26 to 50 of 121 Regulatory Compliance Jobs in London

an esteemed Board of Directors in London. This pivotal role requires a seasoned professional with extensive expertise in risk & audit, as well as governance & compliance within the financial services sector. The ideal candidate will possess specific experience within a governing function (SMF) and excellent knowledge of PRA/FCA … Director - Key Responsibilities: - Provide strategic guidance and oversight on risk & audit matters, ensuring robust risk management practices and effective internal controls - Advise on governance & compliance frameworks, ensuring alignment with regulatory requirements and industry standards - Participate actively in Board meetings, committees, and discussions, offering valuable insights and perspectives to … support informed decision-making - Collaborate closely with executive leadership to assess and mitigate risks, enhance corporate governance, and strengthen compliance procedures - Stay abreast of regulatory developments, emerging risks, and industry trends, providing proactive guidance on potential implications for the bank Non-Executive Director - You: - Extensive experience at the more »

London Salary: £80,000 - £110,000 per annum Schedule: Monday to Friday Job Description: Company Secretary will play a pivotal role in ensuring legal compliance, corporate governance, and regulatory adherence within the financial services sector. The ideal candidate will possess a deep understanding of legal and regulatory … all relevant laws, FCA regulations, and industry standards governing the financial services sector. Oversee corporate governance matters, including board meetings, annual general meetings, and compliance with corporate governance codes and best practices. Manage all company secretarial responsibilities, such as maintaining statutory registers, filing annual returns, and ensuring timely submission … of regulatory documents. Draft, review, and negotiate contracts and agreements with clients, vendors, and stakeholders to ensure legal compliance and mitigate risks. Identify legal risks and develop strategies to mitigate them, including the implementation of compliance policies and procedures. Act as the primary contact for regulatory 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 more »

Compliance Analyst Industry: Lloyd's Syndicate Hybrid £35,000 to £40,000 Role overview: A rapidly growing Lloyd's Syndicate is seeking a Compliance Analyst. This dynamic role suits candidates who thrive in a developing environment and can apply their expertise to enhance the smooth running of the … Managing Agency and Syndicate. Skills, Knowledge, and Experience: Technical knowledge of PRA/FCA/Lloyd's regulations. Experience in a regulatory compliance role within the Lloyd's insurance sector. Experience in financial crime, including sanctions. Ability to work independently and proactively in a fast-paced environment. Pragmatic … and solution-oriented approach to compliance matters. Proven ability to support business initiatives. Excellent verbal and written communication skills, confident in interacting with all levels of staff. Conduct horizon scanning and maintain the horizon scanning log. Email your CV or use the apply feature on this page. Email: KEY more »

confidentiality while efficiently managing multiple projects concurrently. Background in information technology, preferably in an infrastructure role, with a specialised focus on cybersecurity. Familiarity with regulatory compliance frameworks, adept project management skills, and operational risk management. Certification in relevant cybersecurity disciplines (e.g., CISSP, GIAC, CISA, CISM) is advantageous. Key … into non-technical terms for senior management, enabling well-informed decision-making. Supervise the development, deployment, and upkeep of cybersecurity policies and procedures, ensuring compliance with regulatory standards like GDPR. Generate quarterly cybersecurity briefings for senior management, delivering insights on recent threats and the prevailing risk landscape. Assess more »

Senior Business Analyst - Technology Compliance SME - Fenergo - £120,000 - Hybrid 3 days per week Join an esteemed commodities trading firm positioned for remarkable growth. Our client, a global organization engaging in both physical and financial trading, fosters an entrepreneurial culture akin to a hedge fund. Located in London, they … are looking for a dynamic individual adept at bridging the gap of the technology and compliance functions. Position Summary: We're creating a new role for a Senior Business Analyst with a strong technical and data-oriented approach to bolster our technology compliance and reporting functions. This position … will be pivotal in optimizing our KYC onboarding processes and beyond, utilizing data to streamline reporting and ensure regulatory compliance across our operations. As part of this initiative, they'll be implementing Fenegro/Fen-X, though experience with other compliance vendors is also valued. The ideal more »

BettingJobs is working with a UKGC licensed sportsbook operator who are currently looking to add a Compliance Manager to their team. Responsibilities: Ensure regulatory compliance and adherence to relevant authorities’ requirements. Stay updated on legislative changes and provide guidance on potential impacts, developing action plans as needed. … Establish and enforce processes to meet regulatory standards, promoting compliance within the organization and addressing issues. Manage risk according to industry standards, particularly for the UK market. Conduct internal audits and training to support compliance with gambling license conditions and codes of practice. Provide regular reports and more »

advisors to mitigate risks and secure cost-efficient grid connections. Technology Optimisation: Identify and evaluate emerging technologies and techniques to optimize grid connections, ensuring compliance with distribution and grid codes. Feasibility Studies: Assist with feasibility studies for Private Wire connections, including behind-the-meter setups, routes to export, and … grid capacity assessments. Regulatory Compliance: Ensure compliance with relevant regulations and policies for existing and future connections. Project Support: Assist with project valuations, support due diligence for acquisition opportunities, and aid in project sales. The role is based in the London City office and hybrid working is 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 »

The Financial Crime Team (FCT) forms part of PwC’s Risk Management practice and sits within the London-based Compliance department. Its main purpose is to support the Money Laundering Reporting Officer (MLRO) and Chief Compliance Officer in ensuring that the firm discharges its legal and regulatory … for digesting and interpreting regulation and industry guidance in order to formulate appropriate policies and controls; is able to formulate responses to industry and regulatory consultations; is able to provide guidance and direction to the client-facing practice and senior stakeholders; has strong technical writing and verbal communication skills … and interpreting industry guidance. An opportunity has arisen which will provide a stimulating and challenging opportunity to: Gain experience of the PwC approach to compliance disciplines and in particular AML regulation; Acquire knowledge of the ‘products’ and services offered by the firm; Develop transferable relationship management skills, by dealing more »

Company Description ComplyLens Limited is a financial services consulting firm based in London. We specialise in supporting financial institutions implement technology changes to address regulatory requirements, including controls for Trade Surveillance, Communication Surveillance and Record Keeping, AML Transaction Monitoring, as well as Sanctions screening. Role Description This is a … full-time Regulatory Change Business Analyst role, with the flexibility for remote work. The successful candidate will work with cross-functional teams to analyse and address the impact of regulatory changes on our clients' technology infrastructure and business operations. You will be responsible for conducting gap analysis, implementing … creating reporting and documentation within the project team. Ultimately, you will play a critical role in ensuring our clients stay compliant with ever-changing regulatory requirements. MUST HAVE - Prior experience working on either Trade or Communication Surveillance controls. Qualifications A bachelor's degree in business, finance, economics, computer science 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 »

track expenses to ensure financial objectives are met. Work alongside our accounts department to ensure invoices are delivered for projects in the designated timeframes. Regulatory Compliance : Ensure all surveying activities comply with industry standards. Implement safety protocols. Technology and Tools : Ensure team members are trained on technologies and … team members. Budget and Financial Management : Experience in budget planning and financial management. Skills in cost estimation and managing project finances to maintain profitability. Regulatory Knowledge : Understanding of the legal and regulatory environment related to surveying. Knowledge of health and safety regulations and compliance requirements in the more »

the operational resilience of a renowned financial institution? Our client is seeking an experienced Operational Resilience Framework Lead VP to spearhead efforts in ensuring regulatory compliance and operational stability across the UK (FCA/PRA) and EU regions, including compliance with the Digital Operational Resilience Act (DORA … Resilience Framework Lead VP, you will play a pivotal role in developing, embedding, and managing our client's operational resilience framework to align with regulatory requirements. You will lead a team of 6 business partners, overseeing critical functions such as important/critical function mapping, scenario testing, impact assessments … and engagement across business areas. Reporting to governance committees, you will ensure transparency and adherence to regulatory mandates while supporting senior management conversations and collaborating with second-line colleagues to identify risks. Key Responsibilities: Develop, embed, and manage the operational resilience framework, tools, and methodologies in line with regulatory more »

data flows to improve Data Quality for downstream processes and the delivery/implementation of process and policy improvements. Particular expertise required: Familiarity with regulatory requirements related to Credit Risk and Rating Systems and ideally Parental Support Rating Systems Experience of delivering change within a Data Programme and dealing … provides solutions using analytics, tools, and models to identify, measure and manage key risks.GRA currently covers Wholesale Credit and Market Risk, Financial Crime Risk, Regulatory Compliance and Operational Risk. As GRA is focused on model development and ownership, its activities are considered First Line of Defence. Role Context … awareness of modelling tools, techniques and systems Risk system architecture across Risk sub-functions – where relevant. Data management approaches and technology Understanding of the regulatory framework within which HSBC operates globally. Experience Proven track record as an outstanding analyst or consultant Overall financial services industry knowledge with specific functional more »

or has worked within, an ISO 27001 accredited organisation and awareness of information security requirements. Knowledge of data governance principles, data quality management, and regulatory compliance requirements (e.g. GDPR, SOX) is desirable. Data Analyst Due to the volume of applications received for positions, it will not be possible more »

and maintaining robust financial crime prevention measures. Key Responsibilities: Assist the MLRO in developing and implementing AML policies, procedures, and controls in line with regulatory requirements and industry best practices. Contribute to ongoing risk assessments and monitoring transactions for suspicious activities, reporting any findings to relevant authorities. Participate in … AML training and awareness programs for employees, fostering a culture of compliance and integrity. Stay updated on regulatory developments and assess their impact on the company's AML/CFT (Counter Financing of Terrorism) measures. Collaborate with internal stakeholders, external partners, and regulatory bodies on AML-related … and reviews to assess the effectiveness of AML controls and recommend enhancements as necessary. Your Qualifications: 3 to 5 years of experience in a compliance role within the financial services industry, with exposure to AML/CFT compliance. Knowledge of AML/CFT regulations, compliance frameworks, and industry more »

and maintaining robust financial crime prevention measures. Key Responsibilities: Support the MLRO in developing and implementing AML policies, procedures, and controls in line with regulatory requirements and industry best practices. Assist in conducting ongoing risk assessments and monitoring transactions for suspicious activities, reporting any findings to relevant authorities. Contribute … to AML training and awareness programs for employees, fostering a culture of compliance and integrity. Stay abreast of regulatory developments and assess their impact on the company's AML/CFT (Counter Financing of Terrorism) measures. Collaborate with internal stakeholders, external partners, and regulatory bodies on AML … and reviews to assess the effectiveness of AML controls and recommend enhancements as necessary. Your Qualifications: Minimum 4 years of experience in a senior compliance role within the financial services industry, specializing in AML/CFT compliance. In-depth knowledge of AML/CFT regulations, compliance frameworks, and 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 »

Risk & Compliance Officer | Payments | £70,000 (doe) p/a (PAYMENTS EXPERIENCE ESSENTIAL) 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 »

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 »

technology company in London who working in the financial crime technology sector, helping clients in fraud prevention. At present they are looking for a Compliance Manager & Data Protection Officer (DPO) to ensure that the development and use of their data is ethical and compliant with internal/external regulations … pertinent to emerging regulations. Responsibilities: Fulfil Data Protection Officer (DPO) duties, managing governance systems and privacy strategies. Conduct Data Protection Impact Assessments (DPIAs) and compliance assessments with cross-functional teams. Facilitate risk response plans and manage regulatory inquiries, escalations, and investigations. Support Finance and Commercial teams with Data … Protection contract reviews and Artificial Intelligence compliance. Promote regulatory compliance culture, conduct training, and continually assess organisational compliance. Experience Required: Data Protection Officer qualifications and experience in a DPO role is highly desirable Proven track record in a highly regulated B2B, Financial or Tech environment, in a relevant more »

team of c. 10+ globally and will look after a broad range of work, including: Drafting and implementing internal policies and procedures Legal and Compliance training Advising on IP, Technology, Data Protection, Regulatory Compliance, Employment etc Responsibility for regulatory advise Advising on any legal Issues that … Qualified solicitor (10-12 years PQE) Experience of both Private Practice and is MUST A strong Corporate background is vital with experience dealing with regulatory and securities related matters. Significant experience drafting and negotiating client-facing commercial contracts. Strong leadership experience managing a global team. Strong interpersonal skills with more »

play a crucial part in ensuring the seamless onboarding and management of institutional segregated and pooled fund investors. Responsibilities include: Collaborating internally with Legal, Compliance, Investment Operations, Client Operations, Finance, Fund Operations, Investment, and Implementation Teams. Liaising directly with clients to understand their requirements and ensure they are met … main point of contact throughout their process. Establishing efficient servicing and operating processes with third-party representatives appointed by clients. Working closely with the Compliance department to meet all regulatory obligations, particularly related to Anti-Money Laundering (AML) processes for new clients. Providing regular, clear, and detailed updates … of new Funds and support transitional activities for existing funds. Setting up client portfolios and maintain records on internal systems. Maintaining knowledge of the regulatory landscape and support the implementation of strategic and product initiatives Qualifications: At least 5+ years relevant experience in client onboarding/transitions or operational 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 »