1 to 25 of 28 Compliance Analyst Jobs

Compliance Analyst Birmingham £40-45K Permanent Our client is one of the largest Fleet Services companies in the world. As a global business, they offer a fully outsourced, end-to-end finance lease, vehicle management and electric vehicle solution. Due to the continues growth within the company … they are looking for a Compliance Analyst to join the team in Birmingham. Key Responsibilities – Compliance Analyst Preparation of a data template to be provided to customers to obtain the specifications of their fleet and records of their compliance and maintenance events. Evaluation of the … data received with analysis of the compliance to the statutory requirements and validation with the customer in readiness for uploading into management systems. Daily, weekly and monthly reporting relating to the compliance of customers' fleets in relation to O Licence, statutory and planned maintenance requirements. Providing analysis that more »

Role : PCI Compliance Analyst Location : Leeds/Hybrid Rate : Market Rate (Outside IR35) Length : 6 months (potentially negotiable) A well-known Leeds-based organisation are looking to bring in a contractor with experience managing the process around achieving PCI compliance. They understand where they are now and where … they need to be, the PCI Compliance Analyst wll ensure they get there! At CV and interview, the PCI Compliance Analyst will need to evidence experience carrying out with the below responsibilities. PCI Compliance Analyst Responsibilities Managing and creating processes around PCI and SOX. more »

Role : PCI Compliance Analyst Location : Leeds (2 days per week on site) Rate : £340pd Outside IR35 Length : 6 months A well-known Leeds-based organisation are looking to bring in a contractor with experience managing the process around achieving PCI compliance. They understand where they are now and … where they need to be, the PCI Compliance Analyst will ensure they get there! At CV and interview, the PCI Compliance Analyst will need to evidence experience carrying out with the below responsibilities. PCI Compliance Analyst Responsibilities Managing and creating processes around PCI and more »

BettingJobs is currently seeking a Compliance Analyst to join an established iGaming company. The Compliance Analyst would be responsible for reviewing customer due diligence and ensuring compliance to regulations and guidelines. The Compliance Analyst role would suit an individual with an in depth … understanding of responsible gambling and AML requirements who has experience working with a UK Gambling Commission licenced operator. Responsibilities: Ensure compliance to the regulations and guidelines set by the UKGC. Investigating and responding to AML and transaction monitoring alerts Day-to-day compliance monitoring including managing AML and … customer withdrawals. Carrying out and analysing KYC checks and the results of client screening. Conducting reviews of customer accounts. Conducting affordability assessments. Respond to compliance related customer queries or complaints. Maintain accurate records of appropriate compliance related activities. Preparing information for investigations. Completing ad hoc projects to support more »

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 »

Information Security Compliance Analyst Based in our UK Head Office – Keynsham, Chocolate Factory Hybrid Working (2 days in the office) – Dog Friendly Office – Free Parking We are focused on delivering our purpose of healthy animals, happy owners and benefit every clinic, customer, and patient. Join us and be … mission to deliver the highest quality care to millions of animals. About The Role We are excited to be looking for an Information Security Compliance Analyst – The information security team is responsible for safeguarding the organisation's digital assets and information. This role will also involve conducting policy … You would be contributing to incident response efforts. You’ll be Involved In: Policy Development and implementation: Risk Management Third Part management Incident Preparation Compliance Monitoring and Reporting Continuous Improvement What you get in return: At IVC Evidensia we recognise that our people are fundamental to the success of more »

The Compliance Analyst will play a pivotal role in supporting the Corporate Compliance Manager in managing compliance risks within the Group. This role will involve ensuring timely completion of counterparty due diligence and periodic reviews, as well as ensuring compliance with key regulations such as … identifying the nature of an entity's role in a transaction and producing corporate trees to ascertain beneficial ownership and subsidiary holdings. Deployment of Compliance Training: Take responsibility for deploying group-wide computer-based compliance training programs. Policy Adherence: Review and adhere to internal compliance policies and … procedures, ensuring alignment with applicable legislation and regulations. Procedure Documentation: Assist in drafting and documenting procedures, policies, and processes as necessary to enhance compliance practices. Administrative Tasks: Provide support for all compliance matters and undertake day-to-day administrative tasks related to compliance activities. Monitoring Alerts: Clear 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 »

Job Title: Security Compliance Analyst Location: Birmingham 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 »

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 »

THE COMPANY: Our client is a leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Candidates will ideally have FX Broker generalist experience. THE RESPONSIBILITIES: Preparation and review of documentation for high-risk clients, escalating to … required; Assisting with review and investigation of internal SARs and STORs; Daily monitoring of transactions in respect of AML and MAR Assisting with ongoing Compliance Monitoring Program obligations, such as Best Execution, Onboarding reviews, call monitoring, financial promotions etc and Complaints’ handling; Assisting with, and providing advice to other … any regulatory matters including AML/CDD, MAR, MiFID II, SMCR, PRIIPs; Development and management of accurate data analysis to enable the Head of Compliance to report to the Executive Committee and Board on key risks, issues and actions taken; Assisting in the preparation of quarterly reports; Development and 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 »

has the opportunity to shine, but words are cheap so come and meet us to find out for yourself The Job As a Junior Compliance Analyst, you'll collaborate closely with the CEO, CFO, and Head of Legal and Compliance, as well as directly supporting our clients … service offerings, playing a key role in generating tangible opportunities. Responsibilities include: Deliver thorough assistance to the CEO, CFO, and Head of Legal and Compliance as required Aid clients in establishing cross-border insurance intermediation entities and foster positive relationships with clients through proactive communication Provide regular reports and 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 »

focused and confident individual who is looking to be part of a fast growing financial services business. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of second line of defence compliance including thematic review work, compliance monitoring and interfacing … with the business. What youll be doing You will play a supporting role in the day-to-day running of the Compliance Quality Assurance function in the Compliance Monitoring Team. Carrying out required monitoring reviews within scheduled timescales. Producing high quality monitoring reports, suggesting remedial action where required … and tracking issues to closure. Producing monthly QA MI for the Head of Compliance to review on an on-going basis. Providing constructive feedback development points to other business functions to drive a positive compliance culture whilst adhering to regulatory and company guidelines. Maintaining detailed knowledge of regulatory 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 »