Compliance Jobs in London

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Compliance Officer

AJ FOX COMPLIANCE

London, England, United Kingdom

Full-time

Salary not specified

2 months ago

Anti-Money LaunderingClient OnboardingMatter OnboardingSRA Regulatory ComplianceMoney Laundering Risk AssessmentConflict ChecksSanctions ChecksEnhanced Due DiligenceOngoing Client MonitoringCompliance Policy DevelopmentRegulatory Risk ManagementCompliance TrainingCommunicationAdvising Fee EarnersMentoring

Senior Compliance Officer

Compliance Professionals

London, England, United Kingdom

Full-time

GBP70,000 - GBP80,000

3 weeks ago

Regulatory ComplianceAnti-Money LaunderingKnow Your CustomerCustomer Due DiligenceSanctions ComplianceFinancial Crime Risk AssessmentRisk-Based MonitoringCompliance OversightRegulatory Impact AnalysisPolicy and Procedure DevelopmentCompliance TrainingSuspicious Activity ReportingRegulatory LiaisonAutomated Monitoring SystemsFCA/PRA RegulationsJMLSG Guidance

Compliance Officer

AJ FOX COMPLIANCE

London, England, United Kingdom

Full-time

Salary not specified

2 months ago

ComplianceConflict searchesBusiness acceptanceAnti-money launderingConflicts rulesClient due diligenceSanctions screeningInformation barriersIntapp OpenResearchCommunicationStakeholder engagementRegulatory complianceRisk management

Compliance Officer - Commodities/ Energy

Compliance Professionals

London, England, United Kingdom

Full-time

GBP95,000 - GBP130,000

2 weeks ago

Trade SurveillanceMarket Abuse InvestigationsRegulatory ComplianceCommodity DerivativesEnergy MarketsMARMiFID IIMiFIREMIRREMITExchange RulebooksRegulatory EnquiriesTrader AdvisorySurveillance Alert TuningMarket Conduct TrainingPolicy and Procedure Review

Senior Risk & Compliance Manager

AJ FOX COMPLIANCE

London, England, United Kingdom

Contractor

Salary not specified

3 days ago

Risk ManagementComplianceProject LeadershipStakeholder ManagementRegulatory AnalysisGovernanceLegal AnalysisInternational OperationsCross-Functional CoordinationRisk AssessmentPolicy and Process DevelopmentAnti-Money LaunderingSanctions ComplianceData GovernanceInformation SecurityCommunication

COMPLIANCE ADVISORY & MONITORING

Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)

London, England, United Kingdom

Full-time

GBP50,000 - GBP60,000

2 months ago

Compliance MonitoringCompliance AdvisoryFCA COBSRegulatory AdviceSurveillancePersonal ComplianceAnti-Financial CrimeTrainingRegulatory ChangeFinancial Promotions ReviewAccount Opening ReviewGovernanceRecord KeepingInvestment Management

Compliance Officer (Part Time) SMF16/17

Compliance Professionals

London, England, United Kingdom

Part-time

GBP120,000 - GBP160,000

6 days ago

Compliance MonitoringRegulatory ComplianceFCA RulesMarket Abuse RegulationsTrade SurveillanceInvestment ManagementRegulatory ReportingNFA RequirementsSEC RequirementsPersonal Account DealingCommunications MonitoringConflicts Of InterestDue DiligenceFinancial PromotionsCompliance TrainingRegulatory Change Management

Senior Compliance Officer - Office based role

Compliance Professionals

London, England, United Kingdom

Full-time

GBP95,000 - GBP115,000

2 weeks ago

Commodities Derivatives ComplianceRegulatory ImplementationEMIRMiFID IISMCRIFPRDodd-FrankFCA RulesLME Regulatory RequirementsCompliance MonitoringRisk-Based MonitoringOTC Commodity MarketsFX MarketsPolicy and Procedure ReviewCompliance TrainingManagement Information Reporting

Risk & Compliance Team Leader

AJ FOX COMPLIANCE

London, England, United Kingdom

Full-time

Salary not specified

2 months ago

Risk managementComplianceLegal conflictsClient due diligenceAnti-money launderingPeople managementMentoringCommercial awarenessRegulatory rulesKYCSanctionsBusiness acceptanceStakeholder managementReportingProcess improvement

Compliance Manager, Compliance Advisory

BNP Paribas

London, England, United Kingdom

Full-time

Salary not specified

4 months ago

UK Compliance AdvisoryRegulatory Change ManagementRegulatory Impact AssessmentGap AnalysisCompliance AdviceCompliance TrainingConflict Of Interest ManagementInvestment Management CompliancePrivate Markets RegulationRegulatory ReportingForm ADV FilingCompliance Policy DevelopmentGovernance Committee ParticipationStakeholder ManagementProblem-SolvingWritten And Verbal Communication

Compliance Manager, Compliance Advisory

BNP Paribas Asset Management

London, England, United Kingdom

Full-time

Salary not specified

3 months ago

UK Compliance AdvisoryAsset Management ComplianceAlternative InvestmentsPrivate Markets RegulationRegulatory Change ManagementRegulatory Impact AssessmentGap AnalysisConflict of Interest ManagementCompliance Policies and ProceduresClient and Regulatory ReportingForm ADV FilingInvestment ManagementStakeholder ManagementCompliance TrainingGovernance Committee ParticipationProblem-Solving

Central Compliance

Jacobson Garner

London, England, United Kingdom

Full-time

Salary not specified

1 day ago

Compliance Framework DevelopmentCompliance AdvisoryRegulatory MonitoringPersonal Account DealingConflicts Of InterestGifts And EntertainmentOutside Business InterestsEmployee ConductCompliance TrainingCompliance Risk AssessmentCompliance MonitoringThematic ReviewsStakeholder ManagementCompliance ReportingControl Effectiveness AssessmentCross-Functional Collaboration

Compliance Manager

Eames Consulting

London, England, United Kingdom

Full-time

GBP75,000 - GBP90,000

1 day ago

Compliance Project ManagementRegulatory ChangeCompliance FrameworksPolicy DevelopmentControl EnhancementsProject PlanningRisk ManagementDependency ManagementProject GovernanceManagement Information ReportingStakeholder ManagementEmployee ComplianceCompliance TrainingConflicts Of InterestPersonal Account DealingGifts And Entertainment

Senior Compliance Analyst – Central Compliance

CLARC Recruitment

London, England, United Kingdom

Contractor

GBP60,000 - GBP70,000

2 weeks ago

SM&CRCentral CompliancePersonal Account DealingOutside Business InterestsTransaction ReportingRegulatory NotificationsCompliance AdvisoryPolicy WritingRegulatory ChangeConflicts ManagementFCA Register UpdatesSenior Manager AttestationsAudit SupportCASSGDPRCompliance Monitoring

Compliance Analyst

Marsh Agency

London, England, United Kingdom

Full-time

Salary not specified

1 day ago

Compliance AdvisoryRegulatory InterpretationCompliance MonitoringPolicy GovernanceRisk OversightMiFIDRegulatory Change ManagementCompliance Risk ManagementIncident ManagementStakeholder EngagementCall Recording OversightRegulatory EngagementAttention To DetailCommunicationRelationship BuildingProblem-Solving

Compliance Manager

ONMO

Team +20%

London, England, United Kingdom

Full-time

Salary not specified

1 weeks ago

Regulatory ComplianceFCA HandbookCompliance MonitoringRisk Assessment and MitigationRegulatory Change ManagementCompliance TrainingRegulatory ReportingSMCRFCA ConnectCompliance InvestigationsCompliance Oversight ReportingFinancial ServicesAnalytical and Problem-Solving SkillsStakeholder CommunicationMicrosoft ExcelMicrosoft Office

Compliance Officer

Danos Group

London, England, United Kingdom

Full-time

Salary not specified

1 day ago

Compliance AdvisoryRegulatory AdviceProduct GovernanceCompliance ProjectsRegulatory RequestsCompliance ProcessesBreach Review and RemediationNew Business InitiativesProduct DevelopmentBroker OnboardingOTC DerivativesDigital AssetsETFsStakeholder Relationship Management

Compliance Manager

Magnit Global

London, England, United Kingdom

Contractor

GBP650 - GBP735

8 hours ago

Employee ComplianceEthicsPersonal Account DealingOutside Business InterestsConflicts Of InterestRegulatory ComplianceCompliance TransformationCompliance GovernanceOperational RiskControl FrameworksStakeholder ManagementRegulatory JudgementSystem ImplementationUser Acceptance TestingManagement Information And ReportingProcess Reengineering

Senior Compliance Manager – Risk & Compliance

Radius

London, England, United Kingdom

Full-time

GBP65,000 - GBP80,000

2 days ago

ISO Management SystemsISO 27001ISO 45001ISO 50001ISO 9001ISO 14001ISO 22301Internal AuditingRisk ManagementIncident ManagementCorrective And Preventive ActionsBusiness Continuity PlanningCustomer AssuranceCompliance ReportingStakeholder ManagementCompliance Training