26 to 50 of 156 Regulatory Compliance Jobs in London

Job Description: Job Title: Compliance and Operational Risk Specialist Location: London Company Overview: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for … your physical wellness is well-catered for with our onsite gym facilities and medical centre. Role Overview: This role is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defence 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 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 »

Coopman Search and Selection are delighted to partner with a top tier hedge fund witch circa $5 billion AUM who are looking hire a Compliance Associate due to the impressive growth of the firm. The role will report direct into the CCO and will form part of small compliance function. In this role you will be responsible for assisting with all compliance and legal matters covering multiple jurisdictions whilst contributing to ensure the firm maintains a robust compliance control framework. Key Responsibilities: Develop and maintain Compliance Policies & Procedures Ensure FCA & SEC regulatory compliance requirements are adhered too Assess compliance issues for new business projects, including new funds, instruments, counterparties & business lines Support the firm’s sanctions & anti-money laundering (AML) controls Conduct marketing & presentation reviews Monitor regulatory sanctions & company conflicts Carry out SEC filings, including Annual ADV (Part 1 and more »

processes and technology) relating to data protection (e.g. GDPR), privacy, information/cyber security, physical security, business continuity planning, crisis management and incident response, compliance and independent assurance of IT Controls.What You'll Spend Your Time Doing* Define and implement enterprise security strategy and cyber risk policies and standards … of all our assets globally* Oversee, manage and report any activity in relation to data protection, privacy and independent assurance of IT controls* Monitor regulatory compliance and security policies to educates business unit leaders and service managers on compliance efforts* Lead an experienced enterprise team that provides … operational resilience across the business* Keeps abreast with evolving threats/risks, industry trends and works to implement best practices* Proactively support audit and regulatory inquiries and external vendor activities. Participates in leading industry forums and consortiums (e.g. Lloyd's of London).The Successful ApplicantA proven Chief Information Security more »

Position: Head of Compliance - Trade Finance House Company Overview: Trade finance house dedicated to providing innovative financial solutions currently seek a dynamic and experienced Head of Compliance to join their team. Role Overview: As the Head of Compliance, you will play a pivotal role in ensuring that … our operations adhere to all relevant regulations and standards. You will be responsible for developing, implementing, and overseeing our compliance program, as well as providing guidance to internal stakeholders on compliance matters. This role offers a unique opportunity to lead and shape the compliance function within a … dynamic and fast-paced environment. Key Responsibilities: Develop and maintain policies and procedures to ensure compliance with applicable laws and regulations, including but not limited to anti-money laundering (AML), know your customer (KYC), and sanctions regulations. Conduct regular compliance risk assessments and implement controls to mitigate identified more »

Excellent communication and executive stakeholder management skills and passionate about client success.The candidate should have expertise industry expertise, particularly in data & analytics, risk and regulatory compliance, delivering large scale transformational change spanning technology design/implementation, business process & operating model re-engineering and regulatory change across capital …/analytics.An independent high performer, with demonstrable experience of successfully consult with banking clients in building and delivering multi-million services asssociated with risk, regulatory compliance and digital transformationExpertise in Business Transformation, Project Portfolio Management, executive stakeholder management, risk and issue management, 3rd Party management, Waterfall and Agile more »

that operates in multiple countries, with a focus on expanding in emerging markets. They are seeking a Senior Legal Counsel with US securities and regulatory experience to join the Group Legal team in London. This role will primarily focus on supporting activities related to capital markets and public company … U.S. securities laws, particularly those related to public capital markets, transactions, and ongoing obligations of listed companies Be part of a team that handles regulatory compliance of public capital market activities, including securities offerings and ongoing reporting requirements to the Securities and Exchange Commission (SEC). Offer technical … and industry expertise in public company advisory, emphasising regulatory compliance, disclosure, and managing litigation risks. Assist in corporate governance matters Ideal Candidate: Senior qualified lawyer with at least 6 years experience in U.S. securities laws, public market regulation, and corporate governance. US qualified lawyer (Preferable New York Bar more »

the regional product and business development teams in identifying opportunities and driving scale. Your primary competencies include a deep and broad knowledge of the compliance and regulatory requirements associated with domestic money disbursements, commercial acumen, proactivity and, above all, the ability to deliver on volume and revenue targets … through developing deep and mutually beneficial partner relationships.Role:• Working with our Mastercard licensed entities to ensure documented and robust regulatory compliance and operational effectiveness. • Leading our Go to Market strategy incl. identifying opportunities, pipeline management, and signing Partnership deals.• Using a data-driven approach to assess market opportunities … contracting and commercial negotiations, technical set-up and service roll-out.• Exemplifying our values and the Mastercard Way All About You:• Thorough understanding of compliance and regulatory landscape associated with the management of B2B money disbursements; direct transaction banking experience required. • A demonstrable track record of success in more »

legal-commercial negotiations: draft and negotiate agreements in relation to our business lines (OTC, liquidity provision, derivatives documentation, trading agreements, software agreements, and others) Regulatory research & compliance guidance: work closely with the General Counsel and Deputy GC to monitor the legal and regulatory landscapes across jurisdictions; support … financial regulatory compliance under each regulatory regime (FCA, MAS, SEC, CTFC, etc.); advise and support guidance on regulation of decentralised finance and protocols Corporate: support and manage the corporate structure and governance across multiple entities and jurisdictions Disputes and claims: assist the legal team and the business more »

escalation for RFLPS customers, RFL group, hospital site executive teams, NHS England, CQC and HSE for all matters relating to operational estate & facilities performance, regulatory compliance, and audit to inform, evidence and assure. Be accountable for driving delivery of agreed operational performance and compliance standards set out … technically sound Estates and Facilities service is delivered in line with the agreed partnering agreements and SLAs, while considering the wider health, safety, legal, regulatory and compliance implications on the customers, its patients, employees and the public is given. Provide the Managing Director and the RFLPS Board of … the NHS hospital and community sites (including PFI and Decontamination services) on behalf of our customers and key stakeholders to ensure legislative and HTM compliance, safe environments for delivery of effective care and successful delivery of agreed SLAs and the Strategic Partnering Agreement with RFL Group. Work as an more »

an esteemed Board of Directors in London. This pivotal role requires a seasoned professional with extensive expertise in risk & audit, as well as governance & compliance within the financial services sector. The ideal candidate will possess specific experience within a governing function (SMF) and excellent knowledge of PRA/FCA … Director - Key Responsibilities: - Provide strategic guidance and oversight on risk & audit matters, ensuring robust risk management practices and effective internal controls - Advise on governance & compliance frameworks, ensuring alignment with regulatory requirements and industry standards - Participate actively in Board meetings, committees, and discussions, offering valuable insights and perspectives to … support informed decision-making - Collaborate closely with executive leadership to assess and mitigate risks, enhance corporate governance, and strengthen compliance procedures - Stay abreast of regulatory developments, emerging risks, and industry trends, providing proactive guidance on potential implications for the bank Non-Executive Director - You: - Extensive experience at the more »

Job SummaryJob DescriptionWhat is the opportunity?The Head of Data Protection, UK, Europe and APAC works with key business and Compliance leaders to promote demonstrable compliance with data protection and privacy regulations across all RBC businesses and functions in UK, Europe and APAC.Reporting to RBC’s Global Chief … RBC businesses and functional groups throughout the region, to ensure appropriate protection of personal information of RBC clients and employees.What will you do? Oversee compliance with applicable data protection laws and RBC’s Enterprise Privacy Risk Management Policy;Drive a culture of privacy by advocating for appropriate safeguarding of … businesses within the region;Represent the Privacy function on internal and external committees, including actively participating as a member of the Global Privacy and Compliance Senior Leadership teams;Utilize the open and effective channels within Global Privacy Office and the Compliance function, for the escalation and reporting of more »

London Salary: £80,000 - £110,000 per annum Schedule: Monday to Friday Job Description: Company Secretary will play a pivotal role in ensuring legal compliance, corporate governance, and regulatory adherence within the financial services sector. The ideal candidate will possess a deep understanding of legal and regulatory … all relevant laws, FCA regulations, and industry standards governing the financial services sector. Oversee corporate governance matters, including board meetings, annual general meetings, and compliance with corporate governance codes and best practices. Manage all company secretarial responsibilities, such as maintaining statutory registers, filing annual returns, and ensuring timely submission … of regulatory documents. Draft, review, and negotiate contracts and agreements with clients, vendors, and stakeholders to ensure legal compliance and mitigate risks. Identify legal risks and develop strategies to mitigate them, including the implementation of compliance policies and procedures. Act as the primary contact for regulatory 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 »

CIB COODepartment/Function Level 2:Barclays Execution ServicesPrimary Location:LondonIAR RoleNoRegulated RoleNoContractual Legal Entity – Please refer to link below for legal and regulatory requirement.BXBarclays OverviewBarclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include … continues to develop the operating model for data privacy, this role is responsible for owning the strategic direction, execution and controls related to the regulatory compliance and controls related to data.Key AccountabilitiesResponsible for compliance with the control requirements in the Data Privacy StandardEnsuring there is appropriate and … this would either exceed the entity’s defined tolerance for risk, or otherwise is not appropriate.Where personal data breaches occur and advice from DP Compliance and/or DP Legal is that these should be reported to the relevant Data Protection Authority, ensuring the necessary support is there from more »

motivated and detail-oriented Trade Surveillance Analyst to join their dynamic team. The Trade Surveillance Analyst will be responsible for monitoring trading activities, ensuring compliance with regulatory requirements, and detecting any suspicious or fraudulent behaviour within their trading operations. Responsibilities: Conduct real-time monitoring of trading activities to … potential market abuse, insider trading, and other illicit activities. Analyze trading patterns, volumes, and other indicators to detect irregularities and anomalies. Stay updated on regulatory requirements and ensure that trading activities adhere to relevant regulations such as MiFID II, Dodd-Frank, and others. Collaborate with compliance, legal, and … management teams to address any issues or concerns related to trade surveillance. Generate reports on suspicious activities or potential breaches for internal stakeholders and regulatory authorities as required. Utilize surveillance software and data analytics tools to enhance surveillance capabilities and improve efficiency. Participate in the development and implementation of more »

Coopman Search and Selection are delighted to partner with a market leading Alternative Fund who are looking to hire Head of Compliance, reporting into the COO. This business has an entrepreneurial mindset within a high energy environment, with expertise across the business, which allows them to give individuals a … great platform to grow. As the Head of Compliance, you will be responsible for the regulatory and financial crime compliance, whilst also being responsible for the ongoing development & enhancement of the compliance & risk framework for the business. You will have the ability to influence & manage stakeholder … at all levels including board level whilst also assuming the SMF16/17 roles. Key Responsibilities Responsible for the day-day running of the compliance programme Ensuring the business has effective systems, procedures & controls Maintenance of compliance policy & procedures Ensuring all reporting and notification requirements are met Maintaining 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 the highest … 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 more »

offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of developments in relevant laws, regulations and guidelines. … Provide advice to staff on compliance issues which arise on a day-to-day basis. To keep abreast of new regulations for the timely review and adoption of relevant changes considered necessary within the firm. Carry out quality assurance monitoring of First-Line review activities Check Compliance with … and when required. Assist to respond to requests for documentation and other requirements contained in court orders. Assist in preparing and arranging delivery of Compliance and Anti-Money Laundering training to staff in conjunction with the MLRO. Assist in reviewing Conduct of Business Regulatory Compliance activities as more »

agent programs, and Correspondent style banking, we are at the forefront of innovative financial solutions. We’re looking for a proactive Card Acquiring Risk Compliance Specialist to join our team! If you have a keen eye for detail and are passionate about ensuring operational excellence in the Fintech & Payment … industry, we invite you to join Financial House Limited. Responsibilities As a Card Acquiring Risk Compliance Specialist at Financial House, you will be responsible for maintaining smooth operational processes and providing frontline support. Your responsibilities will include: Monitoring and ensuring compliance with regulatory requirements, especially those outlined … operational issues and risks in a timely manner. Assisting in the development and implementation of internal policies and procedures to ensure operational efficiency and compliance with legal and ethical guidelines. Conduct comprehensive risk evaluations on regulatory compliance with card schemes, as well as assess credit and business more »

encourage you to apply for this exciting opportunity. Key Responsibilities Transaction Management: Oversee transaction monitoring, reporting, reconciliations, investments and exits to ensure accuracy and compliance with regulatory standards. Process Optimization: Identify inefficiencies within payment and transaction processes and implement strategic solutions to streamline operations and enhance efficiency. Procedure … best practices. Client Onboarding Support: Assist in the onboarding process for new clients, providing guidance and support as needed to ensure a seamless experience. Regulatory Compliance: Stay abreast of FCA payment regulations and industry developments, ensuring adherence to compliance standards at all times. Data Analysis: Utilize intermediate … to perform complex data analysis, generate insights, and make data-driven recommendations for process improvement. Cross-Functional Collaboration: Collaborate closely with internal teams, including Compliance, Finance, and Sales, to facilitate smooth operations and address client needs effectively. Any Other Business: Ad hoc and supporting role where required to ensure more »

Quality Assurance in South London! Location: South London Salary: £30,000 - £33,000 per annum Are you passionate about ensuring quality and compliance in the workplace? Do you have experience in auditing and a positive attitude? We are currently seeking a dedicated Quality Assurance Auditor to join our team … in South London for large food manufacturer. In this role, you will play a key part in maintaining our high standards and ensuring regulatory compliance through effective auditing practices. Key Responsibilities: Conduct thorough audits of our processes, procedures, and documentation to assess compliance with regulatory standards … guidance and support to staff on quality assurance processes and procedures. Assist with the development and maintenance of quality management systems to ensure ongoing compliance with relevant regulations. Qualifications and Experience: Previous experience in a quality assurance role, with a focus on auditing. Knowledge of quality management systems and more »

Vice President Compliance Investment Banking London – Up to £100,000 Gresham Hunt has been mandated by our UK Investment Banking client to find a new Compliance Advisory Officer. Our client is a top UK banking group, with a strong worldwide presence. Their Investment Banking division specialises in the … Fixed Income and FX markets, and they are looking for a Compliance Advisory Officer to advise the front office on their regulatory requirements. This is a VP grade position, where you will be expected to help advise on policies and procedures for their capital markets activities. You will … be responsible for providing timely and accurate advice to the trading floor, and train colleagues on compliance matters. The successful candidate will have: 5+ years’ regulatory compliance experience within an advisory capacity in an investment, commercial, or wholesale bank Good knowledge of Debt Capital Markets and/ more »

BettingJobs is working with a UKGC licensed sportsbook operator who are currently looking to add a Compliance Manager to their team. Responsibilities: Ensure regulatory compliance and adherence to relevant authorities’ requirements. Stay updated on legislative changes and provide guidance on potential impacts, developing action plans as needed. … Establish and enforce processes to meet regulatory standards, promoting compliance within the organization and addressing issues. Manage risk according to industry standards, particularly for the UK market. Conduct internal audits and training to support compliance with gambling license conditions and codes of practice. Provide regular reports and more »