Compliance jobs in London
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Senior Compliance Officer - Investment Compliance
Compliance Professionals
London, England, United Kingdom
Full-time
Salary not specified
3 weeks ago
Guideline MonitoringInvestment ComplianceAladdinUCITSNURSAIFMDAsset ManagementPre-trade MonitoringPost-trade MonitoringClient OnboardingRisk ManagementRegulatory ComplianceStakeholder ManagementInvestment RestrictionsPortfolio MonitoringAsset Allocation
Compliance Associate
Compliance Professionals
London, England, United Kingdom
Full-time
GBP50,000 - GBP60,000
2 weeks ago
Regulatory adviceCompliance monitoringSurveillanceFinancial crimeFinancial promotionsAccount openingGovernanceAsset managementWealth managementCommunicationRegulatory knowledgeDetail-oriented
Compliance Officer
AJ FOX COMPLIANCE
London, England, United Kingdom
Full-time
Salary not specified
6 days ago
ComplianceConflict searchesBusiness acceptanceAnti-money launderingConflicts rulesClient due diligenceSanctions screeningInformation barriersIntapp OpenResearchCommunicationStakeholder engagementRegulatory complianceRisk management
Chief Compliance Officer/ MLRO
Compliance Professionals
London, England, United Kingdom
Full-time
Salary not specified
5 days ago
ComplianceAMLFinancial CrimeRegulatory ReportingFCAPRARisk AssessmentData ProtectionGDPRSMF16SMF17Corporate GovernanceBanking RegulationsPolicy DevelopmentStakeholder Management
Senior Compliance Officer- wealth management
Compliance Professionals
London, England, United Kingdom
Full-time
Salary not specified
2 weeks ago
ComplianceWealth managementPrivate bankingRegulatory reportingConsumer dutyMiFID IIFCA rulebookRisk assessmentPolicy developmentStakeholder managementInvestment productsRegulatory complianceTraining developmentComplaint reviewControl gap analysis
Risk & Compliance Team Leader
AJ FOX COMPLIANCE
London, England, United Kingdom
Full-time
Salary not specified
6 days ago
Risk managementComplianceLegal conflictsClient due diligenceAnti-money launderingPeople managementMentoringCommercial awarenessRegulatory rulesKYCSanctionsBusiness acceptanceStakeholder managementReportingProcess improvement
Head of Legal and Compliance
Compliance Professionals
London, England, United Kingdom
Full-time
Salary not specified
4 weeks ago
Compliance ManagementLegal ReviewRisk ManagementRegulatory ReportingStakeholder ManagementLeadershipPolicy FormulationQuality AssuranceAudit ManagementBusiness Continuity PlanningMS OfficeExcelCommunication SkillsTranslation Skills
COMPLIANCE ADVISORY & MONITORING
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
London, England, United Kingdom
Full-time
GBP50,000 - GBP55,000
2 months ago
Compliance MonitoringRegulatory AdvisoryFCA COBSAnti-Financial CrimeSurveillanceFinancial Promotions ReviewRegulatory Change ManagementAsset Management ComplianceRecord KeepingGovernance
Compliance Manager, Compliance Advisory
BNP Paribas Asset Management
London, England, United Kingdom
Full-time
Salary not specified
3 months ago
Compliance AdvisoryRegulatory AnalysisAsset ManagementPrivate MarketsConflict of Interest ManagementSEC ReportingForm ADVStakeholder ManagementRisk ManagementESG InvestingInternal ControlsPolicy Implementation
Compliance Officer
Koda Tech
London, England, United Kingdom
Full-time
Salary not specified
8 hours ago
Contract ComplianceContractor ManagementCompliance ChecksAudit SupportContract RenewalsContract AdministrationRecord KeepingCompliance ReportingInvoice ProcessingReconciliationsPayment RunsMonth-End FinanceNumerical AccuracyOrganisationCommunicationProblem-Solving
Compliance Manager, Compliance Advisory
BNP Paribas
London, England, United Kingdom
Full-time
Salary not specified
3 months ago
Compliance AdvisoryRegulatory ReportingImpact AssessmentGap AnalysisConflict Of Interest ManagementStakeholder ManagementPrivate Markets RegulationAsset ManagementSEC Form ADV FilingRisk ManagementESG InvestingInternal ControlsPolicy ImplementationVerbal CommunicationWritten CommunicationProblem Solving
Trade Surveillance, Futures Compliance, Compliance
CLSA
London, England, United Kingdom
Full-time
Salary not specified
2 weeks ago
Trade surveillanceNasdaq SMARTSMarket abuseFutures complianceCommodities marketRegulatory reportingSTOR assessmentsUK MARE-communications surveillanceData analysisRisk assessmentFinancial derivativesCompliance governanceAudit readinessAnalytical skills
Compliance Manager
Kroo Bank
London, England, United Kingdom
Full-time
Salary not specified
4 days ago
Regulatory ComplianceRegulatory AnalysisConduct RiskConsumer Credit RegulationsPayments ComplianceComplaints HandlingFinancial Ombudsman ServiceTreating Customers FairlyConflicts Of InterestFinancial PromotionsAnti-Bribery And CorruptionData ProtectionSMCRPolicy DevelopmentProduct ComplianceVulnerable Customer Frameworks
Compliance Manager
Kroo Bank Ltd
London, England, United Kingdom
Full-time
Salary not specified
4 days ago
Regulatory AnalysisRegulatory ComplianceConduct RiskConsumer Credit RegulationsPayments ComplianceComplaints HandlingFinancial Ombudsman ServiceTreating Customers FairlyConflicts Of InterestFinancial PromotionsAnti-Bribery And CorruptionData ProtectionSMCRPolicy DevelopmentProduct ComplianceStakeholder Collaboration
EXCLUSIVE: HEAD OF COMPLIANCE & MLRO – ONLINE BROKING COMPLIANCE EXPERIENCE REQUIRED
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
London, England, United Kingdom
Full-time
GBP140,000 - GBP180,000
3 weeks ago
Compliance ManagementAnti-Money LaunderingFCA RegulationsRegulatory ReportingStaff ManagementRisk MonitoringPolicy DevelopmentStakeholder ManagementOnline Broking ComplianceSMF16SMF17
Compliance Analyst
Danos Group
London, England, United Kingdom
Full-time
Salary not specified
5 days ago
ComplianceHorizon ScanningPolicy ImplementationRegulatory ReportingTrade ComplianceUK Financial RegulationExcelSQLPythonArtificial Intelligence ToolsLegal ResearchProp TradingHedge FundsHigh-Frequency TradingTrading Venues
Compliance Manager: Group Regulatory Compliance
Wise
London, England, United Kingdom
Full-time
GBP68,000 - GBP92,000
2 months ago
Anti-bribery and corruptionConflicts of interestRegulatory complianceFinancial crime complianceGovernanceRisk assessmentPolicy developmentDue diligenceThird-party risk managementData analysisStakeholder managementProject managementAutomationConsumer protectionReportingCommunication
Compliance Analyst
Black Swan Group
London, England, United Kingdom
Full-time
Salary not specified
3 weeks ago
Regulatory ComplianceAIFMDFCA GuidelinesThematic ReviewsRegulatory FilingPA DealingGifts and Entertainment (G&E)Compliance TrainingAMLKYCAnalytical SkillsProblem SolvingStakeholder Communication
Compliance Analyst
Eames Consulting
London, England, United Kingdom
Full-time
GBP50,000 - GBP55,000
2 weeks ago
Compliance monitoringRegulatory horizon scanningSanctions screeningConsumer dutyProduct governanceCompliance reportingBreach investigationRoot cause analysisInsuranceFinancial servicesRegulatory riskLloyd's marketFCA requirementsAnalytical skillsCommunication skillsOrganizational skills
Compliance Manager
DAZN
London, England, United Kingdom
Full-time
Salary not specified
3 months ago
Compliance managementRegulatory complianceStakeholder managementRisk managementLegislative analysisOnline gambling regulationRegulatory reportingPolicy documentationHorizon scanningTechnical complianceMarketing complianceStrategic planningCommunicationProject supportInternal auditing
Senior Compliance Officer - Investment Compliance
• via LinkedinCompliance Professionals
London, England, United Kingdom
Full-time
Salary not specified
3 weeks ago
On-site
Key Skills
Guideline MonitoringInvestment ComplianceAladdinUCITSNURSAIFMDAsset ManagementPre-trade MonitoringPost-trade MonitoringClient OnboardingRisk ManagementRegulatory ComplianceStakeholder ManagementInvestment RestrictionsPortfolio MonitoringAsset Allocation