Regulatory Compliance Officer Jobs

Our client is a national IFA firm who are looking for a Compliance Officer to assist in the provision of high quality compliance governance. This role will play an important role in ensuring compliance with relevant legislation and...

The successful candidate will work closely with senior compliance professionals to navigate complex regulatory landscapes, ensure adherence to global financial regulations, and foster a culture of compliance across all This role is...

The Role: Reviewing, updating, maintaining and developing the firm’s risk and compliance policies and procedures Conducting compliance audits and assessments Providing in house compliance guidance and training to all employees on...

Key Responsibilities: Compliance monitoring Advising the business on compliance matters Reviewing and approving marketing material Horizon scanning Advising the business on regulatory changes and developments Trade and For more...

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...

Duties include: Identify and ensure compliance with relevant laws and regulations affecting the business globally including anti bribery and corruption, modern slavery, ESG and sustainability, sanctions, cyber security and AI...

Location: Remote (UK based) Sector: Commercial Lines Insurance Broker Type: Full time About the Role: As Compliance Officer, you will provide comprehensive regulatory advice and oversee the implementation of compliance policies for...

They are looking for a Compliance Officer to support the Head of Compliance to ensure that the firm meets its regulatory requirements. THE RESPONSIBILITIES: To carry out activities, as allocated, in line with the compliance department...

Our client is a national IFA firm who are looking for a Compliance Officer to assist in the provision of high quality compliance governance. This role will play an important role in ensuring compliance with relevant legislation and...

The successful candidate will work closely with senior compliance professionals to navigate complex regulatory landscapes, ensure adherence to global financial regulations, and foster a culture of compliance across all This role is...