HEAD OF REGULATORY CONTROLS jobs in MIDDLESEX, United Kingdom #5

within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems... and controls to protect clients’ assets and to mitigate the risk that MUFG might be used to further financial crime. MAIN PURPOSE...

. Key tasks * Act as a deputy to the Head of Compliance in the delivery of Asta’s compliance plan, including associated... reports including regarding Sanctions, TOBAs, Conduct Risk and Complaints. Review and analyse regulatory changes, providing...

organization, ensuring flawless execution and adherence to regulatory standards. Key Responsibilities: Contribute to the.... Oversee the gathering and communicating of assurance information to relevant parties. Support the Head of Assurance in the...

with internal procedures and external regulatory requirements. You will offer recommendations to help the Asset & Sustainability... and challenges. Assist the Head of Capital and Asset Reporting in monitoring the financial impact of the Group's CAPEX and sales...

regulatory frameworks. Contributing to the establishment of new controls, enhancement and automation of existing reconciliation... front office and clients. Report and escalate issues timely to the Head of the team as well as relevant senior management...

. For more information visit Role Summary Supporting the Head of Prime Services and Continental Europe Compliance in ensuring the Marex... Group adheres to and operates within its regulatory requirements, remains within stated Marex risk appetites, maintains good...

regulatory frameworks. Contributing to the establishment of new controls, enhancement and automation of existing reconciliation... front office and clients. Report and escalate issues timely to the Head of the team as well as relevant senior management...

with the Group Head of Underwriting Management, liaising with Lloyd's in the planning and variance to plan processes. Support... perspective. Develop and maintain processes and controls ensuring good data quality in systems, particularly in relation to the...

Financial Controller to join their team. The head offices are based in Central London. Committed to providing excellent service... preparation and submission of statutory accounts.- Ensure compliance with UK GAAP/IFRS and other regulatory requirements...

and controls Spread, interest rate and FX risks management Production and monitoring of the FO ALM budget Assisting in the... with counterparties Management and reporting: Reports to the Head of Medium and Long Term Funding Desk Reports to the General Manager...

of working. What you need to do Line management of a small team of colleagues. Assuring that security controls are met in... a complex organisation (including regulatory requirements) Experience of people management of small teams including setting...

responsibility for this function, and you will report directly to the Head of Compliance. The function oversees the firm’s risk... management and controls framework, including implementing a companywide three line of defence model, and ensuring ongoing...

working, 4 days in the office and 1 day WFH Report to: Head of Finance To be successful in this role our client has said... our other vacancies for one that may be a better fit. ALM Analyst - Summary: This role will be supporting the Head of Finance to provide technical...

and virtually via Microsoft Teams Your new role at NewDay Reporting to the Head of Employee Relations, Operations + Governance... of Responsibility, production of Regulatory References, Committee pack production and secretariat duties for SMCR Conduct Rules Forum...

. About the Role We are seeking a product compliance officer based in the EMEA region ("PCO").The PCO will report to the Head...'s product and channel compliance governance framework. - Conduct regulatory assessments of new product solutions to identify...

standards and regulatory requirements across the group. A key part of this role will involve strategic financial planning... to develop financial systems, processes and controls across the group Overseeing day-to-day financial management of all Group...

working as a Compliance Officer with a growing sustainable financial services firm. Working closely with the Head... of Compliance managing all aspects of Compliance Supporting and advising senior management on relevant regulatory developments...