Firm Regulatory Oversight Manager

About the RoleAt Quilter, we're seeking a skilled Regulatory Oversight Specialist to deliver regulatory oversight to appointed representative firms. As a key component in establishing an effective control function, you'll identify and resolve customer, regulatory, reputational, and operational risks.The ideal candidate will work with AR Principals to achieve...

About the RoleLevel: 3Department: Supervision & OversightLocation: United Kingdom (Hybrid) or Homebased, United KingdomContract type: Permanent, Full-TimeAs a Regulatory Oversight Specialist in Quilter, your role is to deliver effective control functions to appointed representative firms. You will work with AR Principals to help them achieve effective...

The FCA is seeking a Regulatory Oversight Professional to join its Risk and Compliance team. In this role, you will work closely with senior management and colleagues across the organization to ensure effective regulatory oversight and risk management.Job RequirementsAs a Regulatory Oversight Professional, you will:Develop and implement risk management...

Attribution Search, a top-ranking and long-standing multi-billion dollar hedge fund, seeks a Regulatory Oversight Specialist for its expanding business in London.The Global Fund has a significant presence in Europe, the US, and Asia, offering a diverse investment strategy and product suite. As the fund's HQ is based in London, it serves as the hub for all...

A leading global investment management firm in New York is seeking an experienced Regulatory Compliance Manager to join their growing compliance team. This senior-level position offers a challenging opportunity to work in a fast-paced environment, overseeing regulatory functions and ensuring the firm adheres to the highest standards of compliance.Key...

About the RolePictet, a leading independent wealth and asset manager, is seeking a Business Oversight Manager to join its UK PWM team. As a key member of the Management Team, you will report to the Head of Business Oversight and be responsible for executing first-line of defence (1LOD) controls activities.Key ResponsibilitiesExecution of 1LOD controls...

About the RoleFirm Governance Assessor in Quilter is an exciting opportunity to join a team of compliance professionals who deliver regulatory oversight to appointed representative firms. This role requires identifying and resolving customer, regulatory, reputational, and operational risks to establish an effective control function.Key ResponsibilitiesWork...

About the RolePictet, a leading independent wealth and asset manager, is seeking a highly skilled Business Oversight Manager to join its UK PWM team. As a key member of the Management Team, you will report directly to the Head of Business Oversight for UK PWM.Key ResponsibilitiesExecute first-line of defence (1LOD) controls activities, including sample...

About Northern Trust: As a company, Northern Trust is committed to providing innovative financial services and guidance to the world's most successful individuals, families, and institutions by staying true to its enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners,...

We are seeking a Regulatory Oversight Professional to join our esteemed client's team, bringing exceptional expertise in compliance management.Key Accountabilities:Collaborate closely with stakeholders to develop and implement effective compliance strategies.Foster strong relationships within the organization.Ensure that all investment products and processes...

Job Title: Compliance Specialist - Regulatory OversightThe role supports the development of the Compliance oversight model of the Corporate Compliance Team. You will work with team members and colleagues to ensure efficient, effective, and consistent Compliance support and challenge is provided to Corporate Functions.Key Responsibilities:Provide advisory...

About Northern Trust:Northern Trust is a globally recognized financial institution with a rich history dating back to 1889. We are committed to providing innovative financial services and guidance to the world's most successful individuals, families, and institutions.Our Asset Servicing division is a key area of focus, and we are seeking a highly skilled...

Job Title: VP Head of Regulatory OversightAt State Street Corporation, we are seeking a highly experienced and skilled professional to lead our Regulatory Oversight team. As the VP Head of Regulatory Oversight, you will be responsible for providing strategic leadership and direction to ensure the company's compliance with regulatory requirements.Key...

About Northern TrustNorthern Trust is a globally recognized, award-winning financial institution with a rich history dating back to 1889. As a Fortune 500 company, we provide innovative financial services and guidance to the world's most successful individuals, families, and institutions.We are proud to offer a leadership role within our GFS Risk &...

The Millennium Management Compliance Department is responsible for ensuring the Firm adheres to regulatory requirements and maintains a strong compliance program. We are seeking an experienced Compliance Officer to join our London team in overseeing the Personal Account Dealing programme and performing other core functions.Job ResponsibilitiesOversee the...

Regulatory Oversight Management SpecialistAt BNY, we foster a culture of excellence, empowering our employees to grow and succeed. As a leading global financial services company, we touch nearly 75% of the world's investible assets. Our diverse team of over 50,000 employees brings innovative ideas and perspectives to the table, creating solutions that...

Regulatory Oversight Management DirectorAt THE BANK OF NEW YORK MELLON CORPORATION, we empower our employees to grow and succeed in a dynamic and inclusive work environment. As a leading global financial services company, we touch nearly every aspect of the world's financial system. Our talented team of professionals brings their unique perspectives and...

Regulatory Affairs ManagerTurner Regulatory is seeking a highly skilled Regulatory Affairs Manager to join our team. The successful candidate will have a background in European Market Regulatory activity and excellent commercial awareness.Key Responsibilities:Liaise closely with Business Development, Regulatory Science, Pharmacovigilance, Product Launch,...

About Northern TrustNorthern Trust is a globally recognized, award-winning financial institution with over 130 years of experience. We provide innovative financial services and guidance to the world's most successful individuals, families, and institutions.Job SummaryThe EMEA Regulatory Risk Program & Portfolio Manager will oversee the portfolio of...

Regulatory Oversight Management DirectorAt THE BANK OF NEW YORK MELLON CORPORATION, we empower our employees to grow and succeed in a dynamic and inclusive work environment. As a leading global financial services company, we touch nearly every aspect of the world's financial system. Our team of talented professionals brings their unique perspectives to...