1 to 25 of 40 Compliance Officer Jobs

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 »

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 »

The MLRO/Compliance Officer will be responsible for managing our compliance with legal and regulatory requirements, with a particular focus on anti-money laundering (AML) and counter-terrorist financing (CTF) measures. This role involves actively monitoring, assessing, and managing compliance risks and reporting directly to … relevant authorities as required. This is a remote part-time (50% FTE) position . Key Responsibilities : Develop, implement, and maintain the AML/CTF compliance program in alignment with UK regulations. Serve as the primary point of contact for all matters related to AML/CTF within the organization. … Conduct regular and ad-hoc compliance audits and reviews to ensure adherence to laws, regulations, and internal policies. Provide training and guidance to staff on compliance procedures and the importance of regulatory compliance. Prepare and submit timely reports to the Financial Conduct Authority (FCA) and other regulatory bodies. more »

Sensitivity Review IT Technical Support Officer £29,586 - £34,179 plus £1,750 location allowance and excellent benefits Full time and based at Hanslope Park near Milton Keynes Free shuttle bus available between central Milton Keynes and Hanslope Park Positive, flexible and adaptable, you enjoy learning new skills and more »

Sensitivity Review IT Technical Support Officer £29,586 - £34,179 plus £1,750 location allowance and excellent benefits Full time and based at Hanslope Park near Milton Keynes Free shuttle bus available between central Milton Keynes and Hanslope Park Positive, flexible and adaptable, you enjoy learning new skills and more »

to make a positive, sustainable contribution to both the UK economy and society. On behalf of this organisation, AMS is looking for a Senior Compliance Officer - Regulatory for a 12 -month contract, based hybrid in London. Purpose of the Role: The Compliance Reviews Team ('CRT') main mandate … is to carry out risk-based compliance reviews with a focus on UK specific Compliance risks. The Compliance Officer in the CRT is mainly responsible for carrying out assigned Compliance reviews and, where necessary, allocated independent testing and controls across CIB business lines throughout Europe. … As a Senior Compliance Officer - Regulatory , you will be responsible for: Leading and driving forward the allocated programme of risk-based thematic, transversal, targeted and desk focused Compliance reviews/independent Testing. Performing testing and reviews/controls independently or with limited guidance. Leading the review process 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 »

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 »

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 »

Position: Skills Coach - Regulatory Compliance Officer (RCO) Salary: £36,000 - £43,000 per annum Remote role About the Role: Are you passionate about guiding learners to success in Regulatory Compliance programs? We're seeking skilled professionals to join us as Skills Coaches. Your role involves mentoring learners … facilitating interactive sessions, and adapting learning plans to meet their needs. If you have regulatory compliance expertise and a dedication to exceptional customer experiences, apply now! Key Responsibilities: Mentor learners to achieve program goals. Facilitate interactive learning sessions. Customise learning plans for individuals. Utilise digital technologies for engagement. Liaise … with employers and agencies. Ensure compliance with regulatory standards. Requirements: GCSE English and Maths (A-C) or equivalent. Level 4+ Law Enforcement qualification. Level 3 Award in Education & Training or willingness to acquire. Experience in coaching and digital learning delivery. Strong communication and organisational skills. If you're ready more »

Role Purpose Our client, a global satellite operations provider have a brand new opportunity within their IT Shared Services team. The ISO Governance and Compliance Officer plays a key role in establishing and maintaining a practical framework for managing ISO governance and ensuring adherence to regulatory requirements, industry … standards, and internal policies. The role aims to safeguard our clients QMS and Infosec processes and assets, mitigate risks, and foster a culture of compliance, all whilst contributing to the overall security, integrity, and success of their Technology operations. This is an exciting and critical role where you will … enhancing their reputation and stakeholder trust. Key Accountabilities & Responsibilities Develop and implement ISO governance policies and procedures. Monitor and assess ISO processes to ensure compliance with applicable laws, regulations, and industry standards. Own the compliance audit and risk assessment process. Manage the internal and external audit process, and 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 »

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 »

Compliance Officer-6 month FTC Are you passionate about ensuring regulatory compliance within the banking sector? Do you thrive in a dynamic environment where your expertise is valued and your contributions make a real difference? If so, Oxbow Resourcing are on the lookout for a motivated Compliance Officer to join our client who are a challenger bank on a 6-month Fixed-Term Contract (FTC) and play a crucial role in ensuring adherence to regulatory standards. Established in 2007, this is not your average bank – they are a challenger bank operating under Shariah principles. With … and Wilmslow, they offer a range of personal and corporate savings products, along with financing for UK residential properties. If you're enthusiastic about compliance, thrive in a collaborative environment, and want to be part of a forward-thinking bank, then keep reading! The role As Compliance Officer 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 »

Job Title – Senior Compliance Officer - Mat Cover 12 months Location – BL9 8RR Working rota – Monday - Friday Working hours – 40 Hours What You'll Be Doing: As a Senior Compliance Officer , you'll be doing the following: Lead compliance audits to ensure adherence to relevant regulations … e.g PCI DSS Conduct investigations/subject access requests maintaining the upmost confidentiality at all stages. Collaborate with PMO ensuring compliance for new and existing projects. Complete data protection impact assessments and provide security oversight of those completed by the wider business What We're Looking For: Complete vendor more »

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

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 »

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 »

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 ambiguous transactions more »

Job Description Bank Compliance Officer Our Client an bank based in Central London are looking to recruit a Compliance Officer ideally with experience of working for another bank. You will have at least 3 years experience of working in a financial or banking environment as a … Compliance Assistant or Compliance Officer. The position will report to the Head of Risk and Compliance at the Bank. Key Skills Required: A strong understanding of the UK regulations/rulebooks specifically the PRA, CRD and the FCA Conduct requirements and the ability to interpret regulations within … to work both independently and as part of a team Have strong communication (both written and verbal), reasoning and influencing skills Experience of undertaking compliance monitoring reviews and producing compliance monitoring reports to document compliance with internal and external regulations/process Any certification in AML or 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 »

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 »