476 Compliance Management jobs in the United Kingdom

Compliance - Regulatory Obligation Management Compliance Officer

London, London Bloomberg

Posted today

Job Viewed

Tap Again To Close

Job Description

Compliance - Regulatory Obligation Management Compliance Officer





Location





London





Business Area





Legal, Compliance, and Risk





Ref #










**Description & Requirements**



Bloombergu2019s Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the worldu2019s leading financial news and information company. Our team is made up of talented and hardworking legal and compliance professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We are committed to a workplace where all of our employees can thrive regardless of background, and where everyone feels empowered to make an impact. We also recognize the importance of giving back to our communities as evidenced by our award-winning pro bono program!

The Global Compliance team provides coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced person to work with our Global Compliance Practices team.



**Whatu2019s the Role?**



As part of our Global Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program (Program) and contributing to key regulatory initiatives.



This role involves supporting the Obligations Management framework (regulatory change management and regulatory mapping pillars), contributing to enterprise-wide compliance initiatives, and supporting broader strategic regulatory programs. You'll help ensure that we are forward-looking in our understanding of regulatory developments and rigorous in linking those obligations to our risk and control environment.



**We'll Trust You To:**


Support the global Regulatory Change Management pillar by assisting with the monitoring and tracking process, and helping to maintain protocols for identifying and documenting regulatory changes
Support specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements
Conduct the mapping of applicable regulatory obligations to risks, controls and policy documents for all the regulated entities in EMEA, and its subsequent maintenance
**Regulatory Change Management Program**


Lead the Regulatory Change Management process, including horizon scanning, impact assessments, stakeholder coordination, and implementation tracking for new and evolving laws, regulations, and guidance.
Enhance and maintain protocols and tools for capturing and monitoring regulatory changes, including trigger events and implementation milestones.
Collaborate with Legal and Compliance SMEs to interpret new requirements and support risk-based implementation planning.
Track remediation of regulatory change-related issues and report on progress to senior management and governance forums.
Monitor emerging regulatory risks and evaluate their potential impact on business activities, escalating issues where required.


**Regulatory Mapping Program**


Execute end-to end regulatory obligation mapping across multiple businesses, regions, and regulatory topics, ensuring obligations are appropriately linked to risks, controls, policies, and procedures.
Collaborate with business and control owners to ensure alignment of mapped obligations with actual practices, identifying any gaps or control weaknesses.
Own the maintenance and governance of the regulatory mapping inventory, including periodic reviews and updates to reflect business, regulatory, or operational changes.
Support audit and regulatory examinations by providing documentation and insight into the obligation mapping process.



**Youu2019ll Need To Have:u202f**


Minimum of 5 years of experience in Compliance, Legal, Risk, Internal Audit, or related functions, with demonstrated experience in regulatory or control frameworks.u202fu202f
Hands-on experience in regulatory mapping or regulatory change, preferably in a global financial services or trading environment.
Exceptional verbal and written communication skills, with the ability to distill complex regulatory content into clear, actionable insights.u202f
Proven ability to lead cross-functional initiatives, influence stakeholders, and manage competing priorities.u202f
Demonstrated ownership mindset, accountability, and ability to deliver high-quality work under time pressure.u202f
Strong analytical skills and structured problem-solving capabilities.u202f
Strong team player skills in order to guide organizational change and collaborate with key partners across various levels.u202f



*Please note we use years of experience as a guide but we certainly will consider applications from all candidates who are able to demonstrate the skills necessary for the role.u202f



**We'd Love To See:u202f**


Knowledge of the trade lifecycle, financial instruments, and market infrastructure.u202f
Passion for risk and compliance, with a desire to build scalable and sustainable regulatory programs.u202f



**Does This Sound Like You?**



Apply if you think we're a match. We'll be in touch to let you know what next steps are.

Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.

Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email
This advertiser has chosen not to accept applicants from your region.

Compliance - Regulatory Obligation Management Compliance Officer

London, London Bloomberg

Posted today

Job Viewed

Tap Again To Close

Job Description

Compliance - Regulatory Obligation Management Compliance Officer





Location





London





Business Area





Legal, Compliance, and Risk





Ref #










**Description & Requirements**



Bloombergu2019s Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the worldu2019s leading financial news and information company. Our team is made up of talented and hardworking legal and compliance professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We are committed to a workplace where all of our employees can thrive regardless of background, and where everyone feels empowered to make an impact. We also recognize the importance of giving back to our communities as evidenced by our award-winning pro bono program!

The Global Compliance team provides coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced person to work with our Global Compliance Practices team.



**Whatu2019s the Role?**



As part of our Global Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program (Program) and contributing to key regulatory initiatives.



This role involves supporting the Obligations Management framework (regulatory change management and regulatory mapping pillars), contributing to enterprise-wide compliance initiatives, and supporting broader strategic regulatory programs. You'll help ensure that we are forward-looking in our understanding of regulatory developments and rigorous in linking those obligations to our risk and control environment.



**We'll Trust You To:**


Support the global Regulatory Change Management pillar by assisting with the monitoring and tracking process, and helping to maintain protocols for identifying and documenting regulatory changes
Support specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements
Conduct the mapping of applicable regulatory obligations to risks, controls and policy documents for all the regulated entities in EMEA, and its subsequent maintenance
**Regulatory Change Management Program**


Lead the Regulatory Change Management process, including horizon scanning, impact assessments, stakeholder coordination, and implementation tracking for new and evolving laws, regulations, and guidance.
Enhance and maintain protocols and tools for capturing and monitoring regulatory changes, including trigger events and implementation milestones.
Collaborate with Legal and Compliance SMEs to interpret new requirements and support risk-based implementation planning.
Track remediation of regulatory change-related issues and report on progress to senior management and governance forums.
Monitor emerging regulatory risks and evaluate their potential impact on business activities, escalating issues where required.


**Regulatory Mapping Program**


Execute end-to end regulatory obligation mapping across multiple businesses, regions, and regulatory topics, ensuring obligations are appropriately linked to risks, controls, policies, and procedures.
Collaborate with business and control owners to ensure alignment of mapped obligations with actual practices, identifying any gaps or control weaknesses.
Own the maintenance and governance of the regulatory mapping inventory, including periodic reviews and updates to reflect business, regulatory, or operational changes.
Support audit and regulatory examinations by providing documentation and insight into the obligation mapping process.



**Youu2019ll Need To Have:u202f**


Minimum of 5 years of experience in Compliance, Legal, Risk, Internal Audit, or related functions, with demonstrated experience in regulatory or control frameworks.u202fu202f
Hands-on experience in regulatory mapping or regulatory change, preferably in a global financial services or trading environment.
Exceptional verbal and written communication skills, with the ability to distill complex regulatory content into clear, actionable insights.u202f
Proven ability to lead cross-functional initiatives, influence stakeholders, and manage competing priorities.u202f
Demonstrated ownership mindset, accountability, and ability to deliver high-quality work under time pressure.u202f
Strong analytical skills and structured problem-solving capabilities.u202f
Strong team player skills in order to guide organizational change and collaborate with key partners across various levels.u202f



*Please note we use years of experience as a guide but we certainly will consider applications from all candidates who are able to demonstrate the skills necessary for the role.u202f



**We'd Love To See:u202f**


Knowledge of the trade lifecycle, financial instruments, and market infrastructure.u202f
Passion for risk and compliance, with a desire to build scalable and sustainable regulatory programs.u202f



**Does This Sound Like You?**



Apply if you think we're a match. We'll be in touch to let you know what next steps are.

Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.

Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email
This advertiser has chosen not to accept applicants from your region.

Compliance - Regulatory Obligation Management Compliance Officer

London, London Bloomberg

Posted 1 day ago

Job Viewed

Tap Again To Close

Job Description

Compliance - Regulatory Obligation Management Compliance Officer
Location
London
Business Area
Legal, Compliance, and Risk
Ref #

**Description & Requirements**
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information company. Our team is made up of talented and hardworking legal and compliance professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We are committed to a workplace where all of our employees can thrive regardless of background, and where everyone feels empowered to make an impact. We also recognize the importance of giving back to our communities as evidenced by our award-winning pro bono program!
The Global Compliance team provides coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced person to work with our Global Compliance Practices team.
**What's the Role?**
As part of our Global Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program (Program) and contributing to key regulatory initiatives.
This role involves supporting the Obligations Management framework (regulatory change management and regulatory mapping pillars), contributing to enterprise-wide compliance initiatives, and supporting broader strategic regulatory programs. You'll help ensure that we are forward-looking in our understanding of regulatory developments and rigorous in linking those obligations to our risk and control environment.
**We'll Trust You To:**
+ Support the global Regulatory Change Management pillar by assisting with the monitoring and tracking process, and helping to maintain protocols for identifying and documenting regulatory changes
+ Support specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements
+ Conduct the mapping of applicable regulatory obligations to risks, controls and policy documents for all the regulated entities in EMEA, and its subsequent maintenance
+ **Regulatory Change Management Program**
+ Lead the Regulatory Change Management process, including horizon scanning, impact assessments, stakeholder coordination, and implementation tracking for new and evolving laws, regulations, and guidance.
+ Enhance and maintain protocols and tools for capturing and monitoring regulatory changes, including trigger events and implementation milestones.
+ Collaborate with Legal and Compliance SMEs to interpret new requirements and support risk-based implementation planning.
+ Track remediation of regulatory change-related issues and report on progress to senior management and governance forums.
+ Monitor emerging regulatory risks and evaluate their potential impact on business activities, escalating issues where required.
+ **Regulatory Mapping Program**
+ Execute end-to end regulatory obligation mapping across multiple businesses, regions, and regulatory topics, ensuring obligations are appropriately linked to risks, controls, policies, and procedures.
+ Collaborate with business and control owners to ensure alignment of mapped obligations with actual practices, identifying any gaps or control weaknesses.
+ Own the maintenance and governance of the regulatory mapping inventory, including periodic reviews and updates to reflect business, regulatory, or operational changes.
+ Support audit and regulatory examinations by providing documentation and insight into the obligation mapping process.
**You'll Need To Have: **
+ Minimum of 5 years of experience in Compliance, Legal, Risk, Internal Audit, or related functions, with demonstrated experience in regulatory or control frameworks.  
+ Hands-on experience in regulatory mapping or regulatory change, preferably in a global financial services or trading environment.
+ Exceptional verbal and written communication skills, with the ability to distill complex regulatory content into clear, actionable insights. 
+ Proven ability to lead cross-functional initiatives, influence stakeholders, and manage competing priorities. 
+ Demonstrated ownership mindset, accountability, and ability to deliver high-quality work under time pressure. 
+ Strong analytical skills and structured problem-solving capabilities. 
+ Strong team player skills in order to guide organizational change and collaborate with key partners across various levels. 
*Please note we use years of experience as a guide but we certainly will consider applications from all candidates who are able to demonstrate the skills necessary for the role. 
**We'd Love To See: **
+ Knowledge of the trade lifecycle, financial instruments, and market infrastructure. 
+ Passion for risk and compliance, with a desire to build scalable and sustainable regulatory programs. 
**Does This Sound Like You?**
Apply if you think we're a match. We'll be in touch to let you know what next steps are.
Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.
Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email
This advertiser has chosen not to accept applicants from your region.

Regulatory Compliance Officer

Bristol, South West Pontoon

Posted 14 days ago

Job Viewed

Tap Again To Close

Job Description

contract

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

  • Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
  • Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
  • Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
  • Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
  • Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
  • Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
  • Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

  • Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
  • Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
  • Experience in complaint handling, regulatory compliance, or customer resolution roles.
  • Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
  • Comfortable working independently and taking ownership of outcomes.
  • Background in a regulated industry (e.g., utilities, telecoms, financial services).
  • Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.

This advertiser has chosen not to accept applicants from your region.

Regulatory Compliance Officer

Leicestershire, East Midlands Pontoon

Posted 14 days ago

Job Viewed

Tap Again To Close

Job Description

contract

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

  • Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
  • Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
  • Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
  • Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
  • Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
  • Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
  • Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

  • Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
  • Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
  • Experience in complaint handling, regulatory compliance, or customer resolution roles.
  • Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
  • Comfortable working independently and taking ownership of outcomes.
  • Background in a regulated industry (e.g., utilities, telecoms, financial services).
  • Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.

This advertiser has chosen not to accept applicants from your region.

Regulatory Compliance Officer

Coleman Street, London Prime Personnel UK

Posted 14 days ago

Job Viewed

Tap Again To Close

Job Description

permanent

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

  • Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
  • Conducting compliance monitoring programmes and reporting findings
  • Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
  • Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
  • Assisting business areas with implementation plans for any policy/procedural changes   
  • Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
  • Preparing various compliance reports

Your experience must include:  

  • Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management
  • Excellent presentation skills – both oral and written
  • Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework   
  • Strong IT skills  
  • A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

This advertiser has chosen not to accept applicants from your region.

Regulatory Compliance Officer

Castle Donington, East Midlands Pontoon

Posted 3 days ago

Job Viewed

Tap Again To Close

Job Description

contract

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

  • Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
  • Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
  • Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
  • Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
  • Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
  • Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
  • Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

  • Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
  • Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
  • Experience in complaint handling, regulatory compliance, or customer resolution roles.
  • Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
  • Comfortable working independently and taking ownership of outcomes.
  • Background in a regulated industry (e.g., utilities, telecoms, financial services).
  • Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.

This advertiser has chosen not to accept applicants from your region.
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Regulatory Compliance Officer

Bristol, South West Pontoon

Posted 3 days ago

Job Viewed

Tap Again To Close

Job Description

contract

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

  • Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
  • Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
  • Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
  • Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
  • Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
  • Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
  • Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

  • Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
  • Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
  • Experience in complaint handling, regulatory compliance, or customer resolution roles.
  • Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
  • Comfortable working independently and taking ownership of outcomes.
  • Background in a regulated industry (e.g., utilities, telecoms, financial services).
  • Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.

This advertiser has chosen not to accept applicants from your region.

Regulatory Compliance Officer

Bishopsgate, London Prime Personnel UK

Posted 11 days ago

Job Viewed

Tap Again To Close

Job Description

full time

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

  • Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
  • Conducting compliance monitoring programmes and reporting findings
  • Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
  • Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
  • Assisting business areas with implementation plans for any policy/procedural changes   
  • Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
  • Preparing various compliance reports

Your experience must include:  

  • Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management
  • Excellent presentation skills – both oral and written
  • Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework   
  • Strong IT skills  
  • A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

This advertiser has chosen not to accept applicants from your region.

Regulatory Compliance Officer

EC2M 3YX Liverpool Street Station, London Prime Personnel

Posted 7 days ago

Job Viewed

Tap Again To Close

Job Description

permanent

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

  • Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party ri.

WHJS1_UKTJ

This advertiser has chosen not to accept applicants from your region.
 

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