COMPLIANCE ADVISORY AND OVERSIGHT jobs in United Kingdom #3

Job Summary The candidate will work as part of the European AML Team primarily providing AML Compliance Services... of a regulatory compliance mapping system to demonstrate the effectiveness of the core elements of the AML and Financial Crime...

) of the London Stock Exchange Group (LSEG). CMC provide compliance and advisory support to the Equities and FX Trading... businesses within the Capital Markets division of LSEG, providing oversight, guidance and challenge to ensure a robust compliance...

Conduct Authority (FCA), and experience in holding the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting...Position: Head of Compliance Location: St Albans Office, UK About the Firm: Our client is a leading financial...

Conduct Authority (FCA), and experience in holding the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting...Position: Head of Compliance Location: St Albans Office, UK About the Firm: Our client is a leading financial...

with our customers, our communities, and each other. Job Description The EFS Compliance function sits within the Risk Management... and Compliance structure and is part of the bank’s second line of defence. The role of EFS Compliance includes: (a) to provide formal...

with our customers, our communities, and each other. Job Description The EFS Compliance function sits within the Risk Management... and Compliance structure and is part of the bank’s second line of defence. The role of EFS Compliance includes: (a) to provide formal...

compliance programs for our global network of investment advisory and broker-dealer entities where you will primarily focus... design, implementation and oversight of compliance programmes Monitor regulatory developments for potential impact...

of Compliance advisory and oversight activities in relation to Investments Compliance Advisory, Public Markets. Responsible..., Communication Recording, Overseas Investment Licences e.g. QFII, SEBI etc. Represent Investments Compliance Advisory, Public...

, including providing: (i) Compliance advisory services, (ii) education & training, (iii) reporting to compliance management... to promote a culture of compliance and adherence to laws and regulations Provide support and oversight on Division's regulatory...

of monitoring and testing protocols to measure compliance with regulatory data protection obligations. Oversight and instruction... execution of and compliance with Global, Regional and local data protection laws and regulations, policies and procedures...

communications, compliance risk management, regulatory reporting and compliance advisory. As an Assistant Vice President...Financial Crime and Compliance (FC&C) department is responsible for ensuring that all financial crime and compliance...

. Responsibilities in the role; Identify information security and Threat Intelligence requirements and oversight of delivery... Intelligence reporting and mitigation advisory and seek continuous improvement of TVM process. Monitoring of threat actors...

, as well as providing advisory support to the business as required. How we'll measure it Accounts Receivable: oversight of timely... which will assist in decision making and drive growth. Responsible for regional financial reporting and compliance. You will have full...

compliance processes. This role encompasses the entire Low Carbon Group including Head Office, operational companies, development... SPV’s, holding companies and the fund. It involves an interesting mix of advisory work, partnering with the investment...

Operational management of D&A recruiting processes Operational oversight of functioning of graduate and intern recruiting... from conflict check to initial LoE drafting to ensuring diligent processes and compliance re WIP and AR across D&A’s offices...

Operational management of D&A recruiting processes Operational oversight of functioning of graduate and intern recruiting... from conflict check to initial LoE drafting to ensuring diligent processes and compliance re WIP and AR across D&A’s offices...

and supervision, workflow oversight and evaluation. Lead, manage and execute first class coordinated physical and virtual events... and webcast processes, working closely with internal teams including compliance, business management, legal, data privacy, product...