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Regulatory Compliance Officer Jobs in London

12394 Regulatory Compliance Officer Jobs in London

X4 Technology

Compliance Officer

X4 Technology

London

Responsibilities of the Compliance Officer includes: Handle day to day financial promotion approvals, complaint resolutions, transaction reviews and onboarding queries Complete necessary sections of Regdata reports and Connect...

Full time

Posted

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Joblift
Coopman Search and Selection

Compliance Officer

Coopman Search and Selection

London

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...

Full time

Posted

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Joblift
FinTop Consulting

Compliance Officer

FinTop Consulting

London

Assist in directing the establishment of compliance procedures and controls, guaranteeing adherence to AML/CTF, FCA regulatory compliance, and other laws. Maintain an efficient compliance framework by working cooperatively with...

Full time

Posted

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Bruin

Compliance Officer

Bruin

London

Main Purpose of the Role: As a key member of our Compliance Team, youll play a vital role in assisting with various compliance matters, including managing compliance systems, providing advisory services to both Public Markets and Key...

Full time

Posted

via Joblift

Joblift
Lockton

Compliance Officer

Lockton

London

Responsible for horizon scanning and identification of emerging regulatory issues Ensure Lockton has in place robust and effective procedures to mitigate regulatory risk As required, responsible for regulatory submissions via...

Full time

Posted

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Nexus Jobs Limited

Compliance Officer

Nexus Jobs Limited

London

£60,000 - £80,000

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...

Full time

Posted

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Moneyfarm Group

Compliance Officer

Moneyfarm Group

London

£60,000 - £80,000

  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 Main...

Full time

Posted

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Quantum Group

Compliance Officer

Quantum Group

London

£60,000 - £80,000

Key Responsibilities: Performing Compliance Risk Assessments Second line oversight of the Banks compliance with the applicable law, regulations and internal policies Developing and implementing a Compliance Monitoring Programme...

Full time

Posted

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Standard Bank of South Africa Limited

Officer, Compliance

Standard Bank of South Africa Limited

London

£60,000 - £80,000

4 5years experience in the Investment Banking Business Area Demonstrated experience in engaging with senior business stakeholders Demonstrated experience in a regulated environment,in relation to Corporate & Investment Banking We...

Full time

Posted

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Starling Bank Limited

Compliance Officer

Starling Bank Limited

London

£60,000 - £80,000

  Were looking for a Compliance Officer, to provide second line of defence (2LoD) regulatory compliance advice and guidance, as well as oversight and challenge to the 1LoD (first line of defence) / business teams. Youll ensure the...

Full time

Posted

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Stephenson Harwood

Compliance Officer

Stephenson Harwood

London

£60,000 - £80,000

Team Structure The Business Acceptance team consists of the Head of Business Acceptance, an AML and Sanctions Manager, three Senior Compliance Officers and ten Compliance Officers based in the firms London office. The London team works...

Full time

Posted

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Compliance Professionals

Compliance Officer

Compliance Professionals

London

£60,000 - £80,000

. Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations. Be a collaborative member of the Compliance team to uphold an effective...

Full time

Posted

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CMC Markets

Compliance Officer

CMC Markets

London

£60,000 - £80,000

Reporting into a Compliance Manager, your position will involve supporting the Compliance function in ensuring that the firm meets its regulatory objectives . Please note that this is an onsite role and you will be required to be in the...

Full time

Posted

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Morningstar Credit Ratings, LLC

Compliance Officer

Morningstar Credit Ratings, LLC

London

£60,000 - £80,000

Compliance Officer, Policies & Procedures and Training, Global Controls Morningstar is seeking a Compliance Officer based in London to join the Global Compliance Department, reporting to the Global Head of Policies & Procedures and...

Full time

Posted

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Financial Times group

Compliance Officer

Financial Times group

London

£60,000 - £80,000

The Role / Position Overview Reporting to the Head of Regulatory Compliance, and part of the Legal, Secretariat and Compliance team, this varied role will cover general compliance duties for a private multinational group. These include...

Full time

Posted

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