Senior Compliance Associate in Policy, Oversight
4 days ago
Join us as a Senior Compliance Associate in Policy, Oversight & Governance
- We’ll look to you to assist in regulatory compliance and conduct insight, oversight and challenge
- You’ll be providing support, advice, MI and escalation to leaders and the business on risk management
- This is an opportunity to gain exposure as you manage stakeholder relationships to make sure there’s an early understanding and buy-in of conduct risk appetite activity
As a Senior Compliance Associate, in Policy, Oversight & Governance, you’ll be supporting executives in making sure that the business strategy for the relevant business units is consistent with and supports an effective regulatory framework. You’ll also be supporting executives on regulatory engagement with the FCA in relation to relevant matters relating to the business.
On top of this, you’ll be:
- Mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm
- Providing critical analysis and independent challenge, on the function’s strategy, and approach to defining and measuring the conduct risk appetite
- Interrogating and assessing function structures and providing strategic regulatory advice through a focus on customer outcomes and regulatory expectations
- Providing technical advice on the interpretation of regulatory rules applicable to the function and their impact on the operating model
- Assist the wider policy, oversight and governance team with NatWest Markets policy, risk assessments, governance and the compliance annual report
To succeed in this role, you’ll need financial services experience, preferably in banking and regulated firms in the compliance and conduct risk environment. In addition, you’ll need broad knowledge of financial markets products, services and regulations.
You’ll also demonstrate:
- Knowledge and experience of providing regulatory and technical support and advice to senior management
- The ability to analyse, understand and draw sound conclusions from a wide range of sources and information including MI
- An effective track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline
- Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills
- The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated
-
London, United Kingdom Natwest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceWell look to you to assist in regulatory compliance and conduct insight, oversight and challengeYoull be providing support, advice, MI and escalation to leaders and the business on risk managementThis is an opportunity to gain exposure as you manage stakeholder relationships to make...
-
London, United Kingdom Natwest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & Governance Well look to you to assist in regulatory compliance and conduct insight, oversight and challenge Youll be providing support, advice, MI and escalation to leaders and the business on risk management This is an opportunity to gain exposure as you manage stakeholder relationships to make...
-
London, United Kingdom NatWest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceWe’ll look to you to assist in regulatory compliance and conduct insight, oversight and challengeYou’ll be providing support, advice, MI and escalation to leaders and the business on risk managementThis is an opportunity to gain exposure as you manage stakeholder relationships to...
-
London, United Kingdom NatWest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceWe’ll look to you to assist in regulatory compliance and conduct insight, oversight and challengeYou’ll be providing support, advice, MI and escalation to leaders and the business on risk managementThis is an opportunity to gain exposure as you manage stakeholder relationships to...
-
London, UK, United Kingdom NatWest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceWe’ll look to you to assist in regulatory compliance and conduct insight, oversight and challengeYou’ll be providing support, advice, MI and escalation to leaders and the business on risk managementThis is an opportunity to gain exposure as you manage stakeholder relationships to...
-
London, United Kingdom NatWest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceWe’ll look to you to assist in regulatory compliance and conduct insight, oversight and challengeYou’ll be providing support, advice, MI and escalation to leaders and the business on risk managementThis is an opportunity to gain exposure as you manage stakeholder relationships to...
-
London, POST-MSX, United Kingdom Natwest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceMake your application after reading the following skill and qualification requirements for this position.We’ll look to you to assist in regulatory compliance and conduct insight, oversight and challengeYou’ll be providing support, advice, MI and escalation to leaders and the...
-
South East London, United Kingdom NatWest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & GovernanceWe’ll look to you to assist in regulatory compliance and conduct insight, oversight and challenge You’ll be providing support, advice, MI and escalation to leaders and the business on risk management This is an opportunity to gain exposure as you manage stakeholder relationships to...
-
Compliance Oversight Team
6 months ago
London, United Kingdom Financial Conduct Authority Full timeCompliance Oversight Team - Policy specialist **Salary**: National ranging from £51,200 to £59,000 and London £56,400 to £65,000 - Are you interested in a role where you can help the FCA to execute against risks of harm?_ The team/department Risk and Compliance Oversight’s (RCO) vision is to continually improve its function as second line of defence...
-
City of London, Greater London, United Kingdom Natwest Full timeJoin us as a Senior Compliance Associate in Policy, Oversight & Governance Well look to you to assist in regulatory compliance and conduct insight, oversight and challenge Youll be providing support, advice, MI and escalation to leaders and the business on risk management This is an opportunity to gain exposure as you manage stakeholder relationships to...
-
Compliance Office
4 weeks ago
London, United Kingdom Compliance Professionals Full timeThey are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. Management of global regulatory relationships. # Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. # Oversight of global regulatory developments and driving their implementation. # Oversight of Financial...
-
Compliance Office
4 weeks ago
London, United Kingdom Compliance Professionals Full timeThey are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. Management of global regulatory relationships. # Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. # Oversight of global regulatory developments and driving their implementation. # Oversight of Financial...
-
She/compliance
4 weeks ago
London, United Kingdom Compliance Professionals Full timeThey are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. Management of global regulatory relationships. # Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. # Oversight of global regulatory developments and driving their implementation. # Oversight of Financial...
-
Compliance Officer
6 months ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client offers a trading in prime digital assets, forex, and CFDs. By providing a interface for trading these diverse assets, our client aims to provide flexibility for traders, enabling them to navigate the dynamic global financial markets efficiently **THE RESPONSIBILITIES**: - Manage and oversight of the client onboarding process and...
-
Compliance Policy Lead
6 months ago
London, United Kingdom Financial Conduct Authority Full timeCompliance Policy Lead **Salary**: National ranging from £55,600 to £64,000 and London from £59,800 to £70,000 - Are you interested in a role where you can help the FCA _ - to _ - successfully manage Risks of Harm?_ The team/ department - Risk and Compliance Oversight's (R&CO) vision is to continually improve its function as second line of defence for...
-
Compliance Strategic Leader
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance OfficeThe ideal candidate will have demonstrated experience in broking/prime broking and will be responsible for managing global regulatory relationships. They will also be responsible for providing advisory coverage of all business desks globally in conjunction with local Compliance Officers. Additionally, they will oversee global regulatory...
-
Senior Compliance Monitoring Associate
3 weeks ago
London, Greater London, United Kingdom Compliance Recruitment Solutions Full timeSenior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...
-
Compliance Associate
1 day ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...
-
Compliance Associate
1 day ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...
-
Compliance Associate
2 days ago
London,, UK, United Kingdom Compliance Professionals Full timeTHE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...
