compliance Analyst will play a pivotal role in supporting the Corporate Compliance Manager in managing compliance risks within the Group. This role will involve ensuring timely completion of counterparty due diligence and periodic reviews, as well as ensuring compliance with key regulations … identifying the nature of an entity's role in a transaction and producing corporate trees to ascertain beneficial ownership and subsidiary holdings. Deployment of Compliance Training: Take responsibility for deploying group-wide computer-based compliance training programs. Policy Adherence: Review and adhere to internal compliance policies and … procedures, ensuring alignment with applicable legislation and regulations. Procedure Documentation: Assist in drafting and documenting procedures, policies, and processes as necessary to enhance compliance practices. Administrative Tasks: Provide support for all compliance matters and undertake day-to-day administrative tasks related to compliance activities. Monitoring Alerts: Clear more »

Role : PCI Compliance Analyst Location : Leeds/Hybrid Rate : Market Rate (Outside IR35) Length : 6 months (potentially negotiable) A well-known Leeds-based organisation are looking to bring in a contractor with experience managing the process around achieving PCI compliance. They understand where they are now and where … they need to be, the PCI Compliance Analyst wll ensure they get there! At CV and interview, the PCI Compliance Analyst will need to evidence experience carrying out with the below responsibilities. PCI Compliance Analyst Responsibilities Managing and creating processes around PCI and SOX. more »

Compliance/Senior Compliance Analyst opportunity working with a rapidly growing Lloyd’s MGA. Reporting into the Compliance Manager, you will support the Compliance team in its day-to-day activities in support of the business and its managed Syndicate. Key Responsibilities: Support the delivery … of the compliance plan including advisory, monitoring, reporting and regulatory activities. Review and analyse/report on regulatory changes. Assist in the monitoring and reporting of conduct risk exposure including treating customers fairly/Consumer Duty, product oversight and complaints. Assist with the dealing of complaints, including liaising with … the claim’s teams, coverholders/TPAs, Lloyd’s, LIC and the Financial Ombudsman Service as appropriate. Assist in the delivery of compliance monitoring activity. Review and report monthly on the performance of each underwriting team in meeting contract certainty, sanctions and licensing standards. Assist the team in providing more »

Sensitivity Review IT Technical Support Officer £29,586 - £34,179 plus £1,750 location allowance and excellent benefits Full time and based at Hanslope Park near Milton Keynes Free shuttle bus available between central Milton Keynes and Hanslope Park Positive more »

focused and confident individual who is looking to be part of a fast growing financial services business. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of second line of defence compliance including thematic review work, compliance monitoring and interfacing … with the business. What youll be doing You will play a supporting role in the day-to-day running of the Compliance Quality Assurance function in the Compliance Monitoring Team. Carrying out required monitoring reviews within scheduled timescales. Producing high quality monitoring reports, suggesting remedial action where required … and tracking issues to closure. Producing monthly QA MI for the Head of Compliance to review on an on-going basis. Providing constructive feedback development points to other business functions to drive a positive compliance culture whilst adhering to regulatory and company guidelines. Maintaining detailed knowledge of regulatory more »

BettingJobs is currently seeking a Compliance Analyst to join an established iGaming company. The Compliance Analyst would be responsible for reviewing customer due diligence and ensuring compliance to regulations and guidelines. The Compliance Analyst role would suit an individual with an in depth … understanding of responsible gambling and AML requirements who has experience working with a UK Gambling Commission licenced operator. Responsibilities: Ensure compliance to the regulations and guidelines set by the UKGC. Investigating and responding to AML and transaction monitoring alerts Day-to-day compliance monitoring including managing AML and … customer withdrawals. Carrying out and analysing KYC checks and the results of client screening. Conducting reviews of customer accounts. Conducting affordability assessments. Respond to compliance related customer queries or complaints. Maintain accurate records of appropriate compliance related activities. Preparing information for investigations. Completing ad hoc projects to support more »

JOB DESCRIPTION: The Compliance Analyst is primarily responsible for implementing and monitoring the contractual and regulatory requirements of the various lender programs as they relate to securities lending and short-term investment management activities. This role assists with various compliance testing and requires attention to detail. The … Compliance Analyst is a primary liaison internally for compliance-related inquiries. JOB RESPONSIBILITIES: Updates pre-trade compliance system for securities lending and short-term investment management programs as required following established internal Program Change protocols. Daily monitoring and reporting of Lenders contractual and regulatory securities lending … parameters. Confirm daily that short-term investments are in compliance with client investment guidelines. Review of cash and non-cash collateral to confirm there is sufficient collateral. Daily compliance review of discretionary securities lending activity. Escalate non-compliant situations internally for appropriate escalation. Follow-up and assist with more »

Coopman Search and Selection are delighted to partner with a leading alternative asset manager with circa $15 billion AUM who are looking hire a Compliance Analyst due to the continued growth of the firm. In this role you will be responsible for a providing generalist compliance support … to the wider compliance team. You will report directly into the Head of Compliance. Key Responsibilities: Advisory compliance support across the business Assist Compliance Team to collate information & documentation for the Compliance Monitoring Programme Assist in implementing regulatory change Assist with conducting regulatory change horizon scanning … Provide support to the Compliance Team with oversight of Compliance System Responsible for maintenance of Registers Produce training slides Regular collection of compliance and risk MI for preparing Risk Management and Board reports. Experience Required: 1 - 3 years’ experience working within an alternative investment manager or consultancy more »

A leading FX Trading company in London are looking for a 'Compliance Analyst’ to join their team. Competitive package on offer - salary up to £65k basic plus discretionary bonus, dependant on experience. Hybrid working, (offices based in city.) You must be working in a similar Compliance/… AML/KYC role within the FX/CFD Trading industry to be considered for the role. Key Responsibilities: Utilise your expertise in forex compliance matters to enforce organisation standards, policies, and procedures. Demonstrate a strong understanding of relevant regulations, particularly AML/KYC requirements. Assist in recommending regulations … policies, and procedures to enhance effectiveness and productivity. Review, enhance, and design policies and procedures to ensure compliance with regulations in the jurisdiction we operate. Prepare quarterly Compliance Reports to ensure transparency and accountability. Person Specification: Compliance/AML/KYC experience within the FX Trading industry. more »

As an Anti Money Laundering Compliance Analyst, you will play a key role in guiding the Business in respect of anti-money laundering and counter-terrorist financing (AML/CTF) compliance. Working as part of a team and reporting to the Anti Money Laundering Compliance Deputy Manager … you will focus on ensuring compliance with requirements across selected licenced jurisdictions. The ideal candidate will be able to demonstrate excellent written and verbal communication skills and be able to effectively summarise large amounts of information whilst identifying its relevance to the Business. You will be responsible for developing … agreed deadlines. Strong research abilities. Ability to multitask and manage multiple streams of activity at once. Enthusiastic and self-driven attitude. Main Responsibilities Assessing compliance across existing and prospective licenced jurisdictions. Reviewing and impact assessing legal and regulatory developments relating to AML/CTF. Drafting business development requests. Monitoring more »

A Compliance Assistance is required for a City of London Underwriting Group, who seeks a person with 2+ years Lloyd's Insurance Compliance background. Hybrid role, City of London. Working in an excellent environment in a small team, the role is to support the Compliance team in … its day-to-day activities. This includes assisting in the delivery of the annual compliance plan including associated monitoring and reporting. Support the delivery of the compliance plan including advisory, monitoring, reporting and regulatory activities. Review and analyse/report on regulatory changes. Assist in the monitoring and … reporting of conduct risk exposure including treating customers fairly/Consumer Duty, product oversight and complaints. Assist in the delivery of compliance monitoring activity. Review and report monthly on the performance of each underwriting team (against a sample basis of slips) in meeting contract certainty, sanctions and licensing standards. more »

Job Title: Security Compliance Analyst Location: London Salary: Up to £70k DOE We are currently looking for a Security Compliance Analyst to join our client, a dynamic law firm based in Central London! They pride themselves on their dedication to compliance and security, ensuring that … regulatory standards are met while delivering exceptional client service. In this role, you'll play a crucial part in upholding our commitment to regulatory compliance and cybersecurity. You'll be responsible for monitoring, managing, and closing compliance issues related to access management, ensuring that our internal systems meet … stringent security control standards. Key Responsibilities: Conduct access certification audits and identify non-compliant permissions. Evaluate compliance with key security policies and ISO requirements, documenting variations for remediation. Generate actionable metrics for leadership review. Maintain internal team documentation. Address employee inquiries and issues promptly and effectively. Requirements: Bachelor's more »

AML COMPLAINCE ANALYST £65,000 This is an opportunity for someone who has 2 years plus previous compliance experience to join one of the City's leading law firms. Exceptional working conditions and a chance to impress at the highest level, the person who takes this role will … of compliance. A chance to build invaluable experience as part of an informal and collaborative team of more than a dozen in a sociable compliance team Please apply for full spec. Compliance Analyst - City. more »

Root is pleased to be working with one of the most well know names in media and broadcasting to recruit a Data Protection and Compliance Analyst. The role will provide frontline support on all areas of data protection but will also advise on anti-bribery and corruption, sanctions, conflicts … of interest, modern slavery and other ESG requirements, as well as overseeing the vendor due diligence process. Reporting into the Head of Compliance you will be responsible for: · Support stakeholders to navigate compliant use of personal data for new/existing products, services and changes to business processes · Conduct … teams across the organisation on projects and initiatives The ideal candidate will have: 2 - 3 years experience. • Experience of working in a data protection compliance role that involves the practical delivery of privacy and assessment of risk into product or service design • Good practical knowledge and application of key more »

This role is based in the 2LoD Financial Crime Compliance team initially worlking on a project. The role holder will have a good understanding of the Transaction Monitoring tool used by the Bank. To review the effectiveness of the rules within the transactions monitoring system (Actimize). To advise more »

Analyse transaction data and fraud metrics to determine trends and indicators which may assist in detecting and preventing online fraud Provide day to day compliance operations assistance and support to wider teams within Xe Remain up to date on Xe's core business activities and assist in the analysis … of proposed business initiatives from a compliance operations perspective Maintain high levels of performance at all times including situations with challenging timeframes and complex situations and scenarios Foster a positive, inclusive, collaborative team culture by maintaining open professional communications and being a team player Maintain a strong control environment … requirements Identify and escalate emerging issues or concerns with the ability to manage issues from identification to resolution Strive towards continuous improvement of the compliance operations function Requirements Educated to degree level or at least 1 years' experience gained working within a similar role within the FX/Payments more »

Compliance Analyst | 12M FTC | Lloyd's Syndicate | London/WFH | £40 - 45,000 (doe) Finitas are assisting an established Lloyd's syndicate in their search for a Compliance Analyst to join on a 12 month fixed term contract. Reporting into the Compliance Manager you will … be assisting in the day-to-day running of the Compliance function. You role will be varied and will cover financial crime, terms of business agreements, maintaining compliance records, collating MI, staff training & more. Experience required: Minimum 12 months compliance experience. Must have at least 12 months … that you will be required to work in their London office twice a week. This is a brilliant opportunity to build upon your existing compliance & insurance experience, so if you're interested, please apply now! Or alternatively, if you'd like more information please get in touch with Raj more »

Risk & Compliance Analyst (Data Privacy & Protection) London/Hybrid Contract until end December 2024 £300.00 p/d If you’re looking for a career that will help you stand out, join HSBC, and fulfil your potential. Whether you want a career that could take you to the … support and rewards that will take you further. We are currently seeking an experienced individual to join this team in the role of Risk & Compliance Analyst (Data Privacy & Protection). The Senior Associate, Information Security & Privacy, UK will support and report to the Senior Manager, Information Security & Privacy … lineup into the EMEA COO. This role will support the Head of Information Security & Privacy to oversee and monitor HSBC Innovation Banking to ensure compliance with applicable existing and emerging laws and regulations. Key Responsibilities: the Head of Information Security & Privacy in the delivery and maintenance of the Bank more »

Well established Private Equity Investment Management business are seeking a Compliance Analyst to join their growing team. Key Responsibilities: Conduct thorough reviews of regulatory requirements and ensure the firm's compliance with relevant laws and regulations. Assist in developing and implementing compliance policies, procedures, and controls … to mitigate risk and uphold industry standards. Support compliance testing and monitoring activities to assess the effectiveness of existing controls and identify areas for improvement. Collaborate with internal teams to provide assistance on compliance matters and support regulatory inquiries and audits. Stay updated on regulatory developments and industry … trends to proactively address compliance issues and contribute to a culture of compliance within the organisation. Requirements: Bachelor's degree 1-3 years of experience in compliance roles within the financial services industry, preferably within private equity or investment management. Excellent communication and interpersonal skills to collaborate more »

being listed on the FT 1000 as one of Europe's fastest-growing companies. We are currently seeking a talented and experienced Pre-Sales Compliance Analyst to join our dynamic Sales & Marketing team. This exciting opportunity awaits you in our vibrant London office. What you'll be doing … any inbound new business prospects alongside the Business Development Managers (BDM)/Relationship Managers (RM) with respect to AML, FinCrime and sanction risk- and compliance-related issues Screening prospective clients for sanctions, PEP exposure and adverse media to determine whether they are within risk appetite. Perform initial due diligence … both internal calls/meetings and direct interactions with prospective and existing clients. Working collaboratively with the RMs and providing guidance/assistance on compliance matters, including potential compliance risks. Advise and educate business lines on points of AML/CFT/FinCrime and regulation. Supporting the implementation more »

Market Data Admin & Compliance Analyst - £200 per day Inside IR35 - 6-month rolling contract Harrington Starr are partnering with a Global Investment Bank who are seeking a detail-oriented and knowledgeable individual to join their team as a Market Data Admin and Compliance Support Analyst. You will … play a vital role in managing market data systems, supporting compliance efforts, and providing exceptional support to users and IT staff. Responsibilities: Manage contracts and agreements for market data systems and trading applications. Oversee market data license management with vendors. Handle permissioning and access control for exchange data and … trading applications. Maintain an inventory of market data and trading applications. Manage market data cost allocations and invoices on finance and control systems. Ensure compliance with market data regulations and requirements, including information management and compliance reviews. Participate in market data and applications audits. Conduct regular audits of more »

My client is an established and entrepreneurial real estate lender. They are expanding their compliance team and seeking a QA Analyst. Overview The Quality Assurance Analyst is responsible for providing pre and post completion loan reviews along with call monitoring. The purpose is to provide Quality Assurance checks … frameworks. Responsibilities Ensure that the business policies and procedures and regulatory obligations are implemented in accordance with regulatory standards and industry best practice Monitor compliance with the relevant business covenants and associated policies designed to ensure that the business identifies and manages risks appropriately (including, financials, vulnerable customers, forbearance … are met and ensure quality standards are regularly tested and maintained Reporting data to the Financial Conduct Authority (FCA) Assisting with day-to-day compliance related queries on an ad hoc basis What you will Bring Compliance experience within a Financial Services firm with property lending products (2+ more »