6 Compliance Specialist Jobs in London

Miryco Consultants are working with a global leading asset manager to hire a Compliance Specialist to join their Advisory function. This is an exciting opportunity for compliance professionals with experience in the investment industry and a strong understanding of investment platforms regulations to join an industry-leading … team. Responsibilities: Provide regulatory guidance to the business; regulatory reporting. Design and maintenance of compliance standards and procedures. Managing operational efficiency. Represent Compliance in project-specific PRD meetings. Maintain a deep understanding of the investment industry. Experience: Minimum 5 years of relevant work experience, with at least more »

financial services in Europe. Role Overview: National Bank of Canada/National Bank Financial Inc. London Branch is seeking a highly skilled Governance and Compliance Specialist to join the London Compliance team. The role will be extremely broad, managing regulatory projects, regulatory change and horizon watching. Main … Responsibilities: Enhancing the current compliance programme by developing and implementing effective compliance policies and procedures. Conducting regular audits and assessments to identify and mitigate compliance risks. Keeping abreast of industry regulations and updates, providing guidance to internal stakeholders. Investigating and addressing compliance concerns, escalating issues as … necessary. Creating and delivering training programmes to promote a culture of compliance within the organization. Managing new and on-going regulatory projects. Desired Candidate: A dedicated professional with a passion for ensuring organizational integrity through effective compliance governance. Minimum of 3 years’ experience in financial markets compliance. Must 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 »

grow and make an impact, along with the power to make a difference. Join us! Job Description: This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function … and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely … manner. Responsibilities: Assists in assessing risks, associated controls and their effectiveness, while driving compliance with applicable laws, rules, and regulations, adhering to policies, and developing reporting and documentation Engages in activities to provide support to the Compliance and Operational Risk teams in order to provide independent compliance 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 »

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 »