46 Compliance Officer Jobs

Lloyd Recruitment Services is excited to work with a leading organisation in search of a Data Security Compliance Officer to join their team. This is a great opportunity where you'll be a key player in ensuring data protection and security compliance across the business. What's … on top Company pension Discounts across 100's retailers Private health scheme Discounted gym membership Purpose of Job: Join a small, friendly Data Security Compliance Team and play a vital role in maintaining data protection and security compliance activities. Managing end-to-end processes for data subject requests … company's Data Security Policy set Developing training materials and contributing to awareness campaigns Supporting the DPO in emphasising the importance of data security compliance Essential Skills: Strong knowledge and understanding of current and upcoming UK data protection law, e.g. UK GDPR, Data Protection Act 2018, Privacy and Electronic 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 »

Job Description Support the Head of Compliance to implement risk assessments, compliance policies and procedures. Undertaking specified checks and controls to ensure that all departments are compliant with the appropriate regulations and procedures. This role is a Fixed Term Contract for 6 months with the potential of going … permanent. The main responsibilities include: Be responsible for and support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators. Ensure compliance with related legislation. Undertake … and assist in advising procedural amendments required to managers responsible throughout the firm, while ensuring they are implemented. In liaison with the Head of Compliance, ensure that clients’ complaints are reviewed and appropriate action taken depending on whether they are indicative of procedural weakness or failure of internal controls. 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 »

Are you an experienced Quality and Compliance Officer who is looking to work with a growing company that would allow you to work across multiple divisions. My client, are a Global Consultancy that work across multiple sectors. This role requires somebody who is able to look at the … liaise with external and internal auditors, reviewing and issuing of audits reports and maintaining audit findings logs Organising and contributing to the Quality and Compliance forum The ideal candidate will have: Proven experience of ISO9001 Quality Management and understanding of ISO20000 Service Management and ISO27001 Security Management Systems certification … data to any third party without your verbal or written permission to do so. All incoming and outgoing calls are recorded for training and compliance purposes. CPS Group (UK) Ltd is acting as an Employment Agency in relation to this vacancy. Our new privacy policy can be found here 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 »

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 »

Job Description Job Title: Compliance Monitoring & Oversight Officer Location: UK or Lithuania/Travel required/Hybrid Term: Permanent Salary: TBD depending on seniority and experience Reports to: Compliance Monitoring & Oversight Lead About us B4B Payments is part of the Banking Circle ecosystem, a Payments Bank for … 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 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 will 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 »

Job Title: Compliance Investigations Officer Duration: 5 months Rate/Salary: £300-400 per day inside IR35 (dependent upon experience) Location: London based/hybrid working (2-3 days in office per week) The Role: - End to end case management and change management focus for Internal Compliance Programme - Meet and enhance our objectives pursuant to the Assurance Plan and the Annual Compliance Plan - Supporting confidential end to end internal investigations of alleged misconduct in alignment with the Investigation Coordination Process including witness interviews, maintaining case files, drafting reports of case findings, recommending disciplinary action etc. … enhancing the investigations process and framework by e.g. analysing and reporting on investigation trends - Assisting in internal and/or external reporting such as Compliance quarterly and annual reporting The Candidate: - 3 to 5+ years experience in a similar role - Financial Services experience required (Insurance industry experience highly advantageous 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 »

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 »

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 »