Senior Compliance Officer UK

1 day ago

London, Greater London, United Kingdom State Street Corporation Full time

About Us

We are seeking a highly experienced Senior Compliance Officer UK & Ireland to join our team at State Street Corporation. As a key member of our GTS organization, you will be responsible for overseeing and implementing the technology services needed by and provided to UK & Ireland legal entities. Your primary focus will be on ensuring all business and regulatory requirements are met, while also maintaining ongoing technology resiliency.

Main Responsibilities

  1. Lead the UK & Ireland Governance Meeting - chair the meeting, oversee production of meeting materials, agenda, track minutes, actions, & escalations.
  2. UK & Ireland Risk Committees & Boards - supporting the production of materials, interpreting key risks/issues, and ensuring accuracy and consistency of reporting working with first line risk and various teams across GTS and corporate secretariat.
  3. Regulatory Oversight - ensure local GTS regulatory requirements are defined and evidence maintained of compliance. Support any regulatory oversight as required.
  4. Support UK and SSBI Identified Staff Champions Forum - ensure UK materials risk takers identified as part of UK management regime.
  5. GTS Strategy - work with local GTS Management and Global COO organisation identifying key global GTS strategies which support UK & Ireland. Monitor and report on progress against strategic objectives. Identify execution risk and remediation plans.
  6. UK & Ireland Project Portfolio Review (PRR) & Change Management Committees (CMC) - work with the GTS PMO to ensure project/programme delivery and reporting meets local requirements and that any material issues impacting local entities are understood and escalated for resolution as required.
  7. Audit - work with the first line controls team as required ensuring local entity audits are planned and supported successfully.
  8. Issues Management - work with first lines controls team and finding owners/remediation plan owners to ensure issues are remediated on time and that any associated risks to local entities are clearly understood and captured in relevant reporting including Archer.
  9. Regulatory - work with local GTS management as required to support evolving local regulatory requirements i.e. DORA, EU-AI Act etc.
  10. UK & Ireland Service Reviews - support local GTS management executing required service reviews ensuring required policies & standards are maintained.
  11. Support GTS Initiatives - from time to time support legal entity initiatives identified as a Business/IT/Product priority by local management to help ensure successful execution against strategic objectives (i.e. Artificial Intelligence, Transfer Agency, Cyber).
  12. Policy Administration - support local GTS management identify and communicate the update or introduction of global policies applicable to the local entities.
  13. Outsourcing/Intra-Company Arrangements - support local GTS management to ensure compliance with commitments under any applicable outsourcing policies/regulations.
  14. Controls - own & maintain controls design, testing effectiveness of UK & Ireland governance controls.
  15. Management Information - Develop, refine and manage appropriate Management Information reporting for UK & Ireland GTS. Work closely with regional project managers and business leads to deliver accurate and timely project reporting, financial forecasting, tracking, and reporting.
  16. Escalation - Serve as an escalation point, and point of contact for local EMEA GTS Governance.

  • Senior Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Title: Senior Compliance OfficerLocation: London, UKThis is an exciting opportunity to join a leading mid-sized firm of Chartered Accountants as their first external Head of Compliance. The role will involve managing all ICAEW requirements, ensuring internal processes and controls are in line with regulations, and overseeing Anti-Money Laundering...

  • Senior Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Our client, a mid-sized firm of Chartered Accountants, is seeking an experienced Senior Compliance Officer to lead their compliance function. With a strong background in regulatory requirements and a proven track record of enhancing processes and controls, you will be responsible for managing all ICAEW requirements, overseeing Anti-Money Laundering reviews,...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewWe are a boutique wholesale bank seeking a Junior Compliance Officer to join our team. This is a 5-day office-based role, providing an excellent opportunity to work with a dynamic and experienced team.About the RoleThis role will support the monitoring and assessment of compliance with regulatory requirements and internal policies. Key...

  • Senior Compliance Officer

    2 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Senior Compliance Officer to join our AJ Fox Compliance team in London. Estimated salary: £100,000 - £130,000 per annum.This dynamic law firm operates globally, with a strong focus on compliance. Our ideal candidate will bring expertise in risk management, team leadership, and project coordination.Responsibilities:Head a compliance team...

  • Senior Compliance Officer UK

    2 weeks ago

    London, Greater London, United Kingdom Ant Group Full time

    Key Responsibilities:As a Senior Compliance Officer UK, you will play a critical role in managing regulatory compliance risks in our licensed entities in the UK. Your responsibilities will include providing assurance to senior management that regulatory requirements are met, formulating and reviewing policies and procedures to ensure compliance, and engaging...

  • Senior Governance and Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Overview:As a Senior Governance and Compliance Officer at AJ FOX COMPLIANCE, you will play a key role in ensuring that our organization meets its regulatory obligations and maintains the highest standards of governance and compliance. This is an exciting opportunity for someone who is passionate about risk management, governance, and compliance.About...

  • Compliance Officer Lead

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly experienced Compliance Officer Lead to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection, with at least 10 years of experience in the compliance sector.Key Responsibilities:Ensure that companies have the correct...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking an experienced Compliance Executive to join our team at Compliance Professionals. The ideal candidate will have a strong background in compliance monitoring and reporting, with experience in reviewing marketing and financial promotions.The successful candidate will be responsible for overseeing breaches, errors, and complaints,...

  • Senior Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Senior Compliance Officer - Financial CrimeAJ FOX COMPLIANCE is seeking a highly skilled Senior Compliance Officer - Financial Crime to join our risk and compliance team in London.The successful candidate will oversee the client onboarding process, ensuring all CDD checks and regulatory requirements are met.$90,000 per annum salaryManagement of...

  • Internal Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    About the Job: Internal Compliance OfficerAJ Fox Compliance is seeking an experienced Internal Compliance Officer to join our team in London. This is an exciting opportunity for someone with a passion for compliance to support Senior Compliance professionals in internal risk management processes. The ideal candidate will have a strong understanding of SRA...

  • Regulatory Compliance Officer Financial Institution

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title:Regulatory Compliance Officer Financial InstitutionJob Description:We are seeking a highly motivated Regulatory Compliance Officer to join our team at Compliance Professionals. The successful candidate will work closely with the senior management team to ensure that our financial institution maintains the highest standards of compliance and...

  • Chief Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewWe are seeking an experienced Chief Compliance Officer to join our team at Compliance Professionals. This is a fantastic opportunity for a skilled professional to lead our global compliance efforts and drive regulatory excellence.About the Role:Lead our global regulatory relationships and ensure compliance with all relevant regulations.Provide...

  • UK Compliance Lead

    2 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Title: UK Compliance Lead">About the Company:">We are a leading provider of recruitment services to the financial industry, with a strong reputation for delivering high-quality candidates to our clients. Our team has extensive knowledge and expertise in compliance and risk management, and we are committed to helping our clients achieve their goals.">The...

  • Regulatory Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking an experienced Regulatory Compliance Officer to join our team at Compliance Professionals. This is a fantastic opportunity for a skilled professional to take their career to the next level.Job DescriptionIn this role, you will play a crucial part in ensuring that our company adheres to regulatory requirements. You will provide...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    We are seeking an experienced Compliance Officer to join our client, a mid-sized firm of Chartered Accountants. In this role, you will be responsible for managing all ICAEW requirements and ensuring internal processes and controls align with regulations and practice assurance obligations.Key responsibilities include:Managing Anti-Money Laundering reviews and...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Aj Fox Compliance seeks an Internal Risk Management Specialist to support Senior Compliance professionals in core internal risk management processes.Key responsibilities include:Monitoring compliance of file closuresLiaising with fee earners on compliance proceduresPreparing trend analysis reports for senior managementSupporting senior staff in ensuring...

  • Senior Compliance Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:We are seeking an experienced Senior Compliance Manager to join our team at Compliance Professionals. This role will be based in the City and is a fantastic opportunity for someone looking to progress their career in trade surveillance.The ideal candidate will have 5+ years of experience in a similar role, with a strong understanding of the...

  • Compliance and Risk Officer

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior Financial Crime ManagerAJ Fox Compliance is seeking a results-driven compliance professional to join our team as a Senior Financial Crime Manager in London. This exciting opportunity offers a competitive salary package, including a base salary of £120,000 per annum, plus benefits.About the Role:We are looking for an experienced compliance specialist...

  • Ethics and Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking an Ethics and Compliance Officer to join our team at AJ FOX COMPLIANCE. As a key member of our ethics and compliance function, you will be responsible for investigating incidents, managing complaints, and analysing trends to prevent future issues.The successful candidate will have a proven track record of working collaboratively with senior...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring that our marketing and distribution activities comply with regulatory requirements.Key Requirements:Experience: 5+ years in an asset management compliance roleKnowledge: UK and European...