COMPLIANCE SECURITIES DIVISION COMPLIANCE jobs in UNITED KINGDOM, United Kingdom

businesses within the Capital Markets division of LSEG, providing oversight, guidance and challenge to ensure a robust compliance... and relevant industry experience, preferably gained in Securities and/or FX markets Compliance. Effective communicator...

) seeks a Compliance Director to join the Compliance Team for the S&P Global Commodity Insights division (the Division) The... a Compliance Program for the Division that is fit-for-purpose and highly effective. The role involves a range of activities...

Job Description: MORE ABOUT THIS SKILLSET Manage the firm's compliance, regulatory and reputational risks... by ensuring adherence to laws, rules and regulations. Our colleagues in Global Compliance are responsible for managing audits...

promptly, ensuring compliance with AML policy and regulations. Representing Securities Renewals Team: Supporting the team lead... commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. As one of the top...

Financial Crimes Division ("GFCD") MUFG Bank is committed to supporting the integrity of the financial system and combating... is headquartered in New York, manages the Bank's financial crimes compliance program consistent with regulatory expectations. GFCD...

and telephone calls made by investors and professionals adhering to compliance and regulations Prioritise queries and correspond... administration and securities registration are complemented by our expertise in digital solutions and data analytics. About the...

) is Santander's global division that supports some of the world's most complex and sophisticated corporate and institutional clients... workflows and procedures to provide optimum client experience and appreciation of regulatory, compliance and risk environment...

experience Governance & Risk Ensure full compliance with internal/external procedures and FCA CASS rules. Identify key risks... and securities registration are complemented by our expertise in digital solutions and data analytics. About the Team...

securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant... Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world's foremost provider of credit ratings...

build gold copy masters across all data types, delivering tangible data governance, risk management and compliance... frameworks and rationalizing legacy architectures. The EDM platform is the central hub for all transactions, securities, prices...

associated with trading activities, or offering analytical and regulatory compliance support, our work contributes directly... to the firm's success. Our Risk division develops comprehensive processes to monitor, assess and manage the risk of expected...

compliance with external legislation, internal operating policies, and procedures relevant to the position Policy... of fund administration and securities registration are complemented by our expertise in digital solutions and data analytics...

workflows to ensure that service standards are met or exceeded Manage team and individual compliance with agreed process... and securities registration are complemented by our expertise in digital solutions and data analytics. About the Team...

-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking Corporation (Japan’s leading trust bank), and Mitsubishi UFJ Securities Holdings... Co., Ltd., one of Japan’s largest securities firms. MUFG conducts securities business internationally through...

securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant... Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world's foremost provider of credit ratings...

securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant..., including businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global...

and systems Knowledge and understanding of ISO9002 Quality Assurance Procedures Compliance and Legislation knowledge Previous... and securities registration are complemented by our expertise in digital solutions and data analytics. About the Team...