REGULATORY CONDUCT ADVISORY MANAGER jobs in United Kingdom #4

reporting to forums such as the UK Conduct and Compliance Committee (UK CCC) Manage and execute the non-financial regulatory... to develop and execute regulatory testing and controls testing to provide reasonable assurance that State Street is complying...

Assurance function, within the Financial Services Risk and Regulation team. This team specialises in providing regulatory advice... with regulatory requirements. The team has a diverse client base, from niche challenger firms, to long-established financial...

/wealth manager, one that invests for their clients on a long-term basis across both public and private asset classes... and regulatory issues (MiFID, AIFMD, UCITS, GDPR) relevant to the business; Negotiate and review of various agreements for the...

requirements of the firm, managing any identified fee earner performance or conduct issues to include; Ensuring any client... complaint, emerging risk or compliance issues within a case are identified, addressed and escalated to the Team Manager...

relation to the conduct of our business. Financial crime risks relating to anti-money laundering (AML), terrorist financing... diligence information Conduct adverse screening checks on clients and undertake follow-up research as required Manage personal...

or 2nd line role Regulatory/compliance experience in an advisory capacity DevSecOps - experienced in an environment.... Reporting to the Senior Manager, Risk Business Partnering, you will work closely with management to provide oversight...

and support the CTCO in maintaining oversight and effective communication on trade related (regulatory) developments... cases of delegated export control responsibilities). Provide oversight, “big-picture” policy advisory and practical...

, coaching and technically supervising fee earners Ensuring any performance or conduct issues are identified and escalated... with support from your line manager Effective allocation of work amongst the team to meet the skills and technical knowledge...

complex queries to the Senior Global People and Culture Manager where necessary. You will be coaching managers on ER matters..., disciplinary actions, and performance management. Conduct investigations into employee concerns or grievances, ensuring fairness...

understand engineering schematics, technical advisory reports, and technology reviews. Solid understanding of regulatory...:Business Development Entity:CS e-STORAGE UK Reports To:Manager, Applications Engineering Location:Reading, UK (Hybrid...