Regulatory Compliance - London, United Kingdom - Compliance Professionals

Regulatory Compliance

1 week ago

Responsibilities: · - Perform trade surveillance to identify potential non-compliant activity · - Assist in the development of the trade surveillance program to maintain effective arrangements, systems and procedures to detect and report suspicious orders and transactions · - Sup ...

Regulatory Compliance Officer

1 week ago

Our client are a leading Global payments firm and the Regulatory Compliance Officer will be based in London · **Description** · The Regulatory Compliance Officer will be responsible for: · - Partner to the first line of defence, supporting and advising on matters including, but n ...

Regulatory and Compliance Officer

1 week ago

**Regulatory and Compliance Officer** · ITH Group is a growing group of privately owned healthcare and pharmaceutical related business. Within the group sits ITH Healthcare, ITH Systems and our largest group company ITH Pharma which specialises in the provision of Parenteral Nutr ...

Regulatory Compliance Associate

1 week ago

**About Us**: · We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity.PIMCO ...

Regulatory Compliance Officer

1 week ago

I have an opportunity for a Regulatory Compliance Manager to join a growing UK bank in the city. · - Permanent role · - Up to £65,000 + package · - Hybrid working · Key responsibilities: · - Regulatory policy and advisory · - Consumer duty delivery · - Leading on horizon scanning ...

Regulatory Compliance Officer

5 days ago

**WE Talent** are working with a regulatory business in the City of London who are recruiting for a **Regulatory Compliance Officer** to join their team. · You will be working within a small team and closely with the Deputy Director to manage a case load of clients for the purpos ...

Regulatory Compliance Officer

3 days ago

**Key Responsibilities**: · - Execute the funds' compliance monitoring plan including conducting monitoring activities, documenting results and creating management information · - Review, draft and implement relevant compliance policies and procedures including proposing enhancem ...

Regulatory Compliance Manager

1 week ago

**REGULATORY COMPLIANCE MANAGER** · **LONDON** · **£100,000 - £110,000 DOE** · Regulatory Compliance Manager - Responsibilities · - Working closely with the Head of Compliance to build awareness of the firm's regulatory obligations; · - Day-to-day provision of assistance and advi ...

Regulatory Compliance Specialist

2 hours ago

RECRUITING: Regulatory Compliance Specialist - Chemicals - LONDON & HW · Our client is a leading global multinational with a reputation for supplying the best commodities in this target market. Working across multiple sectors including and servicing a range of industries, this or ...

Ad Regulatory Compliance

5 days ago

**THE COMPANY**: · Our client is a global institutional investment management firm, based in the City. They are looking for a Regulatory Compliance specialist to join the team. The role is hybrid with 2/3 days expected in the office each week. · **THE RESPONSIBILITIES**: · - Assi ...

Head of Regulatory Compliance

2 hours ago

**Role**:Head of Regulatory Compliance · **Salary**:£110,000 - £120, % Bonus · **Location**:London · My client rapidly is a rapidly growing financial services organisation who deliver a range of solutions to corporate clients. · The Head of Regulatory Compliance will report to th ...

Head of Regulatory Compliance

1 week ago

**Key Responsibilities** · - Day to day management of the Regulatory Compliance team · - Work with the UK Compliance, Risk and Audit Manager to ensure good practice in all our activities · - Acting as the first point of contact for the business and Executive team for any legal re ...

Regulatory Compliance Officer

1 week ago

My client is looking for build out a internal consulting function with a focus on regulatory compliance. · They are looking for the below: · - Reg knoweldge / Expericence in trade lifecycle projects - ideally MIFID, MIFIR but brexit, emir, dodd frank etc will work · - Strong capi ...

Regulatory Compliance Advisory

1 week ago

Regulatory Compliance Advisory - Supervision Hub · Location · London (Stratford) · Salary · National ranging £65,200 - £77,000 and London from £67,900 - £80,000 · The Role · The role is one of technical leadership for the largest supervisory department in the FCA. Our 160 supervi ...

Senior Regulatory Compliance Officer

1 week ago

MERJE are partnered with a market leading trading business who are looking for a Senior Compliance Officer to join their team. · **Responsibilities**: · - Manage a varied portfolio of regulatory compliance activities · - Giving advisory opinions · - Helping to develop policies an ...

Head of Regulatory Compliance Uk

1 week ago

The " _Head of Regulatory Compliance UK _" is responsible for ensuring compliance with regulatory requirements applicable to the (re)insurance operations and activities of SCOR UK Company Limited, the SCOR Managing Agency Limited / the SCOR Syndicate, SCOR SE UK branch and SCOR E ...

Policy and Regulatory Compliance Manager

1 week ago

Responsibilities: · - Responsible for policy and procedure drafting, acting as a Subject Matter Expert on selected regulatory change in order to interpret regulations for all to use. · - Oversee the process of Certification completion and other Compliance on-boarding requirements ...

Regulatory Compliance and Export Control Officer

5 days ago

**Regulatory and Compliance Officer** · As Regulatory and Compliance Officer, you will be critical to ensuring this world leader in computer, power and communication technology adheres to all relevant UK Legal and Regulatory requirements. · You will monitor, interpret and communi ...

Compliance & Control Svp - Regulatory Liaison

3 days ago

**Responsibilities**: · - Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. · - Providing oversight and guidance over the assessment of complex issues, structuring potential solutions and driving effective resol ...

Regulatory Compliance Consultant Awm Up-to

1 week ago

**Client delivery** · - Take personal responsibility for achieving the agreed billable hours target, ensuring you have a sufficient pipeline of client work · - Provide high quality advice and support to clients on a range of regulatory compliance matters. This may include: · - co ...