1 to 25 of 44 Compliance Officer Jobs

Compliance Officer (FTC) Gatehouse Bank plc FTC – 6 months London – Milton Keynes – Wilmslow Role purpose This is a 6-month FTC to support the Head of Compliance in ensuring that the Bank adheres to its regulatory compliance responsibilities by providing appropriate compliance oversight over the … Bank’s operational environment. This will be provided through advisory support and compliance monitoring reviews. The Compliance Officer (FTC) will be a part of a wider Compliance Team who, working closely with other Risk teams form part of the Bank’s second line of defence (2LOD … . Key responsibilities Compliance Framework/Strategy: • Provide input and recommendations to the Head of Compliance, or Compliance Manager in relation to the compliance strategy, compliance framework and monitoring plan for the Bank, including in relation to key risks and future potential challenges. • Collation and more »

Compliance Officer Milton Keynes (Hybrid Working) Salary £35,000 An exciting opportunity has arisen for a Compliance Officer to join an award-winning Tech company. As Compliance Officer you will be conducting audits for all suppliers, ensuring compliance with regulatory requirements and maintaining … the integrity of their supply chain. Key Responsibilities: Conduct regular audits of suppliers to evaluate company processes, identify pay issues, ensure compliance with signed agreements and adherence to regulations. Offer support with guidance, advice and training on compliance requirements, both internally and externally. Support the Compliance Manager … chain. Maintain and develop a high level of knowledge in the laws and regulations that govern recruitment and surrounding activity. Collaborate in creating regular compliance reports, both internally and externally. Essential requirements: Experience within a similar role - compliance & audits A recruitment background is advantageous UK driving licence Proficiency more »

Working Arrangements; onsite x4 days per week) Duration: 6 months initially Compensation: Excellent Salary and Benefits Offered (Depending on Experience) Are you a seasoned Compliance Officer with a robust background in Asset Management? Hydrogen Group is delighted to support our Asset Management client in search for a Compliance Officer on an initial 6-month FTC. This is an exciting opportunity to manage the day-to-day Compliance function and lead compliance monitoring initiatives within a prestigious mid-sized, Asset Management firm. The Role: As the Compliance Officer, you will join the Global … Compliance team reporting to the Head of Compliance Monitoring. · Develop and implement compliance monitoring procedures · Manage the day-to-date global Compliance function · Collaborating and providing advice to investment teams on pre- and post-trade investment Compliance · Work closely with the Compliance and Advisory more »

Compliance Officer (Generalist) – Hedge Fund - London Company Overview: Our client is a leading hedge fund 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 Officer to join their Compliance team and contribute to the success and growth of the firm. Role Overview: As a Compliance Officer, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will report … to the Head of Compliance and will be part of a small team. 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: · Prepare and document the compliance monitoring programme 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 as more »

AML Compliance Officer – Prop Trading Firm - London Company Overview: Our client is a leading prop trading and market making firm 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 an AML Compliance Officer to join their Compliance team and contribute to the success and growth of the firm. Role Overview: As an AML Compliance Officer, you will play a crucial role in maintaining and enhancing the firm's … financial crime programme. You will report to the Head of Compliance and will be part of a small team. 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: • Working with more »

Job Role: Data Privacy & Compliance Officer Location: Hybrid - home based with regular attendance at our Birmingham office Salary: £30,000 to 35,000 per annum Job Sector: Corporate Legal Hours: Monday to Friday 9am to 5pm As a Data Privacy & Compliance Officer you will be you … will contribute to our vision of being the UK’s favourite property manager by implementing and maintaining our Data Protection, privacy and compliance framework. The role of Data Privacy & Compliance Officer sits within the Legal & Business Conduct team, reporting to the Head of Data Privacy & Compliance. Main … Responsibilities Be the first point of contact for all compliance and data protection enquiries. To monitor and report on initiatives, issues, trends via RAG and status reports to the Head of Data Privacy & Compliance as required. To support Emeria’s legal and industry compliance-related activities and more »

This is an exciting opportunity to join a global leader in the aerospace, defence, and engineering sectors as an Export Controls and Trade Compliance Officer. The Export Controls and Trade Compliance Officer will play a vital role in ensuring compliance with UK export regulations and U.S. … trade compliance regulations. This position will involve reviewing transactions and transactional documents, coordinating export authorizations, and maintaining records as required by regulations. We are looking for someone with excellent communication and collaboration skills to interact effectively with various stakeholders. You will report to the UK Export Lead. Essential Duties … and Responsibilities: Ensure legal compliance with relevant export regulations associated with the trading of export-controlled products. Identify export license requirements for domestic and international shipments accurately. Coordinate and organize the application of export authorizations with relevant licensing authorities. Review sales orders to confirm compliance with export regulatory more »

Compliance Officer - Insurance £70,000 - £80,000 London - Hybrid Purpose of the Role: A London Market Insurer are seeking a Compliance Officer to manage the regulatory risk associated with the business through the management of its relationship with the regulator(s) and promotion of best practice. … You’ll bring your experience of financial crime & general compliance experience along with monitoring and development of procedures, monitoring of regulatory developments and reporting to senior management. If you’re looking for a role where you can bring your understanding of FCA and PRA legal and international insurance compliance … supportive environment then this could be the role for you. What you’ll do: Provide advice to the business on a wide range of compliance matters. Be a key figure on financial crime and sanctions. Be involved in all levels of the business providing second line input. Act as more »

sustainability, and innovation. Specialising in importing premium products, they serve a diverse clientele across the globe. They are seeking a skilled Customs and Trade Compliance Officer to join our team in line with growth and the increasing complexity of global trade regulations. Your new role The Customs and … Trade Compliance Officer will play a critical role in ensuring that all their product import activities comply with national and international customs regulations and trade laws. This position requires a meticulous and proactive individual who can navigate the complexities of customs procedures, trade compliance, and regulatory requirements … efficiently. Key Responsibilities: Customs Compliance: Ensure all import transactions comply with national and international customs laws and regulations. Prepare, review, and submit all necessary customs documentation required for the clearance of imported products. Trade Compliance: Stay abreast of changes in trade policies, agreements, and regulations that may affect more »

Maldon Partners are recruiting a Chief Compliance Officer (SM16/SM17) on a permanent basis for a market leading Fintech based in London. The firm has been around for c15years however has recently launched a new platform in which their clients can trade across multiple asset classes all … from one place. The role holder will hold the SM16/17 functions and will also be the Director of Global Compliance with c5 direct reports. This is a great opportunity for someone who is keen to further establish themselves in a growing industry. The ideal candidate will have … several years of senior compliance experience gained within the retail brokerage space. Hybrid working 3 days in the office The Role: The main purpose of the role is to help lead, manage and oversee all compliance aspects of the firm and to ensure its ongoing compliance with more »

Job Title – Senior Compliance Officer - Mat Cover 12 months Location – BL9 8RR Working rota – Monday - Friday Working hours – 40 Hours What You'll Be Doing: As a Senior Compliance Officer , you'll be doing the following: Lead compliance audits to ensure adherence to relevant regulations … e.g PCI DSS Conduct investigations/subject access requests maintaining the upmost confidentiality at all stages. Collaborate with PMO ensuring compliance for new and existing projects. Complete data protection impact assessments and provide security oversight of those completed by the wider business What We're Looking For: Complete vendor more »

Risk & Compliance Officer | Payments | £70,000 (doe) p/a (PAYMENTS EXPERIENCE REQUIRED) Finitas are working exclusively with this growing Payments firm in their search for a Risk & Compliance officer to support the 2nd line of defense. Key responsibilities will include ownership of the Risk Management … Framework, managing the Group Compliance Monitoring Programme and, the Internal control framework to evaluate the effectiveness of internal controls and mitigating/managing risks. You will need: - 5+ years 2nd line Risk and Compliance Experience within Payments - Experience with Risk and Control Self Assessments - Good understanding of FCA … Regulations/Regulatory compliance - Excellent communication skills - Tenacious attitude If you are interested in the opportunity and have the relevant experience, please get in touch more »

Interim Information Compliance Officer Bristol (Hybrid, 1 day a week in office preferably, 4 days WFH) 6 months initially (potential for extension). £350 - £400 a day via Umbrella I am working exclusively in partnership with a major organisation in Bristol to hire an Information Compliance Officer … reporting on data breaches Handling Subject Access Requests Responding to ad-hoc queries Desirable Skills and Experience Experience in a similar Data/Information Compliance position in a complex organisation Experience in a Public Sector, Local Council or Higher Education environment highly desirable Experience of DPIAs, dealing with low more »

Job Description Junior Compliance Officer - Bank Our Client an bank based in Central London are looking to recruit a Junior Compliance Officer. You will have at least 1 to 3 years experience of working in a financial or banking environment as a Compliance Assistant or Compliance Officer. The position will report to the Head of Risk and Compliance at the Bank. Key Skills Required: A strong understanding of the UK regulations/rulebooks specifically the PRA, CRD and the FCA Conduct requirements and the ability to interpret regulations within a Bank • Knowledge of country … to work both independently and as part of a team • Have strong communication (both written and verbal), reasoning and influencing skills • Experience of undertaking compliance monitoring reviews and producing compliance monitoring reports to document compliance with internal and external regulations/process Any certification in AML or 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 … 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 ability more »

Inclusive Consulting is delighted to be partnered with our Financial Services client in their search for a diligent and ambitious Compliance Officer based in Leeds City Centre. Our client is a reputable Investment Management firm specialising in Personal and Corporate Finance. Due to an internal promotion, they are … gain your levels 3 through to 6 CISI qualifications as you develop and progress with the firm. You will be reporting directly to the Compliance Monitoring Manager and will regularly liaise with the Regulation and AML teams. This opportunity would ideally suit either an existing Compliance Officer … and 2 days from home. Key Responsibilities: Monitor business risks in accordance with regulatory requirements and internal procedures. Complete tasks in accordance with the Compliance Plan as set out in line with FCA and strategic business objectives. Review and monitor customer complaints where required, complete MI, contribute to Root more »

THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of … Regdata reports and Connect applications as needed. Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions. Update company policies, procedures, and help deliver regulatory training. Stay informed on regulatory changes and integrate this knowledge into company policy. Be passionate about fintech compliance … and be able to use your knowledge and experience to help formulate strategy, propose solutions and manage risk.. Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations. Be a collaborative member of the Compliance more »

Compliance Officer (Fin Crime/Sanctions) London Company client partnered with a global commercial Insurer, in the search for a Financial Crime/Sanctions officer. This role will report in the MLRO and Head of Compliance. Key Responsibilities: * Advise business on escalated Sanctions risks. * Perform Risk assessments. * Keep more »

The MLRO/Compliance Officer will be responsible for managing our compliance with legal and regulatory requirements, with a particular focus on anti-money laundering (AML) and counter-terrorist financing (CTF) measures. This role involves actively monitoring, assessing, and managing compliance risks and reporting directly to … relevant authorities as required. This is a remote part-time (50% FTE) position . Key Responsibilities : Develop, implement, and maintain the AML/CTF compliance program in alignment with UK regulations. Serve as the primary point of contact for all matters related to AML/CTF within the organization. … Conduct regular and ad-hoc compliance audits and reviews to ensure adherence to laws, regulations, and internal policies. Provide training and guidance to staff on compliance procedures and the importance of regulatory compliance. Prepare and submit timely reports to the Financial Conduct Authority (FCA) and other regulatory bodies. 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 of more »

To support our growing business we are looking for an Information Security Compliance Officer to be part of ourInfoSec Compliance team in the UK. What will you be doing? Your role will be to support the Infosec Compliance Team in ensuring the business conducts its activities … in full compliance with the law and professional standards such as ISO 27001, NCSC Cyber Assessment Framework (CAF), client contracts and internal policies. You will be required to demonstrate a strong understanding of ISO 27001, the NCSC CAF together with best practice for IT security compliance. The role will … documents Draft contract/client specific information security documentation Prepare client specific monthly reports Prepare and support internal and external audits; Support investigations of compliance failures and business practice irregularities in conjunction with the M Group Services InfoSec DPO; Support client requests for information security and compliance data more »

client is a prominent multi-national FinTech in the Payments sector; as a result of ongoing growth they require an experienced, ambitious and talented COMPLIANCE OFFICER to join them on a 12-month fixed term contract to cover for maternity leave. The successful incumbent will play a proactive … role in driving the company’s compliance strategy and agenda, thus making the role ideal for a candidate who wishes to contribute and add value in a dynamic and fast-paced Compliance environment. Key Responsibilities: undertake horizon scanning, maintaining detailed knowledge of regulatory requirements relevant to the business … stakeholders as required, advising of regulatory status and forecasted changes, and how such changes will affect the business provide assurance on how well the compliance risks are being managed by leading the execution of internal compliance reviews, interpreting investigations and findings, and making recommendations as appropriate analyse flagged more »

industry standards to ensure the trust and safety of our clients and their customers. The Role: We are seeking a seasoned Chief Risk and Compliance Officer to join our executive team. This critical role will be responsible for leading our global risk management and compliance efforts, ensuring … candidate will have a deep understanding of financial regulations, a strategic mindset, and the leadership skills to build and maintain a robust risk and compliance framework. Responsibilities: Risk Management Leadership : Develop and implement a comprehensive global risk management strategy that aligns with our business objectives and growth plans. Regulatory … Compliance : Ensure that all company operations comply with relevant local, national, and international laws, regulations, and guidelines in the fintech sector. Policy Development : Create, review, and update policies and procedures to mitigate risk and ensure compliance across all aspects of the business. Stakeholder Engagement : Act as the primary more »

The role of the QA Compliance Officer is to support governance and compliance of the Pharmaceutical Quality Management System (PQS) at Piramal Grangemouth and maintenance of Regulatory Registrations/Licenses/Certifications. The role will support the site and related functions in maintaining compliance with GxP … UK/EU/US GMP/GDP, ICH and other region specific guidance. The individual will have support key quality system elements and compliance improvements, working closely with relevant stakeholders on site. Role •Supporting key quality system elements, including activities relating to QMS monitoring, Qualification of Vendors, Audits … Self-Inspections, Vendor Audits, Customer Audits). •Support updates to regulatory agency registrations as applicable. •Support tracking of site compliance commitments and follow up actions. •Working with the wider site functions to drive down out of compliance events and implement quality improvements •Support and track regulatory findings and more »