Regulatory Compliance Specialist

3 weeks ago


London, United Kingdom Hamlyn Williams Full time

Job Description

We are partnered with a global financial services firm seeking an experienced Regulatory Compliance specialist. This role will provide compliance oversight and hands-on business advisory across all business lines. The focus areas include F/X considerations and coordination with federal and international regulators.

The Role:

  • Staying abreast on regulatory changes, interpreting and implementing them across the firm's business areas.
  • Preparation of regulatory change reporting
  • Providing compliance oversight to the development of new business initiatives and processes to ensure they comply with regulatory obligations
  • Designing strategies to prevent compliance risk, managing risk analyses. Supporting risk and controls and risk assessments as part of the Operational Risk Management Framework
  • Preparing and coordinating internal and external reports. Working with federal and international regulators.
  • Design and support business-wide compliance training

Requirements

  • 5+ years compliance experience in financial services / legal environment.
  • Legal education or experience is a plus.
  • Knowledge / experience with relevant legislation and regulation is a plus (ex: reg HH, reg Y, foreign exchange, PvP, RTGS, Bank Holding Company Act, working with international regulators).
  • Proven Compliance Advisory support experience
  • Experience designing and managing compliance training programs
  • Experience analyzing and implementing regulatory reform measures
  • Ability to work hybrid in NYC or London (salary range in USD)
#J-18808-Ljbffr

  • London, United Kingdom VRS Regulatory Full time

    An opportunity to join the Product Stewardship / Regulatory Compliance team at a global chemical business; you will ensure the compliance of globally sold, highly complex mixtures. Key duties will be SDS authoring, classifications, labelling, component compliance checks and providing regulatory advice to the technology, R&D, and customer service...


  • London, United Kingdom Compliance Professionals Full time

    They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards. Serve as an advisor to the business, and interfaces regularly with business...


  • London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the...


  • London, United Kingdom Compliance Professionals Full time

    We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. The role is a 3 to 6 month contract THIS ROLE IS NOT SUITABLE FOR KYC AND AML CANDIDATES - IT IS A REGULATORY COMPLIANCE FOCUSSED ROLE. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of...


  • London, United Kingdom Compliance Professionals Full time

    We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of...

  • Compliance Distribution Specialist

    Found in: Talent UK 2A C2 - 2 weeks ago


    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago


    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    Found in: Whatjobs ES C2 - 1 week ago


    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the...

  • Compliance Distribution Specialist

    Found in: Appcast UK C C2 - 2 weeks ago


    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    Found in: Appcast UK C2 - 2 weeks ago


    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...


  • London, United Kingdom Compliance Professionals Full time

    Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance management within the business;...


  • London, United Kingdom AstraZeneca GmbH Full time

    Regulatory Affairs Specialist – CVRM Competitive Salary and Benefits Join our CVRM Regulatory Team as a Regulatory Affairs Specialist and embrace the opportunity to shape the future of healthcare. In this role, you will deliver and maintain competitive licenses for UK commercial brands, ensuring regulatory compliance for defined product and project...

  • Compliance Manager

    5 days ago


    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. THE RESPONSIBILITIES: Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements Regulatory compliance...


  • London, United Kingdom Compliance Professionals Full time

    Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. Act as a subject matter expert in Regulatory Affairs. Maintain an effective, professional and proactive relationship with UK regulators and assist the Local Compliance Officers in dealing...


  • London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...


  • London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...


  • London, United Kingdom Compliance Professionals Full time

    Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the firm, and support the implementation of...

  • Compliance Specialist

    Found in: Talent UK 2A C2 - 2 weeks ago


    London, United Kingdom Lutine Bell Full time

    The Compliance Specialist will work across all areas of the Investment Platform business providing regulatory advice and guidance to the business, regularly corresponding with key stakeholders, internal risk and compliance. You will be a key provider of regulatory advice and help deliver against the UK and European strategy. Furthermore, you will support the...


  • London, United Kingdom AstraZeneca GmbH Full time

    Regulatory Affairs Specialist – CVRM Location: London Competitive Salary and Benefits Closing date: 5th May 2024 Introduction to Role: Join our CVRM Regulatory Team as a Regulatory Affairs Specialist and embrace the opportunity to shape the future of healthcare. Be part of changing the practice of medicine forever. In this role, you will deliver and...

  • Compliance Specialist

    Found in: beBee jobs GB - 2 weeks ago


    London, Greater London, United Kingdom Lutine Bell Full time

    The Compliance Specialist will work across all areas of the Investment Platform business providing regulatory advice and guidance to the business, regularly corresponding with key stakeholders, internal risk and compliance. Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements.You will...