1 to 25 of 152 Permanent Regulatory Compliance Jobs in London

part of Dyninno group of companies which provides products and services in the travel, finance, entertainment, and technology sectors in 50+ countries. As a Regulatory Compliance Manager specialising in UK Financial Services within the Payments sector, you will play a pivotal role in ensuring adherence to regulatory requirements governing payment services. You will navigate complex regulatory landscapes, interpret regulations, and implement strategies to ensure compliance while supporting business objectives. Location : London, United Kingdom. Work from the office 4 days per week. Work from home 1 day per week. Key Responsibilities: 1. Regulatory Analysis … and Interpretation: Stay updated with relevant UK financial services regulations, directives, and guidelines pertaining to payment services. Analyse regulatory changes and assess their impact on payment operations and compliance frameworks. 2. Compliance Framework Development: Develop and maintain robust compliance policies, procedures, and controls specific to payment more »

Job Description Senior Compliance Officer - Banking Our Client is a small retail bank based in Central London. They are looking to recruit a Senior Compliance Officer with at least 5-8 years of experience of relevant banking/AML compliance in established bank/financial institutions. Main … Focus or role: To promote and manage the culture and practice of regulatory compliance and ethical standards in the conduct of Anti-Money Laundering Compliance functions throughout the Bank London Branch, and to ensure AML Compliance function is in compliance with those requirements and applicable … standards. To ensure the effectiveness of AML Compliance function's management and regulatory risk issues through the establishment and maintenance of appropriate and effective framework and procedures, compliance and regulatory risks are anticipated, identified, escalated and reported to Head of Compliance, mitigated and managed so more »

Compliance Analyst (Insurance) £40,000 - £60,000 Overall Objective of Role: To provide proactive and professional regulatory compliance assistance and support across the business. Main Responsibilities: Ongoing regulatory compliance support, reporting and coordination: · Provide ongoing advice and support on regulatory matters to the Group … Risk & Compliance Director, Group Compliance Manager and the other Compliance Officers in the Group as required. · Support the Group Risk & Compliance Director on regulatory returns and other reporting for the entities in the Group where he/she is the appointed Compliance Officer. · Provide … support, as required, to other Compliance Officers in the Group on regulatory returns and other reporting. · Provide licencing, KYC and sanctions guidance and advice to the Group’s businesses and departments. · Support the Group Risk & Compliance Director and Group Compliance Manager in the maintenance and administration more »

role of Senior In-House Lawyer – Regulation & Conduct offers a fantastic opportunity to work within a dynamic and collaborative environment, providing expert guidance on regulatory matters and fostering a culture of compliance excellence. Key Responsibilities for the Senior In-House Lawyer – Regulation & Conduct: Stay abreast of regulatory … affecting the legal landscape, providing timely advice and guidance to internal stakeholders. Assist in the development and implementation of policies and procedures to ensure compliance with relevant laws, regulations, and ethical standards. Conduct thorough risk assessments to identify potential regulatory and compliance risks, developing strategies to mitigate … such risks effectively. Develop and deliver training programs to educate employees on legal and regulatory requirements, promoting a strong culture of compliance awareness throughout the organisation. Lead internal investigations into compliance-related issues, collaborating with relevant stakeholders to implement appropriate remedial actions and preventive measures. Represent the more »

Job Description Compliance Officer - Bank Our Client is looking to recruit a Compliance Officer with at least 3 years experience of working within Compliance from the banking industry. To promote and manage the culture and practice of regulatory compliance and ethical standards conduct across London … Bank Branch To ensure the effectiveness of the Financial Crime Prevention framework with particular emphasis on AML/CTF and Sanctions Compliance To be a SME for regulatory compliance and Financial crime matters to the London Bank Branch staff To support the Head of Compliance in … the management of compliance and regulatory risks, including liaison with the Regulator's Financial Intelligence Authority and any other regulatory and law enforcement bodies. Responsibilities Perform on going transaction monitoring, on higher risk rated clients at an agreed frequency, as and when required To escalate suspicious or more »

We are excited to be looking for a Product Compliance Specialist to join SEON’s legal and compliance team to help us create a fraud-free world by researching regulatory compliance requirements and supporting SEON’s internal product teams in developing new and innovative products and … services. As a Product Compliance Specialist, you will work as part of the Legal and Compliance team while working collaboratively with other teams across SEON, such as Engineering, Product Management, Sales, Marketing and our external legal ecosystem. This is an exciting opportunity to join a mission-led startup … s products and planned features, including but not limited to AML/CTF, iGaming, ID Verification and Biometric data processing; Leverage your technical and regulatory acumen to integrate compliance into our processes and regulations; Stay updated on industry-relevant regulatory changes and keep in touch with external more »

The Role Head of Compliance – West End based Brokerage Martis Search are representing a West End based, FCA regulated, privately owned FX Brokerage to hire a “Head of Compliance.” The role sits on the Trading Floor and supports the FX Sales and Trading teams. The role reports into their … Chief Compliance Officer and will manage a small team of Compliance Analysts. The company are a global FX trading institution, trading Spot/Forward FX, FX Options, as well as bespoke FX Structured Products on behalf of behalf of global Corporate Institutional clients that need FX solutions. The … working culture, invest a lot of money into technology and automation. Our client is looking for someone who has a strong all round “Generalist Compliance” experience, but with particular leaning towards “Regulatory Compliance”, so for example all Regulatory experience working in a MiFID firm and Payment more »

Compliance Officer-6 month FTC Are you passionate about ensuring regulatory compliance within the banking sector? Do you thrive in a dynamic environment where your expertise is valued and your contributions make a real difference? If so, Oxbow Resourcing are on the lookout for a motivated Compliance … our client who are a challenger bank on a 6-month Fixed-Term Contract (FTC) and play a crucial role in ensuring adherence to regulatory standards. Established in 2007, this is not your average bank – they are a challenger bank operating under Shariah principles. With offices in London, Milton … and Wilmslow, they offer a range of personal and corporate savings products, along with financing for UK residential properties. If you're enthusiastic about compliance, thrive in a collaborative environment, and want to be part of a forward-thinking bank, then keep reading! The role As Compliance Officer more »

our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an experienced AVP, Compliance Advisory candidate for our FAB office in London, United Kingdom . Let's work together to achieve great things and unlock new possibilities for … that the FAB business in the UK is carried out in accordance with local rules and regulations and to provide updates and information on compliance matters to the Head of Compliance (UK). Manage and monitor compliance requirements in the UK and assist the business in achieving … compliance with UAE and local regulations as well as Group and local policies and procedures. Key Accountabilities Provide up-to-date technical Compliance advice, guidance, training and support in relation to all regulatory matters applicable to the UK branch, with significant focus on the Global Markets, MiFID more »

Head of Risk and Compliance About us Our rapidly growing fintech customer are transforming the private capital markets. With deep regulatory knowledge and cutting-edge technology, they have enabled frictionless asset creation and transferability across the digitisation of all assets. Their technology is already being used by some … of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet. The role As a regulated business, compliance is not only mandated by regulatory bodies, it is also key to business success. The business are currently regulated by the FCA in the … UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and sustained period of growth and future expansion, we’re looking for a talented Head of Risk and Compliance to join the team and build on great more »

team will be accountable for. providing real-time advice and oversight for payments activity on an end-to-end basis from horizon scanning for regulatory developments, supporting compliance with regulatory change through to oversight of ongoing compliance and operational risk management. providing independent assessment of risk … within the Payments area and highlighting areas for improvement in risk management and controls aligned to the Nationwide Enterprise Risk Management Framework Scanning the regulatory horizon to identify emerging risks, regulatory change and gain wider industry awareness to provide advice and challenge. Working with colleagues from across the … through our own Risk Academy. About you As a minimum you’ll have: You will need strong technical knowledge and understanding of the payments regulatory and legislative framework, the governing regulators including their remits and their strategic intentions as well as external market developments. You will also have a more »

an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. This … existing regulation and reporting through to internal Committees for the purposes of oversight. Support the business through the provision of timely and outcomes-focussed regulatory advice and guidance, as part of project and change programmes and resolving ad hoc queries which arise from time to time. Assist on compliance monitoring reviews as assigned by the Head of Compliance, covering the Bank’s regulated activities. This includes preparing terms of reference, testing the design and operational effectiveness of regulatory controls, report writing, agreeing findings with key stakeholders and tracking all issues and remediation through to closure. Assist more »

to hire a Trade Floor Supervision Director (team of 5) for the capital markets group, the First Line of Defense (“1LOD”), is accountable for compliance with laws, and regulatory requirements applicable to their business areas which includes direct accountability for Global Markets and indirect accountability for Regulatory … attributes and assist in maintaining comprehensive professional reporting templates. Assess data and make informed decisions and sound subjective judgments to monitor trading activity for compliance with the relevant rules and regulations. Present to stakeholders within the organization including Line of Business Management and work with technology partners to ensure … operations within their assigned BU(s), which includes access to all documents if the incumbent believes are relevant for the effective execution of their compliance responsibilities; The authority to direct the BU(s) under their responsibility to perform monitoring when it is considered necessary and/or at the more »

Manager will work closely with the Front Office Portfolio Management team acting as part of the First Line of Defence, ensuring appropriate Investment and Regulatory compliance across Investment Products and Portfolios, andconstructing and maintaining relationships with important stakeholders to achieve this. The Product Risk Manager will require Wealth … The Product Risk Manager will commit and prepare analysis on areas of financial regulations when required by the business and will apply their own compliance regulatory knowledge in the improvement of existing offering as well as representing the UK in regulatory change projects. The Product Risk Manager … keeping in line with the Private Banks management framework. The Product Risk Manager is to develop realistic recommendations to address any issues, working alongside compliance and other business-related areas ensuring all relevant actions are put in place in a timely manner. The Product Risk Manager is expected to more »

Manager will work closely with the Front Office Portfolio Management team acting as part of the First Line of Defence, ensuring appropriate Investment and Regulatory compliance across Investment Products and Portfolios, and constructing and maintaining relationships with important stakeholders to achieve this. The Product Risk Manager will require … The Product Risk Manager will commit and prepare analysis on areas of financial regulations when required by the business and will apply their own compliance regulatory knowledge in the improvement of existing offering as well as representing the UK in regulatory change projects. The Product Risk Manager … in line with the Private Bank’s management framework. The Product Risk Manager is to develop realistic recommendations to address any issues, working alongside compliance and other business-related areas ensuring all relevant actions are put in place in a timely manner. The Product Risk Manager is expected to more »

BASIC QUALIFICATIONS Experience in compliance program management, legal, governance, audit, risk/loss prevention, or equivalent. 5+ years of experience in banking, payments, or e-commerce companies including retail payments, consumer credit, lending, and insurance within a second or third line of defense function. Prior knowledge of regulatory compliance, conduct, and financial crime regulations. Sound knowledge of relevant Assurance or Audit practices. Experience advising, supervising, interpreting, and communicating complex regulations to a diverse audience. Excellent team player with the ability to work closely with others to deliver data-driven results, identify and resolve issues. Strong and … businesses. The successful candidate should help the rollout and execution of our second line of defense risk testing and have extensive knowledge of conduct, regulatory compliance, and financial crime requirements. The successful candidate is an ambitious self-starter, with a proven capability to work independently and as part 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 »

blockchain technology to join their legal team. The ideal candidate will have experience advising clients on a wide range of crypto-related matters, including regulatory compliance, token offerings, smart contracts, and decentralized finance (DeFi). Responsibilities: Provide legal counsel to clients on matters related to cryptocurrency, blockchain technology … and digital assets. Advise clients on regulatory compliance issues, including securities laws, anti-money laundering (AML) regulations, and tax implications. Draft and review legal documents, including whitepapers, terms of service, privacy policies, and token sale agreements. Assist clients with structuring and launching token offerings, including initial coin offerings … cryptocurrency regulation and industry best practices. Requirements: Strong understanding of cryptocurrency fundamentals, including blockchain technology, consensus mechanisms, and token economics. Experience advising clients on regulatory compliance matters in the cryptocurrency space. Excellent written and verbal communication skills. Ability to work independently and collaboratively in a fast-paced environment. more »

blockchain technology to join their legal team. The ideal candidate will have experience advising clients on a wide range of crypto-related matters, including regulatory compliance, token offerings, smart contracts, and decentralized finance (DeFi). Responsibilities: Provide legal counsel to clients on matters related to cryptocurrency, blockchain technology … and digital assets. Advise clients on regulatory compliance issues, including securities laws, anti-money laundering (AML) regulations, and tax implications. Draft and review legal documents, including whitepapers, terms of service, privacy policies, and token sale agreements. Assist clients with structuring and launching token offerings, including initial coin offerings … cryptocurrency regulation and industry best practices. Requirements: Strong understanding of cryptocurrency fundamentals, including blockchain technology, consensus mechanisms, and token economics. Experience advising clients on regulatory compliance matters in the cryptocurrency space. Excellent written and verbal communication skills. Ability to work independently and collaboratively in a fast-paced environment. more »

As a Cyber Security Compliance Officer, you are the guardian of our organisation's data governance and compliance framework. Your expertise will ensure that our data handling practices are in strict adherence to global data protection regulations and standards. This role is critical in navigating the complexities of … data privacy laws, implementing robust data governance strategies, and instilling a culture of data ethics and compliance throughout the organization. Essential Duties and Responsibilities: Regulatory Compliance : Maintain expert knowledge of global data protection laws (e.g., GDPR, CCPA, DPA(UK)), and ensure our data governance policies and practices … of the company, serve as point of contact for data protection authorities. Risk Management : Identify, evaluate, and mitigate risks associated with data privacy and compliance, implementing a risk management framework that aligns with global standards. Policy Development : Develop, review, and enhance data protection policies, standards, and procedures, ensuring they more »

London Service line Enabling Functions Date published 20-Dec-2023 Req # 14744 Job description Connect to your IndustryAre you an experienced senior independence compliance professional? Would you like to take part in a new growing team? If you are looking for your next step, we are building Deloitte … s EMEA PE Centre of Excellence (‘CoE’) We are seeking a high-performing Director who wants to build off their existing experience in independence compliance and use such knowledge to add value to Deloitte’s quality and risk management practice, expand their knowledge of Independence rules, support business growth … quality of work and issue resolutionConnect to your skills and professional experience Your professional experienceSignificant experience in independenceDemonstrate track record of successfully delivering risk, compliance, or regulatory compliance programmes within a corporate backgroundStrong interpersonal skills and an ability to manage and support multiple stakeholders.Ability to step in 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 »

ventures like cryptocurrency and yesterday's tech giants, focusing instead on empowering real people to optimize their investments. Currently, they are seeking a dynamic Compliance officer to join their UK team. This role demands an individual keen to immerse themselves in various compliance facets within a progressive fintech … complaint settlements , transaction evaluations, and onboarding inquiries. Complete all required fields in Regdata reports and connect applications as required. Establish and carry out the Compliance Monitoring program , which includes monitoring financial promotions and optimal execution. Keep corporate policies and processes up to date, and assist with regulatory training. … Keep up with changes in regulations and incorporate this information into business policy. Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks. Have a strong commitment to fintech compliance and the more »

responsible for overseeing and managing all aspects of financial crime prevention within the organization. This role requires a deep understanding of various financial regulations, compliance frameworks, and the ability to develop and implement strategies to mitigate financial crime risks effectively. You will lead a team of professionals dedicated to … fraud, terrorist financing, and other illicit financial activities. Key Responsibilities: Strategy Development and Implementation: Develop and implement comprehensive financial crime prevention strategies aligned with regulatory requirements and industry best practices. Continuously assess and enhance existing strategies to adapt to evolving financial crime threats and regulatory changes. Policy and … and evaluate financial crime risks across all business areas. Develop risk mitigation plans and work closely with relevant stakeholders to address identified risks effectively. Compliance Oversight: Ensure compliance with relevant regulatory requirements, including Anti-Money Laundering (AML) laws, Know Your Customer (KYC) regulations, and sanctions screening. Monitor more »

About the Role:Grade Level (for internal use):13The Team: This is a commercial position within S&P Global Market Intelligence, Regulatory Compliance Division. This position will report into the of Commercial Head Managed Services but work closely with the Sales, Operations, Technology/Product team across Regulatory … Compliance.Responsibilities and Impact: Our comprehensive services bring greater transparency to financial markets, helping to reduce risk and create opportunity. We provide extensive risk and compliance management coverage, including support for Global regulations. We have the industry standard solution for counterparties to manage the onboarding workflow by sharing client, tax … regulatory, constitutional documents, and data to support account onboarding, KYC and legal review.Development and execution of a Managed Services commercial strategy with an emphasis on managing the regional P&L.Relationship management and development with key clients and stakeholders.Thought leadership generation by attending and representing S&P at market events.Strategic more »