1 to 25 of 41 Permanent Compliance Officer Jobs in the UK

Awareness Training Capturing and reporting data protection risks and mitigating action Carrying out data protection monitoring and reviews in academies Maintenance of data protection compliance records Providing advice and guidance on data protection and compliance related enquiries from staff Assisting the Data Protection Compliance Manager and Director … of Risk and Compliance on initiatives and projects Coordinating the review and quality assurance of Federation Policies and key documents Coordinating a comprehensive suite of general compliance training to Head Office and academies Assisting the Director of Risk and Compliance in the management of Federation risk Supporting … the compilation of the Main Trust Compliance Board report and other general compliance documentation more »

Compliance Officer, Regulatory Change - London Company Overview: Our client is an active, global investment manager who have a focus on both fixed income and equity markets. 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, with a specific focus on regulatory change. 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: · Advise the business on regulatory change · Manage the implementation of more »

Miryco Consultants is working with a renowned Investment Manager who are looking for a Capital Markets Compliance Officer to join their dynamic and high performing compliance function. The company is in growth mode and is looking for an experienced individual to help comply and facilitate that expansion. … understanding of market conduct and surveillance. Responsibilities: Carrying out frequent and thorough trade surveillance checks in relation to market abuse and market conduct. Provide Compliance guidance on an as-needed basis, especially regarding market abuse and conflicts of interest, aligning with company policies. Assist in compiling and preparing Management … Information (MI) reports related to surveillance activities and other compliance tasks. Collaborate on designing and implementing improvements to communication and trade surveillance procedures. Delivery of Compliance monitoring, with a focus on market conduct and financial crime risks. Perform assessment of market conduct and trade surveillance framework to identify more »

A leading global Hedge Fund are looking to make a key Compliance hire. The firm have achieved excellent performance and they continue to rapidly expand, growing in both headcount and AUM. The role offers the opportunity to join a highly prestigious hedge fund that has very low attrition -they … platforms of any London based hedge fund - hence why its employees find no reason to ever look externally for another hedge fund role. The Compliance Officer will assist in all aspects of compliance for the business. Working as part of a team of 3, in a flat … involved in various automation projects, within a world class team. The ideal candidate will have at least 4 years of experience in a generalist compliance role, as part of a buy-side firm. The role offers a fantastic opportunity to take a step up into one of the best more »

Our client is a market leading global electronic trading and financial services firm. They are seeking a Compliance Officer (VP - SVP level) in London to work within a flat structure and take the lead on their rapidly growing energy trading businesses. Key Responsibilities: · Advise on compliance requirements more »

We seek to be a trusted partner in the projects of those building tomorrow's world today. About the team: The objective of the Compliance Controls department is to assess and test independently the adequacy and effectiveness of the 1st LOD compliance risk and control framework that the … Business Units (BU) and Support Units (SU) have put in place to mitigate the risks of non-compliance, reputation and misconduct that SG Group is exposed to across its business activities and operations globally. The Compliance Controls team in London is responsible to cover SG Wholesale Banking activities … reviews may cover a wider geography, including France and the EMEA entities. Summary of Key Purposes of the Role: The mission of the UK Compliance Controls Officer is to conduct – primarily but not exclusively - reviews of Wholesale Banking activities in EMEA. The role includes, but is not limited more »

Miryco Consultants is working with a leading Lloyd’s Insurance broker to hire a Compliance Monitoring Officer to join their Central Compliance team. Responsibilities: Provide support in the development of relevant management information. Review reporting and understand regulatory performance. Where any risk indicators are identified, verify the 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 »

and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support Compliance matters as required. To work principally with the Head of Public Markets Compliance Advisory, and Deputy Head of Group Compliance, and other … members of the Compliance Team - as required, to support the provision of Compliance advice. To track industry developments, for example best practices from trade associations and apply and roll these out within the Business. To assist with the provision of ad-hoc advice to the Public, and Private … networks. To assist with the management of incoming market soundings. To assist with the management of trade restrictions. To assist with the management of Compliance workflows and the integration of a new reg tech system. To manage the addition and removal of entries to Worldcheck and to investigate daily more »

We are looking for an Information Compliance Officer to join our Parliamentary Knowledge and Information Office at the House of Lords. This is an exciting opportunity for someone with good knowledge of data protection legislation and experience of handling FOI/EIR requests, who is keen to use … their expertise to advise and support multiple stakeholders. The work that you do will ensure compliance with legislation and best practice, through your contribution to relevant policies, processes and sharing of knowledge with others. This is an opportunity to work on a hybrid basis where you will be able … policies and procedures on information security issues and the accreditation of ITsolutions, in liaison with the Information Security Team and House of Commons Information Compliance Team - supporting the Head of Information Compliance in completing Data Protection Impact Assessments (DPIAs) for projects and IT solutions that are processing personaldata. more »

flexible working to all. Our individual impact and output is what counts most. About The Role This is an exciting opportunity for an experienced compliance officer, looking to progress to the next level who is looking to work in a fast-paced FinTech start-up. As part of … the Risk & Compliance team, reporting to the Chief Risk & Compliance Officer, you will be responsible for ensuring that Moneyfarm and Profile Pensions meet their day to day regulatory responsibilities As part of the Risk Management Function, you will work closely with colleagues to make sure that all … profile; Monitoring regulations and regulatory change as well as industry best practice and updating our Horizon Scanning tracker as appropriate Producing Board risk and compliance reports on a quarterly basis as well as ad-hoc risk reporting; Supporting the Chief Risk & Compliance Officer with the rollout of more »

GIMO with employees specialising in all aspects of Marketing, Affiliation Marketing, Development, Web Design, Content, Analysis, Software Development and Customer Service. The Role: The Compliance officer fulfilling this role will be responsible for maintaining the regulatory license obligations for the Danish Gambling Authority (DGA). The fundamental responsibility … is to ensure compliance with the licence regulations and governing legislation within the applicable jurisdiction. The officer is responsible for co-ordination, development and embedding of the Group’s compliance framework within the each market whilst ensure they have consideration for commercial growth. You will be required … to oversee and manage the tasks and issues in a timely manner, and provide the necessary updates to the compliance and operations managers. You’ll work with and support the business on any compliance related queries, including some day to day AML duties as designated by the Group more »

Job DescriptionCompliance Officer/File CheckerPermanentNewcastleCompetitive SalaryAs a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.Responsibilities:Ensure client files are in compliance with regulatory standards and internal policiesFiles submitted and checked via in house 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 »

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 »

Our client, an exciting & leading Crypto Exchange are looking to add a key hire to their London Office. Your mission As a Senior Core Compliance Officer your role will be to support the business and day to day operations by undertaking Compliance oversight activities to ensure the … Assessments, Reporting (both internal and external), leading and overseeing Conduct controls, and working closely with various business and support functions to ensure a robust compliance control framework. What you’ll do Conducting monitoring and testing including in relation to AML and Market Abuse, as well as conducting Thematic Desk … activities, i.e. PA Dealing, Gifts and Entertainment, Conflicts of Interest oversight and related Register maintenance. Providing training to the business in relation to all Compliance related matters. Support Regulatory change initiatives and projects. Who you are Strong product knowledge covering multiple asset classes with a focus on cryptocurrency, derivatives more »

as we aim to become the Bank of choice for businesses wishing to transact in the African continent. Job Purpose Working with the Deputy Compliance Manager, the wider Compliance team; and relevant operational departments to ensure the Bank’s compliance to CASS rules. Working closely with Bank … CASS audit and following up on recommendations and exceptions identified by the external auditors. As a senior team member, you will support the wider Compliance team in facilitating the development of a compliance culture which is conducive the minimise the risk of regulatory failure and the resultant reputational … damage. Work on financial crime matters and complete the relevant AML activities as part of the Compliance Monitoring Plan. Skills and Knowledge Required: Languages- French speaking (preference) Relevant qualification – Compliance qualification or LLB preferred. Minimum of 3 – 4 years of relevant industry experience. Good knowledge of the trade more »

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 »

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 »

Contract Officer (Compliance) (£42,428 per annum, permanent, full-time) Job Role A role has become available in the Asset Team for a Contract Officer (Compliance), to co-ordinate the day to day running of the asbestos and water hygiene compliance contracts. You will be … your reports and findings to the Building Safety Manager. You will also be expected to chair and manage contract meetings to support achieving your compliance goals. The successful candidate will have outstanding IT skills, attention to detail and experience in either housing, construction or project management. You'll need more »

Onboarding and Compliance Officer Liverpool Street Hybrid working (After 6 month probation) Up to £35,000 My client, a growing, international contract recruitment business is looking for an Onboarding and Compliance officer to join their team. The ideal candidate will have experience working within a compliance … sales teams regarding any missing, inaccurate or unconfirmed information. • Communicating both internally and externally in connection with information and outstanding documentation required for contracts, compliance and payments (i.e. missing bank details, contracts, timesheets, receipts, references etc.). • Recording and inputting details of all documentation received back from contractors (including … relevant systems. • Data entry onto any relevant and internal spreadsheets. • Data entry onto any client and internal systems/CRMs. • Basic knowledge of any compliance legislation including AWR & IR35 processes. • Checking the validity of candidates’ right to work. • Carrying out ID checks on candidates’ right-to-work documents. • Chasing 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 »

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 »

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 »

Information Officer - Compliance & Assurance Counter Terrorism Policing HQ The starting salary is £33,348, which includes allowances totalling £2,841. The salary is broken down as £30,507 basic salary, which will increase annually until you reach the top of the scale £32,639. Plus, a location allowance more »