Senior Manager/Director of Regulatory Affairs
3 weeks ago
Britannia Global Markets is a dynamic, fast-growing organisation that operates a full-service execution and clearing brokerage business covering Exchange Traded Derivatives, Cash Equities and Fixed Income, CFD’s, Foreign Exchange, Repos and Structured Finance.
Britannia Global Markets is part of the Britannia Financial Group and a member of the London Stock Exchange, Dubai Gold and Commodity Exchange, and Singapore Exchange.
The Compliance Monitoring Manager plays a critical role in ensuring the adherence of the brokerage firm to regulatory requirements and internal policies. This position involves overseeing the design, implementation, and execution of compliance monitoring programs to detect and mitigate risks associated with regulatory non-compliance.
Design and implement a robust compliance monitoring framework aligned with relevant regulatory requirements and industry best practices.
Develop monitoring plans and schedules to systematically review various aspects of the firm’s operations.
Conduct risk assessments to identify potential compliance risks and vulnerabilities within the firm’s operations.
Emerging regulatory trends and industry developments to assess their impact on the firm's compliance obligations and implement new or enhanced monitoring coverage.
Partner with internal stakeholders, including compliance, legal, risk management, and business units, to address compliance issues and implement corrective measures.
Serve as a primary point of contact for regulatory inquiries and examinations related to compliance monitoring activities.
Assist the wider compliance function, its projects as required by the Head of Compliance.
Serve as a subject matter expert on compliance matters, providing guidance and support to colleagues across the organisation.
Conduct compliance reviews and assessments covering areas such as trading activities, client onboarding, marketing materials, and internal controls.
Data and documentation to identify instances of non-compliance or areas for improvement.
Comprehensive reports documenting the results of compliance monitoring activities, including findings, recommendations, and corrective actions.
Report findings to senior management and provide regular updates on the status of compliance monitoring activities.
Responses to regulatory requests and assist in the resolution of compliance issues raised by regulators.
Degree in Finance, Law, Business Administration, or a related field.
Experience in compliance monitoring within the financial services industry, preferably within a brokerage.
Knowledge of UK financial regulations, including FCA rules and guidelines.
Compliance monitoring tools and software.
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Sign in to save Associate...
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Associate Director
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Sign in to save Associate...
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Sign in to save Associate...
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Associate Director
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Sign in to save Associate...
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London, United Kingdom Cpl Healthcare Full time €50,000 - €65,000Job Title: Regulatory Affairs Manager (CTA/ CTR) Job Type: Permanent, full-time Locations: UK, Italy, Spain, Sweden or the Republic of Ireland – Remote based Regulatory Affairs Manager opportunity working for a cutting edge Oncology focused global clinical research organisation conducting early- and late-phase oncology trials in the US, Europe, and...
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London, United Kingdom Cpl Healthcare Full time €50,000 - €65,000Job Title: Regulatory Affairs Manager (CTA/ CTR) Job Type: Permanent, full-time Locations: UK, Italy, Spain, Sweden or the Republic of Ireland – Remote based Regulatory Affairs Manager opportunity working for a cutting edge Oncology focused global clinical research organisation conducting early- and late-phase oncology trials in the US, Europe, and...
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London, United Kingdom Cpl Healthcare Full timeJob Title: Regulatory Affairs Manager (CTA/ CTR) Job Type: Permanent, full-time Locations: UK, Italy, Spain, Sweden or the Republic of Ireland – Remote based Regulatory Affairs Manager opportunity working for a cutting edge Oncology focused global clinical research organisation conducting early- and late-phase oncology trials in the US, Europe, and...
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Uxbridge, Greater London, United Kingdom Park Street People Full timeA global pharmaceutical company, based in Uxbridge is currently looking for a Senior Regulatory Affairs Manager to join their team. You will be a confident Regulatory Lead looking to work in an innovative therapy area, developing and defining regulatory plans across multiple products. This is a great opportunity to work with a team who take provide...
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Uxbridge, Greater London, United Kingdom Park Street People Full timeA global pharmaceutical company, based in Uxbridge is currently looking for a Senior Regulatory Affairs Manager to join their team. You will be a confident Regulatory Lead looking to work in an innovative therapy area, developing and defining regulatory plans across multiple products. This is a great opportunity to work with a team who take provide...
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine 3 weeks ago Be among the first 25 applicants Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at...
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine 3 weeks ago Be among the first 25 applicants Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at...
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine 3 weeks ago Be among the first 25 applicants Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at...
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London, United Kingdom Lifelancer Ltd Full timeAssociate Director, Regulatory Affairs Innovative Medicine Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at Lifelancer Associate Director, Regulatory Affairs Innovative Medicine 3 weeks ago Be among the first 25 applicants Join to apply for the Associate Director, Regulatory Affairs Innovative Medicine role at...
