51 to 75 of 161 Regulatory Change Jobs in the UK

and enhancements in security practices. Foster a positive team environment focused on achievement, development, accountability, and professionalism. Maintain an up-to-date understanding of regulatory changes and requirements to ensure continuous certification. Provide essential support for client-driven requests for information (RFIs) and questionnaires related to SOC2, ISO, and more »

advice to the Public, and Private Markets Groups. To support ongoing surveillance of the activities of the Public Markets Group in relation to key regulatory processes, including: MAR surveillance, best execution, allocations, sanctions lists, shareholding disclosures and filings, position limits, exceptions reporting, and maintenance of IT systems to manage … Certification Regime. To assist with the delivery of new joiner Compliance training. EXPERIENCE REQUIRED: 𝖬𝗎𝗌𝗍 𝗁𝖺𝗏𝖾 𝖨𝗇𝗏𝖾𝗌𝗍𝗆𝖾𝗇𝗍 𝖬𝖺𝗇𝖺𝗀𝖾𝗆𝖾𝗇𝗍 𝖾𝗑𝗉𝖾𝗋𝗂𝖾𝗇𝖼𝖾 Thorough knowledge of the UK regulatory framework. Willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, monitoring and training solutions A good understanding of public … market asset classes; including equity, credit, fixed income, derivatives and alternative investments. Demonstrable experience of Public Markets Compliance. Demonstrable experience of dealing with the regulatory change agenda, and in particular impact of Public Markets. Working knowledge of Bloomberg and FundApps or other equivalent systems for monitoring Public Markets more »

seeking a Chief Financial Officer to join their dynamic team. The company is poised for significant growth, driven by both technological advancements, and anticipated regulatory changes in the sector. Specializing in EV charging infrastructure, they are seeking a strategic financial leader to lead the scaling up of the business more »

Group Director of Regulatory Compliance London Boston Link's client, a prominent company in the online gambling and entertainment industry, is seeking an experienced Director of Compliance and Regulatory Affairs to join their team. The successful candidate will play a crucial role in embedding and refining the compliance … framework, focusing on team management, regulatory analysis, and process implementation at the company's headquarters and operational levels. About the Role: Compliance Knowledge: Proficiency in gambling regulations across multiple jurisdictions; with the ability to interpret and apply them practically within the company’s context while considering commercial objectives. Process … Management: Skills in monitoring, assessing, and improving compliance processes. Gambling Industry Expertise: Ability to critically evaluate regulatory frameworks, perform impact analysis at both local and group levels, and provide constructive advice to the business. Strategic Transaction Support: Excellence in supporting strategic transactions, including M&A, finance, and key strategic more »

Manage and oversee day-to-day financial operations, including financial reporting and cashflow management. Prepare monthly, quarterly, and annual financial statements in accordance with regulatory standards and internal policies. Lead treasury and cash flow management activities, ensuring optimal liquidity and financial stability. Collaborate with internal stakeholders to develop and … monitor financial plans and budgets, providing insights to support decision-making. Liaise with external auditors, tax advisors, and regulatory authorities to ensure compliance with financial regulations and reporting requirements. Drive process improvements and efficiency initiatives within the finance function to enhance productivity and scalability. Provide strategic financial guidance and … support to senior management and other departments as needed. Stay updated on industry trends, best practices, and regulatory changes relevant to finance and accounting. Qualifications and Skills: ACA qualified with relevant post-qualification experience, preferably gained in an in-house finance role. Strong technical knowledge of accounting principles and more »

as in adherence with both internal policies and procedures as well as that set out by the regulator. Keep up to date with all regulatory changes and guidance in line with the relevant regulatory governing bodies Monitor and record enforcement action taken by the regulator with operators and more »

Associate/Manager - Payment Services London - Hybrid (2 Days in the office) Are you currently working in the payment space with previous consultancy experience, regulatory/compliance knowledge, and the ability to manage client relationships? Are you looking for a new position where you can elevate your career in … you: Mostyn Chase is thrilled to be collaborating with this award-winning organisation, who provide financial services companies with products and services to navigate regulatory changes effectively. They provide expert compliance advice and support across the financial services sector. Collaborating with clients who range from niche start-ups to … as well as managing their own portfolio of client projects. The senior associate or manager role would also involve creating policies and procedures, answering regulatory-based questions, and providing advice and guidance. You will also have: Recent and relevant experience in the payments industry Broad base of compliance understanding. more »

a risk-based approach to AML and CTF arrangements, conducting regular assessments to manage risks effectively. Keep the compliance program up to date with regulatory changes and developments in the group's products and services. Manage the process of Suspicious Activity Reports (SARs) effectively. Compliance: Ensure that the business … remediation activities. Skills & Experience Previous experience as a compliance officer/manager in the FinTech industry (must) 6-10 years of experience in Compliance Regulatory Affairs, AML/CFT in the UK (must) Degree in Law is preferred FCA certification is mandatory Experience in developing and administering internal controls more »

next part of their growth phase. Key Responsibilities – Develop and implement training programs for risk and compliance, while maintaining detailed records. Stay updated on regulatory changes and collaborate with the first line of defense. Create and execute a compliance monitoring plan, including reviews, discussions with stakeholders, and generating reports … to first-line business units as required. Assist in drafting Risk and Compliance Policies and managing the company's policy framework. Manage interactions with regulatory bodies, including responding to inquiries and organizing information. Coordinate the preparation of monthly Risk and Compliance Committee materials, including taking and distributing minutes. Skills …/Experience required – Extensive background in banking, financial services, and payments, with exposure to UK and European regulatory frameworks. Professional qualifications in risk or compliance - preferred. Comprehensive understanding of payments services and e-money sector, including card schemes and BIN Sponsorship model. Familiarity with UK and Finnish/EU more »

program within a small legal and compliance team, engaging in a diverse range of tasks. Key responsibilities include identifying and evaluating current and future regulatory changes, formulating policies and guidance to safeguard the firm's reputation, and ensuring thorough compliance with regulations and investment mandates. Experience/Skills/… years) relationship-building skills with the ability to engage proactively with portfolio managers and colleagues at all levels knowledge of the FCA’s regulatory rules relevant to asset managers attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems self-supportive, and more »

performance reviews. Continuous Improvement & New Business Generate and implement ideas for system and process improvements Design and implement processes for new business products and regulatory changes Innovate within the governance framework and act as a subject matter expert Risk Management Adhere to the risk and control framework Maintain effective … Contribute to raising the profile of our UK branch Essential skills Product knowledge Strong risk management awareness Accuracy and attention to detail Adaptability to change initiatives Strong client service skills Familiarity with financial markets Please send your CV for immediate consideration more »

in project management skills and tools. They willhave good knowledge and experience in the Pensions industry and ideally come from a Financial Services or Regulatory Change background. This role will be hybrid working and can be based in one of our Amersham, Birmingham, Bristol, Cheltenham, Glasgow, Guildford, Leeds … experience for the role. Experience in the Pensions industry and ideally knowledge of Pensions Dashboard regulations and requirements. Business Analysis foundation and/or Change Management qualifications (desirable, not essential). A strong understanding of Microsoft Office programmes, in particular Project Excel, Word and Outlook. Excellent communication and interpersonal more »

meetings Responding to client inquiries and provide ongoing support to address their financial needs and concerns Staying informed about market trends, economic developments, and regulatory changes that may impact clients financial plans Collaborating with other team members to ensure a seamless client experience and adherence to compliance standards Participating more »

The Retail, Mortgages & Financial Wellbeing (RMFW) team sits within the Compliance and Regulatory Affairs department in the Risk Function, as part of Nationwide’s second line of defence. We are at the forefront of complex regulatory change providing specialist regulatory support, driving good outcomes and value … customers, stakeholders and the Society. More specifically, you will be part of the Retail Services and Mortgages team which leads in providing real-time regulatory support to the first line teams covering Retail Services (including the branch network and contact centre), Digital, and Mortgages, as well as strategically important … only to provide advice on specific products and services, but also work on high profile programmes involving multiple stakeholders. You will also: Scan the regulatory horizon to identify emerging risks and gain wider industry awareness; Work with colleagues from across the business to support their strategic aims whilst ensuring more »

Job DescriptionMy client is a highly regarded, successful, established and award winning pensions specialist currently seeking a talented Regulatory specialist to join a newly established team and be a key figure in advising the business regarding regulatory and risk requirements. Duties will include:Supporting the Head of Compliance … to ensure the firm meets its regulatory requirements as set out in the DPB Handbook.Support the firm in its application for its FCA Authorisation, ensuring policies and procedures meet the new requirements.Research, identify and analyse potential regulatory change (DPB and FCA) that may impact the organisation and … process for approving authorised advisor's (new and existing) and transitioning to the FCA's Senior Managers and Certification regime.Coordinate completion of the firms regulatory reporting (quarterly and annual)Complete an annual compliance review in all regulated areas of the business and produce a report to be submitted to more »

Assists in the development of independent risk management reporting for respective area(s) of coverage as input into management routines Assists in responding to regulatory inquiries and other audits and examinations Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains … a comprehensive regulatory inventory Managerial Responsibilities: This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above. Diversity & Inclusion Champion: Creates an inclusive team where members are treated … business. The duties of the London team member will include, but not be limited to: Providing independent review and challenge of compliance with UK regulatory obligations, including but not limited to through review of New Product Reviews and transactions reviewed through governance such as the Significant Transaction Selection Forum. more »

financial institutions transition liquidity. They are currently looking for an experienced, hands-on Director of Compliance to join their London office! Responsibilities: Manage the regulatory risk profile of the business and operations, including providing pragmatic recommendations to senior business and corporate function stakeholders Support new product development work across … all product lines (regulatory advisory and control implementation) and complete associated regulatory filings, where required Maintain strong and co-operative relationships with our regulators. reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements; team members with respect to applicable regulatory requirements … and non-compliance with laws and regulations; the root cause of issues and develop effective remediation plans to mitigate the risks; implementation of local regulatory change/remediation projects and initiatives. Requirements: 7+years of industry experience within institutional broker-dealer activities; experience with a broker is required experience more »

team, reporting to the Chief Risk & Compliance Officer, you will be responsible for ensuring that Moneyfarm and Profile Pensions meet their day to day regulatory responsibilities As part of the Risk Management Function, you will work closely with colleagues to make sure that all regulatory risks are identified … 1st Line of Defence in embedding best practice in relation to MI and Governance by providing insightful recommendations Identifying, assessing, measuring and managing all regulatory risks to which the firm is exposed; Assisting the business by providing advice, answering questions and responding to requests Evaluating the impact of material … changes or exceptional transactions on the firm's institution's and group's risk profile; Monitoring regulations and regulatory change as well as industry best practice and updating our Horizon Scanning tracker as appropriate Producing Board risk and compliance reports on a quarterly basis as well as ad more »

compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes; Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements; Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential … compliance with laws and regulations; Determine the root cause of issues and develop effective remediation plans to mitigate the risks; Drive implementation of local regulatory change/remediation projects and initiatives. What they require: 7+ years of industry experience within institutional broker-dealer activities; Previous experience with a … Strong analytical, writing, and presentation skills; Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change; Strong attention to detail, balanced with a strong focus on execution and results; Self-starter, able to work in a fast-paced, results-driven more »

range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in particular, by completing delegated tasks and … providing cover for the Head of Compliance. Summarising regulatory publications and legal requirements and their impact on the Business, circulating them as appropriate and agreeing action to be taken to address them. Regulatory horizon scanning to identify forthcoming areas that will impact the Business and be able to … communicate those requirements to senior stakeholders. Preparing guidance and training on new and existing regulatory and certain legal requirements (and on any remedial action to address identified existing shortcomings) to business units. Tasks include drafting of new policies and reviewing and updating all existing policies for Board approval, drafting more »

management of market risk and IRRBB throughout the Bank. Identify emerging risks related to Market Risk and IRRBB, arising from both external factors like regulatory changes and internal factors such as product development. Assess the impact of new products or changes on Market Risk and IRRBB, providing 2LOD approval more »

supporting the ongoing development and enhancement of robust frameworks, documents and tools. In addition, you’ll contribute to the development and maintenance of the regulatory and conduct risk frameworks, policies and procedures and contribute to the identification, assessment, communication, tracking and reporting of conduct regulatory change matters … gained previous experience in a Compliance Manager role within the banking or mortgage arena and will have a very strong working knowledge of relevant regulatory requirements. It's important that you have experience of leading and contributing to Compliance projects and that you possess excellent stakeholder management skills. Interested more »

supporting the ongoing development and enhancement of robust frameworks, documents and tools. In addition, you’ll contribute to the development and maintenance of the regulatory and conduct risk frameworks, policies and procedures and contribute to the identification, assessment, communication, tracking and reporting of conduct regulatory change matters … gained previous experience in a Compliance Manager role within the banking or mortgage arena and will have a very strong working knowledge of relevant regulatory requirements. It's important that you have experience of leading and contributing to Compliance projects and that you possess excellent stakeholder management skills. Interested more »

business plan in line with the overall company business and financial plans.Be the subject matter expert in the impact of market trends, economic and regulatory change and how this impacts our clients to provide value added solutions across our service lines of advice, authorisations, advisory and managed services.Key … sales (>£1m pa).Extensive understanding and technical knowledge of the market trends and factors affecting the digital assets landscape. In depth understanding of relevant regulatory regimes and the approach of financial services regulators.Proven experience in sector development and building expertise within teams for delivery to clients.Proven ability to manage … and resolve customer service escalations in a high risk and high complexity environment.Understanding of the regulatory and industry trends in UK financial services and the impact for managed services practices.Strong commercial mindset and proven experience of P&L management.Confident, articulate, exceptional presentation skills.Able to build trust and credibility with more »

oversight activities to ensure the trading platform and OTC brokerage lines of business (for institutional and professional clients) remain in adherence with their relevant regulatory requirements. Such activities include Monitoring and Surveillance, Testing and Thematic reviews, Risk Assessments, Reporting (both internal and external), leading and overseeing Conduct controls, and … Gifts and Entertainment, Conflicts of Interest oversight and related Register maintenance. Providing training to the business in relation to all Compliance related matters. Support Regulatory change initiatives and projects. Who you are Strong product knowledge covering multiple asset classes with a focus on cryptocurrency, derivatives (Futures, Options, Swaps more »