1 to 25 of 121 Regulatory Compliance Jobs in London

Job Description Compliance Officer - Bank Our Client is looking to recruit a Compliance Officer with at least 3 years experience of working within Compliance from the banking industry. To promote and manage the culture and practice of regulatory compliance and ethical standards conduct across London … Bank Branch To ensure the effectiveness of the Financial Crime Prevention framework with particular emphasis on AML/CTF and Sanctions Compliance To be a SME for regulatory compliance and Financial crime matters to the London Bank Branch staff To support the Head of Compliance in … the management of compliance and regulatory risks, including liaison with the Regulator's Financial Intelligence Authority and any other regulatory and law enforcement bodies. Responsibilities Perform on going transaction monitoring, on higher risk rated clients at an agreed frequency, as and when required To escalate suspicious or more »

the Company Corporate and build networks and relationships to promote Information Security. Act as subject matter expert on for IT Security, including legal and regulatory compliance Advise Company Corporate functions on how to achieve the required controls and assist with solutions to support them. Eg Support in the … methodology of security by design. Aid GRC to build, implement and facilitate a mechanism to aid BU's to assess and measure their security compliance to policies. Drive the development of BU/Divisional security roadmaps. Giving oversight of key non-conformities to feed into the CISO roadmap. Coach … information security incident management Responsibility for security assessments and assurance activities (e.g. penetration testing) and when to use them. Oversee and management of security compliance management and reporting in relation to any relevant regulatory or legal requirements Operational responsibility of management of third parties Responsibility for managing change more »

and support functions are held accountable for ownership and maintenance of accurate data within the bank's ecosystem. • Responsible for governance, risk management and regulatory compliance activities relating to the digital products and processes under development, forging strong, effective relationships with the 1st and 2nd line control functions. 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 more »

the Company Corporate and build networks and relationships to promote Information Security. Act as subject matter expert on for IT Security, including legal and regulatory compliance Advise Company Corporate functions on how to achieve the required controls and assist with solutions to support them. Eg Support in the … methodology of security by design. Aid GRC to build, implement and facilitate a mechanism to aid BU's to assess and measure their security compliance to policies. Drive the development of BU/Divisional security roadmaps. Giving oversight of key non-conformities to feed into the CISO roadmap. Coach … information security incident management Responsibility for security assessments and assurance activities (e.g. penetration testing) and when to use them. Oversee and management of security compliance management and reporting in relation to any relevant regulatory or legal requirements Operational responsibility of management of third parties Responsibility for managing change more »

and collaborating with business and IT teams to implement improvements. Work with security, governance and product teams to implement security best practices and ensure regulatory compliance within applications. Document all application architecture design and analysis work. Ensure technology and delivery approaches are aligned between delivery teams and with more »

and compliance. Acting as a trusted partner, we help our customers to do the right business in the right way as they navigate the Regulatory Compliance landscape. If you're looking for innovation, opportunity, and community, you'll find them all and more here. As a Group Accountant more »

week) Job Description: Job Brief To develop, implement, and maintain data governance policies and practices using Azure services. This role ensures data quality, security, compliance, and effective data governance across the organization. Key Responsibilities: Data Governance Strategy: Develop and implement data governance frameworks, policies, and standards. Collaborate with stakeholders … access with Azure Active Directory and safeguard sensitive information with Azure Key Vault. Implement data retention and archiving policies with Azure Synapse Analytics. Monitor compliance using Azure Monitor and Azure Security Center. Architectural Skills: Design and implement data governance architecture using Azure services. Develop automated data movement and transformation … processes. Ensure alignment with regulatory compliance standards like GDPR and HIPAA. Qualifications: Minimum of 10 years of experience in data governance or a related field. Strong expertise in Azure services (Purview, Data Factory, Synapse Analytics, Active Directory, Key Vault). Knowledge of data governance principles and compliance more »

actions as needed to meet project milestones and deadlines. Stay updated on the latest trends and best practices in ERP systems, financial management, and regulatory compliance. more »

Management for both FM and Scientific Assets across all UK sites. Engage in cross departmental projects. Support QA in internal/Sponsor Audits. Maintain regulatory compliance at all times Support to Smart Management Team to ensure all activities are completed. PERSON SPECIFICATION: Experience (essential) Good PC skills Experience more »

to see your impact and unlock incredible career growth opportunities, join us, and build real world value. THE WORK: Ripple is expanding its Global Compliance team and seeks to hire an experienced Head of Compliance (MLRO), United Kingdom in its London office. This role will be focused on … program. Additionally, the role will focus on operationalising Ripple's United Kingdom-based cryptoasset and electronic money business activities; including working closely with the Regulatory Compliance team on local license applications. Reporting to the Ripple Group's Chief Compliance Officer in the United States, you will implement … and maintain the local AML/CTF and sanctions program, meet with local regulatory bodies to discuss the local compliance framework, prepare regulatory reporting submissions under required under the AML/CTF and sanctions program, assist in the development of written responses to regulatory queries related more »

Compliance Analyst opportunity working with a rapidly growing Lloyd’s Syndicate. Reporting to the Senior Compliance Analyst and working closely with the Head of Compliance and underwriting teams, you will support the Compliance team on a wide variety of Compliance matters, including supporting on the … set up of new overseas companies and Lloyd’s syndicates. Key Responsibilities: Keeping informed of regulatory developments and communicating key changes out to the business; Horizon scanning; Undertaking initial due diligence on pre-bind sanctions referrals; Support in conducting the annual financial crime risk assessment; Maintaining compliance training … records; Providing advice and guidance to the business on regulatory matters; Reviewing and updating compliance policies and procedures Support in drafting of compliance management information and reporting to Boards, Committees and regulators; Maintaining the business timetable; Responsible for conducting monthly monitoring activities, identifying any issues in the more »

and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade Surveillance Compliance Officer to join the team in London. Role Overview: The VP Trade Surveillance Compliance Officer will play a pivotal role in ensuring our … firm adheres to the highest standards of regulatory compliance. This senior position requires a deep understanding of trade surveillance, market abuse regulations, and extensive product knowledge in FX, Credit, or Rates. The successful candidate will be responsible for monitoring trading activities, identifying potential risks, and implementing robust compliance … detect and prevent market abuse and other illicit activities. Utilise advanced surveillance tools to monitor trading patterns and behaviours across FX, Credit, or Rates. Compliance Monitoring: Conduct thorough investigations into suspicious trading activities and report findings to senior management and regulatory authorities as required. Regulatory Adherence: Ensure more »

Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A global payments firm is seeking a highly skilled and experienced Deputy to the MLRO to contribute to their growing success. This role offers: Report directly and work closely with the Head of Compliance. Substantial … manage a team. Play a pivotal role in both strategic and operational decisions. Fantastic benefits within an ambitious organisation. Responsibilities: Execute financial crime and compliance responsibilities. Manage a team of 5+. Provide support to the Compliance Director and MLRO in all aspects of UK compliance. Contribute to the … monitoring and development of the UK compliance team. Requirements: 5 years' experience or more (desirable). Proficient in AML policies and procedures, including conducting AML checks. Comfortable with second-line-of-defence regulatory compliance activities, such as updating policies and procedures. Proven experience in team management. Strong more »

main skills required: 1. **Data Security Breach:** A security breach at a third-party vendor could expose a company's sensitive data, leading to regulatory fines, reputational damage, and loss of customer trust. 2. **Vendor Reliance:** Dependence on third-party vendors for critical services introduces a dependency risk. A … vendor experiencing operational disruptions, financial difficulties, or cyberattacks could impact the company's own operations. 3. **Compliance Gaps:** Third-party vendors may not adhere to the same strict regulatory compliance standards as the company. This could lead to the company being held accountable for non-compliance if a vendor fails to meet regulatory requirements. 4. **Integration Risks:** Integrating third-party systems with a company's infrastructure can introduce security vulnerabilities and compatibility issues. These can create opportunities for cyberattacks and disrupt operational efficiency. 5. **Limited Visibility:** A company may have limited visibility into the more »

define technology requirements and deliver solutions that meet the needs of our clients and business stakeholders. Stay abreast of industry trends, emerging technologies, and regulatory developments in asset management and financial services, leveraging insights to inform technology strategy and drive business growth. Ensure compliance with industry regulations and … big data technologies. Excellent communication and interpersonal skills, with the ability to collaborate effectively with stakeholders at all levels of the organization. Experience with regulatory compliance (e.g., SEC, FINRA, GDPR) and security best practices in the financial services industry. Proven track record of successfully delivering complex technology projects more »

attract, retain, and motivate employees within the asset management sector. Collaborate with senior management and HR to ensure compensation programs support business objectives and compliance with legal requirements. Annual Reward Cycle Management : Lead the annual compensation review process, including salary reviews, bonus allocations, and long-term incentive plan administration. … Analysis and Reporting : Perform detailed compensation analyses, prepare reports, and present findings to senior leadership. Ensure accurate and timely reporting of compensation data for regulatory compliance and internal auditing purposes. Program Development and Implementation : Design and implement compensation programs, including base salary, variable pay, and equity plans, tailored … to HR partners and business leaders on compensation-related matters. Serve as a resource for managers and employees regarding compensation policies, procedures, and practices. Compliance and Risk Management : Ensure all compensation practices comply with applicable laws and regulations. Identify and mitigate potential risks associated with compensation programs. Qualifications: Experience more »

Department Background Metro’s customers are property managers responsible for meeting the statutory and regulatory compliance requirements for Fire and Health and Safety routines at their properties. The Operations team ensure that Metro’s customers receive an excellent level of compliance support via fire, health and safety … tests and inspections, nationwide. Our customers depend on us for consistent standards of compliance support via regular, scheduled service visits for tests and inspections, and for provision of timely and accurate issue status reports. The Operations department carries out over 2,500 tests (and inspections) services per week, nationwide. more »

Act as joint/assistant Secretariat for ALCO and from time-to-time other risk-related meetings. Produce management information for ALCO, Subsidiary Risk & Compliance (RCC) and Branch Risk Committee meetings. Assist the Department Head and the Liquidity Risk Team and join the respective inter-departmental working groups in … the annual updates of the ILAAP and RRP for the Subsidiary, as well as other UK regulatory compliance work. Propose and provide advice on risk management strategy, framework, policy and procedure, and assist in the annual updates of risk-related policy documents owned by Risk & ALM. Daily, weekly … liquidity position and buffer on a daily basis, conduct daily liquidity forecasting and perform ad hoc analyses. Produce management information for ALCO and Risk & Compliance Committee meetings. Internal stress testing, including regular review of the scenarios to ensure that they are relevant and up-to-date. Enterprise Risk Management more »

Regulatory - Professional Support Lawyer (3 days per week) 5+ PQE Top ranked in Chambers UK and Legal 500; our Regulatory team are recognised as one of the best in the UK. With expertise spanning the investigation and presentation of disciplinary cases across all sectors, our lawyers act for … individuals, organisations, corporates and regulators, providing advice on regulatory compliance, investigations, adjudication, enforcement and prosecutions. We are recruiting for a part-time Professional Support Lawyer who will sit at the heart of the team and support the fee-earners & partners on complex areas of law. This is an … more traditional view and focuses on driving change through ‘horizon scanning’ and feeding updates and knowledge into innovation and tech. Candidates will ideally have regulatory and contentious/litigation experience. We’re looking for someone who loves what they do, who keeps their finger on the pulse with legal more »

a Delegated Underwriting Executive to enhance our clients team, who will bring profound expertise in delegated underwriting, enriching the company’s capabilities in ensuring regulatory compliance and operational excellence. You will be responsible for managing the underwriting risk of the portfolio in collaboration with underwriters, focusing on Line … papers and reports. Assisting with the audit process, including appointment, scoping, scheduling, and remediation. Liaising with Lloyd’s and regulators to stay informed of regulatory updates and other Delegated Underwriting related activities. Ensuring that all data and administrative tasks are up to date through internal and external delegated underwriting … and key project deliverables as needed. KNOWLEDGE, SKILLS, & EXPERIENCE: Practical knowledge and experience of working with Delegated Underwriting Authorities (DUAs) from either underwriting or compliance perspectives. Familiarity with Lloyd’s Principles for Doing Business and the DUA Code of Practice. Understanding of Atlas & DCOM. Awareness of Conduct risk and more »

London Liverpool Street. Work alongside the Global Head of Delivery, Heads of Business Functions, Business Analysts and Project Managers to deliver end-to-end regulatory compliance with our Risk and Control Programme objectives, requiring coordination from numerous business areas Own planning, scheduling and resourcing for the Risk & Control more »

for businesses across various sectors. Their expertise lies in seamlessly integrating third-party IAM and PAM solutions into complex IT environments, ensuring enhanced security, compliance, and operational efficiency for their clients. Job Description: As a IAM/PAM Security Consultant you will play a crucial role in delivering bespoke … Directory, LDAP), SSO technologies, and federation protocols (SAML, OAuth, OIDC). Strong understanding of related technological approaches (e.g. Zero Trust, Least Privilege, ) Familiarity with regulatory compliance and industry standards related to identity and access management. Exceptional analytical and problem-solving skills, with the ability to translate complex requirements more »

and third parties. Team Development: mentor team members and share knowledge. Emerging Technologies: assess and document new technologies for proposal and review by stakeholders. Regulatory Compliance: ensure adherence to FCA, PRA, TCF, and GDPR regulations. Cybersecurity: implement a security-first approach in all systems and environments. What We more »

An international Bank is seeking a dynamic individual to join its busy Operations area as 1LoD regarding regulatory risk reporting on a 1-year maternity cover. Your responsibilities will include: Assisting the Head of Operations to ensure the team meet the regulatory requirements/internal policies Review ing …/analys ing upcoming regulatory compliance requirements e.g., CoP ( Confirmation of Payee ) Identify ing emerging risks and report ing details to relevant business areas Oversee ing regulatory change initiatives R eporting on risk matters to ensure external c onduct and PRA reporting obligations are met Assisting in … updating internal policies to mitigate regulatory risk Your experience must include: Proven experience of payments operations and regulatory risk reporting gained within international banking Strong knowledge of bank policies/procedures, FCA guidelines and money laundering prevention Ideally exposure/experience of CoP (Confirmation of Payee) project Good more »