21 Compliance Analyst Jobs in London

Senior Compliance Analyst To support the compliance function with day-to-day advisory and oversight activities, assist in the delivery of the compliance plan and manage the compliance relationship with assigned managed clients. Supported by the wider Compliance team, the Senior Compliance Analyst will be the primary point of contact for assigned clients which will require the development of a broad level of technical compliance knowledge. There will be a particular focus on clients with conduct risk related requirements. Key Tasks: to a variety compliance related of queries from managed … clients (including queries relating to sanctions, complaints and conduct risk). reliable information, analysis and guidance to the Compliance team and to staff at Asta and its managed clients. This includes drafting compliance board reports and regulatory bulletins. and contribute to syndicate Product Oversight Groups. Produce managing agent more »

A City based Insurance Group seeks a person with Compliance Analyst experience within the Insurance Market with experience of Conduct risk in a hybrid role based in the City. The role is to support the compliance function with day-to-day advisory and oversight activities, assist in … the delivery of the compliance plan and manage the compliance relationship with assigned managed clients. Supported by the wider Compliance team, the Senior Compliance Analyst will be the primary point of contact for assigned clients which will require the development of a broad level of … technical compliance knowledge. There will be a particular focus on clients with conduct risk related requirements. Respond to a variety compliance related of queries from managed clients (including queries relating to sanctions, complaints and conduct risk). Provide reliable information, analysis and guidance to the Compliance team 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 of the Group’s 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 »

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 »

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 »

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 »

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 »

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 »

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 »

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 »

Keen to become part of a truly global, collaborative team of professionals? Your journey begins here.Job Title Security Compliance AnalystDepartment Information SecurityOffice Location Birmingham and LondonReports To Head of Information RiskWorking Hours 35 hours per week, 9:30am to 5:30pm but additional hours may be required. We are … business services departments. The office has recently trebled in size and moved into a new fitted out space in the Colmore Building.Department Description The Compliance team of Hogan Lovells is responsible to carry out client due diligence (CDD) on new and existing clients of the firm. This is mainly … this involves identifying and verifying who controls and owns the client entity and assessing the risk posed by the business relationship.Role Overview The Security Compliance Analyst will support Hogan Lovells Information Security capabilities to ensure the firm operates in compliance with regulatory, client and industry requirements for 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 »

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 »

is the possibility of a permanent role being available at the end of the contract too. Duties will include: Assisting in the oversight of compliance processes Assisting in the oversight of due diligence Supporting the Head of Compliance in managing regulatory relationships with key regulators including the PRA … FCA and Lloyd's (and relevant overseas regulators). Participating in the delivery of an effective compliance training program. Working on compliance projects Managing enquiries to the compliance team inbox accurately and efficiently in line with agreed SLAs. Maintaining all allocated documentation to the appropriate standard, ensuring … associated procedures (Conduct Risk and Financial Crime). As this is a contract role, it is essential that you have at least one years compliance experience gained at an insurer, insurance brokerage or at a consultancy firm where you worked with insurance clients. more »

A Compliance Assistance is required for a City of London Underwriters, 2-4 years experience of Insurance Compliance experience is essential. 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. Assist the team 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 »

passion for research, and who has a creative way in which they can present their findings. This isn’t about having particular risk or compliance experience, but more around a desire to learn and want to progress with a business that can offer a lot of exposure, and a … progressive career. What you’ll be doing: Documentation for both new and existing clients to ensure compliance with AML and other legal and regulatory requirements. Risk assessments of customers and applying the commensurate level or due diligence (i.e SDD, SCDD, EDD) using external sources. Interacting with Sales team, LATAM … correct and current. Evaluating the adequacy, comprehensiveness, and effectiveness of the Company’s Account Opening and KYC procedures. Monthly management information on account opening. Compliance in other ad-hoc matters including but not limited to drafting procedures, training and other matters arising from time to time. What we’re 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 »