1 to 25 of 31 Permanent Compliance Analyst Jobs

Role: Senior Security Risk & Compliance Analyst Location: Hybrid based out of London, Leeds or Birmingham - once every 2 weeks on site Package: £67,000 + bonus + 28 days annual leave An international leader in business services is looking for a Security Risk & Compliance Analyst to … lead across initiatives relating to security and risk. The Information Security Risk & Compliance Analyst will lead within the identification, reporting and subsequent actions of security risks while ensuring security controls are operating effectively and in accordance with regulatory and legislative requirements. Senior Security Risk & Compliance Analyst … Manage and develop independent risk reporting Supporting all activities related to the maintenance of the Information Security control frameworks e.g. ISO27001 Senior Security Risk & Compliance Analyst Key Experience Identification and management of Information Security risks Data security and risk management principles Risk management policies and processes to identify more »

Senior Compliance Analyst £40,000 - £50,000 + Package Primarily Remote - 1 day in London **Unfortunately my client cannot provide Visa Sponsorship at this time** Are you prepared to lead the way in revolutionizing the financial landscape? Join our dynamic team as a Senior Compliance Analyst … We transcend traditional methods by seamlessly integrating digital assets with a user-centric approach, all while maintaining a steadfast commitment to security. As a Compliance Analyst, you'll be instrumental in defining the future of finance. Skills Strong understanding of relevant laws, regulations, and industry standards Analytical and … communication skills, both written and verbal Ability to interpret complex information and explain it clearly Experience with conducting audits and reviews Proficiency in using compliance software and tools Ability to collaborate effectively with cross-functional teams Integrity and ethical behavior Desirable Cryptocurrency Experience Startup Experience If you have the more »

Job Family : Investigator Travel Required : Up to 10% Clearance Required : None Multiple opportunities available for AML Compliance/Investigator Analysts and Senior AML Compliance Investigator Analysts & AML Compliance Quality Assurance/Control What You Will Do: Guidehouse is experiencing exponential growth, driven by an inclusive culture with … Guidehouse is seeking experienced personnel to support oversight of the quality of service delivery for projects in which Guidehouse conducts financial crime and regulatory compliance related reviews and investigations on behalf of our clients. The Financial Crimes AML Investigator/Compliance Analyst & AML Compliance Quality Assurance … assurance programs for client projects, execute quality assurance reviews, and track and report on results. The responsibilities of the Financial Crimes AML Investigator/Compliance Analyst & Quality & AML Compliance Quality Assurance positions will include, but are not limited to: Conducting quality assurance reviews of alerts/cases 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/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 »

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 »

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 »

Miryco Consultants is working with a high performing Boutique RegTech Consultancy looking to bring on board a qualified Compliance Analyst/Advisor to their team. This role is ideal for a strong financial services compliance analyst with foundational regulatory knowledge. Responsibilities: Assist in guiding the business … along FCA regulations. Proactively monitor regulatory updates and emerging risks. Stay informed of industry best practices and regulatory guidance. Developing and delivering compliance training, policies, and procedures. Staying abreast of the regulatory landscape. Conduct regular reviews of client monitoring plans and related activities to identify potential compliance issues. … employees and regulators. Experience: Excellent academic background. Upwards of 2 years’ relevant experience within financial services. Strong Microsoft Excel and analytical skills. Knowledge of compliance monitoring best practices and gap analysis testing is desired. Salary: Competitive with strong bonus and industry leading benefits Location: London more »

Compliance and Risk Reporting Analyst Join our dynamic team at DWF, a global legal company dedicated to excellence and innovation. We pride ourselves on fostering a collaborative and inclusive environment where talented individuals can thrive and make a meaningful impact. As a Compliance and Risk Reporting Analyst … instrumental in identifying key business risks through root cause analysis and trended statistics, and you will provide valuable insights to enhance our risk and compliance activities. Key Responsibilities: Conduct investigations and analysis to generate insightful commentary for management reporting. Perform in-depth root cause analysis and trended statistics for … key business risks. Identify areas for improvement in risk and compliance activities and provide focused support to the Risk and Excellence team. Create and maintain systems of data, ensuring consistency and high standards. Produce data outputs to meet the evolving needs of the business. Support the Enterprise Risk Manager 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 »

long term. The Role Due to significant growth of the business and ever-increasing expectations of regulators and clients, we are expanding our Risk & Compliance team. Lead by the Chief Risk & Compliance Officer, Pinnacle’s Risk & Compliance team is responsible for the delivery and continual improvement of … the governance, risk & compliance (GRC) framework across the Group, including Pinnacle Investment Management (UK) Limited and the provision of GRC services to Pinnacle’s Affiliate Investment Managers. Key Responsibilities Daily Monitoring of pre and post trade investment compliance rules; Assisting in implementing and reviewing investment compliance rules … and regulations; Initiate enhancements to improve compliance framework efficiency; Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in various areas including best execution and market abuse; Support compliance reviews and approvals for financial promotions and marketing materials; Collaborate with other members more »

New Senior Compliance Analyst (Sanctions) opportunity working with a top-performing specialty insurer. You’ll be a key member of the team and will support on all aspects of regulatory compliance across the group, gaining exposure to both intermediary and insurer regulatory requirements, as well as Lloyd … s oversight requirements. Key responsibilities: Supporting the business by providing timely Compliance advice and guidance on both new and existing initiatives, as well as international licensing queries. Taking a leading role in ensuring compliance with Lloyd’s regulatory principles. Playing a key role in horizon scanning and communicating … Assisting in the operation of financial crime controls, including Sanctions, Anti-Money Laundering, Anti-Bribery and Corruption, and Gifts and Entertainment. Undertaking and supporting Compliance Monitoring reviews and presenting findings to senior stakeholders. Supporting with the ongoing operation of the Product Oversight and Governance process, including annual product reviews. more »

Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. 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 you'll 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 … 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 more »

Investment Risk & Compliance Analyst Salary £30k Peterborough (Hybrid) This is an associate-level role for an ambitious Risk/Compliance professional, a newly-created position with a growing business in the investment and funds space. The role will directly support the Senior Investment Risk & Compliance Manager more »

THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business. Assisting in compliance oversight of all activities outsourced to other entities. Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the … Company. Execution of a risk-based compliance monitoring programme in line with regulatory guidelines and in conjunction with business and compliance departments. Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis Compliance oversight of financial promotions issued by the firm. Investigation more »

Business Compliance Control Analyst (12 month FTC) London FirstBank UK is a globally recognised, successful bank who provide world-class services to various institutions and individuals. Offering a comprehensive range of retail and corporate financial services/products, this thriving business boasts over 10 million active customers in … over 700 business locations. Due to business requirements, we are now looking to acquire the services of an experienced Business Compliance Control Analyst Hybrid role – 3 days a week in the London office, 2 days from home - Office hours are Monday-Friday, 9am-5pm with a 1-hour … the unit head. Providing support to the unit head in conducting QC on periodic Clients’ Due Diligence (KYB) Reviews undertaken by RMs/Business Compliance Support on all high-risk relationships to ensure compliance with the Bank’s Policy and CDD standards. Conducting sample QC of KYB reviews more »

As an Anti Money Laundering Compliance Analyst, you will play a key role in guiding the Business in respect of anti-money laundering and counter-terrorist financing (AML/CTF) compliance. Working as part of a team and reporting to the Anti Money Laundering Compliance Deputy Manager … you will focus on ensuring compliance with requirements across selected licenced jurisdictions. The ideal candidate will be able to demonstrate excellent written and verbal communication skills and be able to effectively summarise large amounts of information whilst identifying its relevance to the Business. You will be responsible for developing … agreed deadlines. Strong research abilities. Ability to multitask and manage multiple streams of activity at once. Enthusiastic and self-driven attitude. Main Responsibilities Assessing compliance across existing and prospective licenced jurisdictions. Reviewing and impact assessing legal and regulatory developments relating to AML/CTF. Drafting business development requests. Monitoring more »

Job Family : Investigator Travel Required : Up to 10% Clearance Required : None Financial Crimes Compliance Analyst Opportunities available for Analysts and Senior Analysts What You Will Do: Guidehouse is experiencing exponential growth, driven by an inclusive culture with a desire to see all succeed! We'd like the opportunity … Guidehouse is seeking experienced personnel to support oversight of the quality of service delivery for projects in which Guidehouse conducts financial crime and regulatory compliance related reviews and investigations on behalf of our clients. The Financial Crimes Quality Assurance position will assist with the design of quality assurance programs … to mitigate risk associated with financial crimes. Knowledge of applicable laws, regulations, and guidelines (e.g., BSA, OFAC, FinCEN guidance). Knowledge of Financial Crimes Compliance functions such as OFAC Sanctions, Anti-Money Laundering, KYC, CDD, EDD and/or Financial Fraud Investigations. Understanding of the legal, corporate governance, and more »

X4 Technology are currently recruiting on behalf of one of our Fintech clients who are looking for an experienced Lead Compliance Analyst to join their team. They provide instant and effortless access to Cryptocurrencies with payment services including debit card and peer-to-peer payments. In this role … with deadlines Re-design and implement the policies and procedures as regulation and best-practice evolves over time Instilling a positive, proactive culture towards Compliance Key requirements include: Previous experience working in compliance within a Fintech, Payments or Traditional Bank environment Expertise in Electronic Money (e.g Domestic Payments more »

Job Title: Regulatory Compliance Officer Location: London, United Kingdom Type: Full-Time (5 days a week, on-site) About the Client: Our client is a pioneering fintech company that specialises in global payments and remittances. They are committed to providing seamless financial solutions to their customers and ensuring the … highest standards of compliance and regulatory adherence. Role Overview: We are seeking a dedicated and experienced Regulatory Compliance Officer with a focus on Consumer Duty to join our client's dynamic team in their London office. This role demands a proactive and knowledgeable professional who can swiftly adapt … to a new environment and contribute to the company’s compliance framework. Key Responsibilities: Ensure compliance with UK regulations for payment and financial services, specifically focusing on Consumer Duty requirements. Develop, implement, and monitor compliance policies and procedures to ensure the company’s operations align with regulatory more »

ensuring investment strategies comply with regulatory and contractual requirements? Do you thrive in a dynamic trading desk environment? We are seeking a skilled Investment Compliance Analyst to join our Client's Portfolio Risk team, responsible for implementing and monitoring investment restrictions across the business. Responsibilities: Analyse real-time … risk/compliance alerts to ensure consistency with investment mandates and collaborate with traders and portfolio managers to resolve exceptions. Manage pre-trade risk/compliance alerts and work with technology and front office teams to maintain a robust pre-trade risk framework. Review investment restrictions for new more »

A Compliance Assistance is required for a City of London Underwriting Group, who seeks a person with 3+ 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 »