36 Compliance Officer Jobs in the UK

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 »

The Role We are currently working with an ambitious law firm who are looking for a Compliance Officer to join their team in London. Some of your responsibilities will include: Analysing conflict search results utilising Intapp Open software, identifying potential regulatory and/or commercial conflicts and facilitating … purposes and assisting fee-earners in obtaining the information and documentation required for this purpose. Conducting sanctions screening. Requirements for the Role: 1.5 years compliance experience working with a law firm. strong understanding of Anti-Money Laundering legislation and conflicts rules applicable in all jurisdictions in which the firm more »

Job Title: Compliance Monitoring & Oversight Officer (Lead) Location: UK or Lithuania/Travel required/Hybrid Term: Permanent Salary: TBD depending on seniority and experience Reports to: Compliance Lead About us B4B Payments is part of the Banking Circle ecosystem, a Payments Bank for financial institutions. We … global and diverse team, our colleagues speak 20 languages. Headquartered in London, we have offices in Newcastle, Vilnius and Boston. About the role The Compliance Monitoring & Oversight Officer Lead will play a crucial role in our Compliance department, ensuring that B4B Payments operates within all regulatory frameworks … applicable to electronic money and payment services companies. The successful candidate will be responsible for monitoring, assessing, and reporting on the compliance of business operations of B4B Payments in addition to Agents and Distributors of B4B, mitigating risks, and ensuring adherence to laws, guidelines, and internal policies. This role more »

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 »

A1 Personnel are currently recruiting for a Compliance Office for a perm role on behalf of our client based in Stanford le Hope. Duties and Responsibilities: Maintain the company's Environmental and Quality Management System frame work and ensure ongoing compliance with accredited ISO90001, ISO14001 and any other … ISO standards as applicable. Manage day to day operation of the company's ISO compliance program Collaborate with other functional areas in the investigation and resolution of compliance issues. Maintain an oversight of customer audits and outcomes. Overview of business supplier performance, contractor assessments and external audits Lead … internal audits and compliance assurance reviews Facilitate and host external audits with assessors acting for certified accreditor Management of Activ system and document control. Requirements: Meticulous planning capability and a proactive approach to managing a compliance program Ability to communicate complicated compliance issues at all levels of more »

Are you passionate about ensuring ethical business practices and compliance within the financial services sector? Do you thrive on analyzing data to identify trends and anomalies? If so, we have an exciting opportunity for you to join a top Banking Corporation within the Compliance and Conduct team in … the Wealth Management Division. As an Associate in the Conduct team, you will play a key role in supporting the data-led compliance strategy. This role is ideal for candidates with strong analytical and quantitative abilities who are looking to further develop their skills within the Wealth Management environment. … Your responsibilities will include: Support the wider Conduct & Compliance team in day to day duties Championing a culture of ethical business practices and compliance awareness. Analyzing and challenging investment governance, investment risk, and conduct risk matters. Maintaining and updating the Conduct Risk PowerBI Dashboard. Conducting quantitative and qualitative more »

We are hiring a Quality, Risk and Audit Officer who wants the opportunity to carve out a successful role within an award-winning and growing organisation. We have a growing portfolio of clients due to our excellent reputation within the industry and we are seeking to add to our … in quality management or those that can create and refine internal processes. Key Responsibilities The successful candidate will Contribute and monitor the Quality and Compliance Monitoring Plan. This includes ensuring that our plan captures the standard and clauses of ISO 9001, as well as ensuring internal audits are carried … Contribute to regular analysis and review of Management Information within the Risk and Audit team to identify any trends that may impact or improve compliance, quality, or other areas in the organisation and agree a plan with stakeholders to embed lessons learnt. Support all of the Group’s Functions more »

offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of developments in relevant laws, regulations and guidelines. Provide … advice to staff on compliance issues which arise on a day-to-day basis. To keep abreast of new regulations for the timely review and adoption of relevant changes considered necessary within the firm. Carry out quality assurance monitoring of First-Line review activities Check Compliance with the … and when required. Assist to respond to requests for documentation and other requirements contained in court orders. Assist in preparing and arranging delivery of Compliance and Anti-Money Laundering training to staff in conjunction with the MLRO. Assist in reviewing Conduct of Business Regulatory Compliance activities as directed 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 »

Job summary The post holder will be responsible for the systematic identification, recording, evaluation of risks arising from non-compliance with statutory legislation relating to buildings, plant, services and equipment and implementation of maintenance regimes to minimise the Trust exposure to those risks and identified within the Parameters of more »

a progressive career, in a company who values your ingenuity, creativity and ambition. Are you ready to accept our challenge? To deliver mandatory and compliance based training as required by the MEH Alliance workforce at HPC . Accountable for: · Working with the L&D and H&S teams to more »