Jobs
>
London

    Senior Compliance M - London, United Kingdom - Barclay Simpson

    Barclay Simpson
    Barclay Simpson London, United Kingdom

    3 weeks ago

    Default job background
    £100,000 - £120,000
    Description
    My client is a global financial services firm


    Role Overview:

    My client is seeking a Markets Advisory Compliance Officer to provide second-line oversight of the Capital Markets Business activities across the group, focusing on FICC, Rates, FX, Credit, Financial Futures & Options, and Listed Derivatives.

    This role involves offering clear and timely regulatory advice, supporting business initiatives, promoting a compliance culture, and acting as the Compliance lead on listed derivative exchange-related enquiries.

    Deliver second-line oversight of Capital Markets Business activities, ensuring compliance with regulatory requirements and internal policies.
    Provide clear and timely regulatory advice to business stakeholders, supporting initiatives and fostering a compliance culture.

    Act as the Compliance lead on listed derivative exchange-related enquiries, liaising with business groups to gather relevant information and manage responses.

    Ensure timely identification of regulatory changes affecting business groups, collaborating across Support Functions and the Business to implement new regulations.

    Deliver ongoing compliance support to relevant business groups, advising on the application of global compliance policies, exchange rules, and regulations.

    Identify regulatory or reputational risks and escalate to management for resolution.
    Support compliance team members in conducting timely compliance reviews and approving new Business-specific initiatives.
    Work with Legal, Compliance colleagues, and other support function staff to address cross-jurisdictional compliance matters.

    Provide SME support to Compliance Assurance colleagues, participating in the annual Compliance Risk Assessment process and execution of assurance activities.

    Design, drive, and deliver specific desk-based thematic reviews to assess compliance effectiveness.

    Act as a challenge and control function to the Business on compliance-related matters, including the Business-owned Risk & Control Assessment.

    Participate in the development and delivery of the annual regulatory training plan for the Business, as well as ad hoc trainings.

    Provide Compliance input to control and regulatory incidents, internal audits, and reviews within the Business.
    Bachelor's degree in Finance, Business Administration, Law, or related field. 5 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
    ~ Strong understanding of regulatory requirements and best practices related to capital markets.
    ~ Proven ability to identify and mitigate compliance risks effectively.
    ~ Proficiency in Microsoft Office Suite and compliance-related software applications.

    100,000 - £120,000 base salary and comprehensive benefits package.
    ~ Opportunities for professional development and career advancement.
    ~ Hybrid working 3 days in the office
    ~
  • The Bank of New York Mellon Corporation

    Newton, Senior Compliance Officer, Compliance

    3 weeks ago

    The Bank of New York Mellon Corporation London, United Kingdom

    Newton is a global investment management firm owned by BNY Mellon, with offices in London, New York, Boston and San Francisco and has expertise in a range of disciplines, including global, regional and emerging-market equities, multi-asset strategies, absolute return investing an ...

  • eFinancialCareers

    Newton, Senior Compliance Officer, Compliance

    2 weeks ago

    eFinancialCareers London, United Kingdom

    **Overview** · Newton is a global investment management firm owned by BNY Mellon, with offices in London, New York, Boston and San Francisco and has expertise in a range of disciplines, including global, regional and emerging-market equities, multi-asset strategies, absoluteretur ...

  • WEX Europe Ltd

    Senior Compliance Auditor

    3 weeks ago

    WEX Europe Ltd London, United Kingdom

    If you are looking for a new role then look no further we have a fantastic opportunity for a **Senior Auditor** **/ International Regulatory Compliance** to join our team. · We are looking for an experienced auditor with proven capabilities and audit experiences in banking regula ...

  • Finitas

    Senior Compliance Officer

    2 weeks ago

    Finitas London, United Kingdom

    Senior Compliance Officer | Fintech Payment Company | London/WFH | £Negotiable · Finitas are delighted to be partnered with a globally recognised Fintech Payment company, who are continuing their expansion within the London market. · You will be working with the senior management ...

  • Kind Consultancy Ltd

    Senior Compliance Manager

    3 weeks ago

    Kind Consultancy Ltd London, United Kingdom

    Kind Consultancy is working with a fast-growing Financial Services business which is currently seeking a Senior Compliance Manager to join their team, in a permanent role requiring 2-3 days in-office per week. The office days can be based in their London,Birmingham or Leeds offic ...

  • ABL Recruitment

    Senior Compliance Manager

    3 weeks ago

    ABL Recruitment London, United Kingdom

    **Title: Senior Compliance Manager** **(Insurance)** · **Languages**:English (German is a plus) · **Salary**: £104k to £117k per annum · **Location**: London (Hybrid - 3x onsite, 2x wfh) · **Travel Involved**: Yes · **Sector**: Regulatory - Compliance - Insurance · **KEY RESPONSI ...

  • Careers In Group

    Senior Compliance Officer

    3 weeks ago

    Careers In Group London, United Kingdom

    A high profile Financial Services, Banking organisation requires a permanent Senior Compliance Officer to be based in their City, Central London office (3 days homeworking). · The Senior Compliance Officer is a role within the Compliance advisory team of the bank, working closely ...

  • Royal Bank of Canada

    Senior Compliance Coordinator

    3 weeks ago

    Royal Bank of Canada London, United Kingdom

    **Come Work with Us** · At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. · Whether you're helping clients find new opportunities, developing new tech ...

  • eFinancialCareers

    Senior Compliance Associate

    3 weeks ago

    eFinancialCareers London, United Kingdom

    Miryco Consultants are currently working with a leading Lloyd's insurance broker, who are looking for a high-achieving Senior Compliance Associate to provide efficient and effective support to the Compliance Manager and the wider Risk & Compliance team. · **Responsibilities**: · ...

  • Arthur

    Senior Compliance Manager

    3 weeks ago

    Arthur London, United Kingdom

    My client is a leading insurance broker and they are looking to bring in a Senior Compliance Manager to lead their Compliance function. · You will be responsible for the Compliance Function and leading on a wide variety of compliance projects, regulatory matters and strategic ini ...

  • BNP Paribas

    Senior Compliance Officer

    3 weeks ago

    BNP Paribas London, United Kingdom

    SENIOR COMPLIANCE OFFICER (JOB NUMBER: 9990) · **BNP Paribas Asset Management ('BNPP AM) is the investment arm of BNP Paribas, a leading banking group in Europe with international reach. At BNPP AM, we aim to generate long-term sustainable investment returns for our clients, base ...

  • Arthur

    Senior Compliance Manager

    3 weeks ago

    Arthur London, United Kingdom

    The responsibilities will vary depending upon the client and the engagement profile. Amongst others, you will be: · - Leading teams on engagements - acting as team leader on engagements and being responsible for day-to-day liaison and building meaningful relationships with client ...

  • K-People Europe Limited

    Compliance Senior Associate

    3 weeks ago

    K-People Europe Limited London, United Kingdom

    Our client, London operation of a global investment bank with its presence in 11 countries, is looking for a **Compliance Senior Associate**. · The company has been expanding rapidly diversifying its business from cash equity sales business to Investment Banking business focused ...

  • eFinancialCareers

    Senior Compliance Advisory

    3 weeks ago

    eFinancialCareers London, United Kingdom

    **Key Responsibilities**: · - Monitoring, interpreting and overseeing key regulatory developments, including identifying changes to these that could affect the business · - Offering advice and guidance to other business units as required · - Implementation of suitable compliance ...

  • eFinancialCareers

    Senior Principal, Compliance

    2 weeks ago

    eFinancialCareers London, United Kingdom

    **Overview** · **Overview Of BNY Mellon**: · Compliance and Ethics is an independent organization within BNY Mellon reporting to the Chief Risk Officer (CRO), responsible for helping to ensure the company's businesses maintain appropriate processes to comply with all applicable l ...

  • Inetum Capital Market

    Senior Compliance Officer

    3 weeks ago

    Inetum Capital Market London, United Kingdom

    Non-disclosed London, United KingdomPosted 3 hours ago Hybrid Permanent £80k - £90k · - Our client is a medium-sized global asset manager based in the City of London · It has a team of five in its compliance function and operates a hybrid working model · This broad role covers mo ...

  • Freetrade

    Senior Compliance Specialist

    3 weeks ago

    Freetrade London, United Kingdom

    **London** · - At Freetrade, we believe investing should be accessible to everyone. It's one of the best ways to grow your savings but, for many, it seems complicated, expensive, and out of reach.We're here to change that.- We're a technology company that brings simple investing ...

  • Taylor Root Global Legal Recruitment

    Senior Compliance Officer

    3 weeks ago

    Taylor Root Global Legal Recruitment London, United Kingdom

    Senior Compliance Officer · **Location** · City of London, London**Contract Type** · Permanent**Posted** · Posted 1 hour ago**Start Date** · ASAP**Salary** · £ £80000 per annum**Expiry Date** · We are hiring a Senior Compliance Officer on behalf of our leading Reinsurance broking ...

  • eFinancialCareers

    Senior Compliance Officer

    3 weeks ago

    eFinancialCareers London, United Kingdom

    **Key Responsibilities**: · - Be responsible for prompt escalation of issues identified to the Chief Compliance Officer · - Provide first line with regulatory guidance/advice where required, recording, analysing and reporting · - Review business documentation, customer facing let ...

  • StoneX Group

    Senior Compliance Associate

    4 weeks ago

    StoneX Group London, United Kingdom

    Overview: · **Job purpose** · To support the continuing development of this highly successful business, we require a dynamic professional to play a key role in supporting the compliance department with its advisory responsibilities. This role will sit within the Wholesale divisio ...