52 Compliance Standards jobs in London
Regulatory Compliance Officer
Coleman Street, London
Prime Personnel UK
Posted 14 days ago
Job Viewed
Job Description
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 li>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 < i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
- Preparing various compliance reports
Your experience must include:
- li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA, Senior Managers & Certification Regime, regulatory reporting and risk management framework
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.
0
Regulatory Compliance Officer
Bishopsgate, London
Prime Personnel UK
Posted 10 days ago
Job Viewed
Job Description
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 li>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 < i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
- Preparing various compliance reports
Your experience must include:
- li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA, Senior Managers & Certification Regime, regulatory reporting and risk management framework
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.
1
Regulatory Compliance Officer
EC2M 3YX Liverpool Street Station, London
Prime Personnel
Posted 7 days ago
Job Viewed
Job Description
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.
2
Regulatory Compliance Officer
London, London
TP ICAP
Posted 3 days ago
Job Viewed
Job Description
Job Description
The TP ICAP Group is a world leading provider of market infrastructure.
Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.
Through our people and technology, we connect clients to superior liquidity and data solutions.
The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.
The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
Role Overview
The Regulatory Compliance Officer will be responsible for identifying, interpreting and advising on regulatory requirements of TP ICAP’s EMEA businesses to ensure that TP ICAP pursues its strategic objectives in accordance with all applicable regulatory requirements. The successful candidate will directly advise senior stakeholders within corporate and broking divisions, and will support the EMEA Compliance function in its regular interactions with stakeholders on regulatory matters.
As a member of the EMEA Compliance Advisory team, you will report into the Senior Compliance Advisory Manager. As such, the role-holder will be a part of the EMEA Compliance function, based in TP ICAP’s London offices. The Regulatory Compliance Officer will work to create a compliance culture within the TP ICAP Group, with particular responsibility for the UK broking divisions.
Role Responsibilities
Experience / Competences
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Location
UK - 135 Bishopsgate - London
The TP ICAP Group is a world leading provider of market infrastructure.
Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.
Through our people and technology, we connect clients to superior liquidity and data solutions.
The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.
The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
Role Overview
The Regulatory Compliance Officer will be responsible for identifying, interpreting and advising on regulatory requirements of TP ICAP’s EMEA businesses to ensure that TP ICAP pursues its strategic objectives in accordance with all applicable regulatory requirements. The successful candidate will directly advise senior stakeholders within corporate and broking divisions, and will support the EMEA Compliance function in its regular interactions with stakeholders on regulatory matters.
As a member of the EMEA Compliance Advisory team, you will report into the Senior Compliance Advisory Manager. As such, the role-holder will be a part of the EMEA Compliance function, based in TP ICAP’s London offices. The Regulatory Compliance Officer will work to create a compliance culture within the TP ICAP Group, with particular responsibility for the UK broking divisions.
Role Responsibilities
- Horizon-scanning to detect and track emerging regulatory requirements.
- Interpreting emerging regulatory requirements and advising stakeholders on their potential impact and associated control requirements.
- Developing and maintaining relationships with stakeholders across TP ICAP, including the EMEA COO, the EMEA Head of Venues and Market Infrastructure, and Legal.
- Interacting with trade associations, exchanges and regulators as required, including representing TP ICAP at industry or regulatory meetings.
- Representing EMEA Compliance in internal governance meetings, such as the Regulatory Change Oversight Meeting, and in subsequent regulatory implementation projects.
- Creating and delivering training materials on regulatory requirements.
- Reviewing and drafting policies and procedures to comply with relevant regulatory requirements.
- Performing ad-hoc reviews and investigations in to TP ICAP’s adherence to its regulatory requirements.
- Supporting applications for new/amended regulatory permissions as required.
- Review output from the Compliance Monitoring Programme and implement remedial actions.
- Project work as required from time to time.
- Fulfil additional / ad hoc duties as required to meet the needs of the business and the EMEA Compliance function.
Experience / Competences
- Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc.
- Previous experience analysing wholesale market regulations and assessing their impact.
- Excellent communication skills, both verbal and written.
- Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
- Able to work well with diverse groups and personalities.
- A bachelor’s degree or a period of work experience demonstrating equivalent ability.
- Prior experience at a regulator or government agency in drafting or reviewing financial services policy.
- Prior experience in a compliance role at another Financial Services firm.
- Knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Location
UK - 135 Bishopsgate - London
This advertiser has chosen not to accept applicants from your region.
3
Regulatory Compliance Analyst
EC1A Islington, London
PaymentGenes
Posted today
Job Viewed
Job Description
About the Role
We are looking for a motivated and detail-oriented Regulatory Compliance Analyst to join a growing Financial Crime team. This is an excellent opportunity for a graduate or early-career professional to build a career in regulatory compliance within financial services, with a focus on payment services, electronic money regulations, and FCA/PRA obligations.
The successful candidate will provide essential support in regulatory reporting, data submissions, and compliance documentation, while gaining hands-on experience and training in the sector.
Key ResponsibilitiesMonitor regulatory developments related to payment services, electronic money, PSD2, FCA/PRA rules, and other applicable regulations.
Prepare and submit regulatory reports, returns, and notifications (e.g., EMR/PSR obligations, transaction reporting).
Maintain and update compliance policies, procedures, and documentation in line with regulatory changes.
Support regulatory projects, including product launch compliance requirements.
Conduct research on regulatory obligations and compile data for compliance purposes.
Ensure documentation is audit-ready and supports regulatory inspections.
Provide administrative and analytical support to senior compliance team members.
RequirementsGraduate-level education in finance, business, law, economics, or a related field.
1–2 years’ experience in financial services (compliance, risk, operations, or related areas preferred).
Strong attention to detail, organisation, and accuracy.
Analytical mindset and ability to work with regulatory data.
Proactive, eager to learn, and able to take ownership of tasks.
Excellent written and verbal communication skills.
Genuine interest in regulatory compliance, payment services, and financial regulations.
BenefitsHands-on training and mentoring in regulatory compliance and reporting.
Exposure to regulatory frameworks, senior stakeholders, and operational compliance processes.
Support for professional certifications (e.g., ICA or equivalent).
Competitive salary and benefits package.
Hybrid working: 3 days in our London office, 2 days remote.
This advertiser has chosen not to accept applicants from your region.
4
Regulatory Compliance Law Specialist
London, London
RELX INC
Posted 13 days ago
Job Viewed
Job Description
Regulatory Compliance Law Specialist
Would you like to work independently to solve problems and provide expert legal counsel?
Do you enjoy conducting and collaborating on compliance investigations?
About our Team
In this role, you will work with the company's compliance and litigation attorneys on compliance investigations, participate in compliance training development and delivery, assess and develop compliance policies, and manage aspects of an anti-bribery due diligence program.
About the Role
The role involves proactively identifying and mitigating legal risks and assessing implications of legal requirements for our business and counsel the business. The candidate will inform our General Counsels of major risks and any material developments in laws. Your skills and expertise will be crucial in contributing to our UK team, in collaboration with other compliance experts.
Responsibilities
+ Providing advice, interpretation, development, roll out and implementation of compliance policies
+ Conducting and supporting compliance investigations, including interviews, report preparation, and resulting action items
+ Managing aspects of a mature anti-bribery due diligence program that assesses proposed agents and other third party relationships
+ Providing best in practice professional legal services to the organization to ensure delivery of impactful results.
Requirements
+ 7-10 years PQE experience in compliance and/or litigation matters
+ Have excellent verbal and written communication skills
+ Be able to effectively and efficiently prioritize and execute tasks and demonstrate flexibility in a complex and constantly changing environment
+ Demonstrate a high understanding of organizational integrity
+ Be a collaborative team player with a willingness to deliver successful solutions to interesting problems
Work in a way that works for you
We promote a healthy work/life balance across the organisation. We offer an appealing working prospect for our people. With numerous wellbeing initiatives, shared parental leave, study assistance and sabbaticals, we will help you meet your immediate responsibilities and your long-term goals.
+ Working flexible hours - flexing the times when you work in the day to help you fit everything in and work when you are the most productive
Working for you
We know that your wellbeing and happiness are key to a long and successful career. These are some of the benefits we are delighted to offer:
+ Generous holiday allowance with the option to buy additional days
+ Health screening, eye care vouchers and private medical benefits
+ Wellbeing programs
+ Life assurance
+ Access to a competitive contributory pension scheme
+ Save As You Earn share option scheme
+ Travel Season ticket loan
+ Electric Vehicle Scheme
+ Optional Dental Insurance
+ Maternity, paternity and shared parental leave
+ Employee Assistance Programme
+ Access to emergency care for both the elderly and children
+ RECARES days, giving you time to support the charities and causes that matter to you
+ Access to employee resource groups with dedicated time to volunteer
+ Access to extensive learning and development resources
+ Access to employee discounts scheme via Perks at Work
About the Business
A global leader in information and analytics, we help researchers and healthcare professionals advance science and improve health outcomes for the benefit of society. Building on our publishing heritage, we combine quality information and vast data sets with analytics to support visionary science and research, health education and interactive learning, as well as exceptional healthcare and clinical practice. At Elsevier, your work contributes to the world's grand challenges and a more sustainable future. We harness innovative technologies to support science and healthcare to partner for a better world.
---
We are committed to providing a fair and accessible hiring process. If you have a disability or other need that requires accommodation or adjustment, please let us know by completing our Applicant Request Support Form or please contact .
Criminals may pose as recruiters asking for money or personal information. We never request money or banking details from job applicants. Learn more about spotting and avoiding scams here .
Please read our Candidate Privacy Policy .
We are an equal opportunity employer: qualified applicants are considered for and treated during employment without regard to race, color, creed, religion, sex, national origin, citizenship status, disability status, protected veteran status, age, marital status, sexual orientation, gender identity, genetic information, or any other characteristic protected by law.
USA Job Seekers:
EEO Know Your Rights .
RELX is a global provider of information-based analytics and decision tools for professional and business customers, enabling them to make better decisions, get better results and be more productive.
Our purpose is to benefit society by developing products that help researchers advance scientific knowledge; doctors and nurses improve the lives of patients; lawyers promote the rule of law and achieve justice and fair results for their clients; businesses and governments prevent fraud; consumers access financial services and get fair prices on insurance; and customers learn about markets and complete transactions.
Our purpose guides our actions beyond the products that we develop. It defines us as a company. Every day across RELX our employees are inspired to undertake initiatives that make unique contributions to society and the communities in which we operate.
Would you like to work independently to solve problems and provide expert legal counsel?
Do you enjoy conducting and collaborating on compliance investigations?
About our Team
In this role, you will work with the company's compliance and litigation attorneys on compliance investigations, participate in compliance training development and delivery, assess and develop compliance policies, and manage aspects of an anti-bribery due diligence program.
About the Role
The role involves proactively identifying and mitigating legal risks and assessing implications of legal requirements for our business and counsel the business. The candidate will inform our General Counsels of major risks and any material developments in laws. Your skills and expertise will be crucial in contributing to our UK team, in collaboration with other compliance experts.
Responsibilities
+ Providing advice, interpretation, development, roll out and implementation of compliance policies
+ Conducting and supporting compliance investigations, including interviews, report preparation, and resulting action items
+ Managing aspects of a mature anti-bribery due diligence program that assesses proposed agents and other third party relationships
+ Providing best in practice professional legal services to the organization to ensure delivery of impactful results.
Requirements
+ 7-10 years PQE experience in compliance and/or litigation matters
+ Have excellent verbal and written communication skills
+ Be able to effectively and efficiently prioritize and execute tasks and demonstrate flexibility in a complex and constantly changing environment
+ Demonstrate a high understanding of organizational integrity
+ Be a collaborative team player with a willingness to deliver successful solutions to interesting problems
Work in a way that works for you
We promote a healthy work/life balance across the organisation. We offer an appealing working prospect for our people. With numerous wellbeing initiatives, shared parental leave, study assistance and sabbaticals, we will help you meet your immediate responsibilities and your long-term goals.
+ Working flexible hours - flexing the times when you work in the day to help you fit everything in and work when you are the most productive
Working for you
We know that your wellbeing and happiness are key to a long and successful career. These are some of the benefits we are delighted to offer:
+ Generous holiday allowance with the option to buy additional days
+ Health screening, eye care vouchers and private medical benefits
+ Wellbeing programs
+ Life assurance
+ Access to a competitive contributory pension scheme
+ Save As You Earn share option scheme
+ Travel Season ticket loan
+ Electric Vehicle Scheme
+ Optional Dental Insurance
+ Maternity, paternity and shared parental leave
+ Employee Assistance Programme
+ Access to emergency care for both the elderly and children
+ RECARES days, giving you time to support the charities and causes that matter to you
+ Access to employee resource groups with dedicated time to volunteer
+ Access to extensive learning and development resources
+ Access to employee discounts scheme via Perks at Work
About the Business
A global leader in information and analytics, we help researchers and healthcare professionals advance science and improve health outcomes for the benefit of society. Building on our publishing heritage, we combine quality information and vast data sets with analytics to support visionary science and research, health education and interactive learning, as well as exceptional healthcare and clinical practice. At Elsevier, your work contributes to the world's grand challenges and a more sustainable future. We harness innovative technologies to support science and healthcare to partner for a better world.
---
We are committed to providing a fair and accessible hiring process. If you have a disability or other need that requires accommodation or adjustment, please let us know by completing our Applicant Request Support Form or please contact .
Criminals may pose as recruiters asking for money or personal information. We never request money or banking details from job applicants. Learn more about spotting and avoiding scams here .
Please read our Candidate Privacy Policy .
We are an equal opportunity employer: qualified applicants are considered for and treated during employment without regard to race, color, creed, religion, sex, national origin, citizenship status, disability status, protected veteran status, age, marital status, sexual orientation, gender identity, genetic information, or any other characteristic protected by law.
USA Job Seekers:
EEO Know Your Rights .
RELX is a global provider of information-based analytics and decision tools for professional and business customers, enabling them to make better decisions, get better results and be more productive.
Our purpose is to benefit society by developing products that help researchers advance scientific knowledge; doctors and nurses improve the lives of patients; lawyers promote the rule of law and achieve justice and fair results for their clients; businesses and governments prevent fraud; consumers access financial services and get fair prices on insurance; and customers learn about markets and complete transactions.
Our purpose guides our actions beyond the products that we develop. It defines us as a company. Every day across RELX our employees are inspired to undertake initiatives that make unique contributions to society and the communities in which we operate.
This advertiser has chosen not to accept applicants from your region.
5
Senior Regulatory Compliance Manager
EC3V 3NA London Liverpool Street, London
cer Financial
Posted 11 days ago
Job Viewed
Job Description
Senior Regulatory Compliance Manager
City of London
Permanent
to £100,000
cer Financial are working alongside a bank who are based in the City of London. They are seeking a Senior Regulatory Compliance Manager to work with them on a permanent basis.
The responsibilities of a Senior Regulatory Compliance Manager will include:
- Oversight of firm wide impacts of new regulation and change in regulatory lands.
WHJS1_UKTJ
This advertiser has chosen not to accept applicants from your region.
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6
Compliance - Regulatory Obligation Management Compliance Officer
London, London
Bloomberg
Posted today
Job Viewed
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
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.
7
Compliance - Regulatory Obligation Management Compliance Officer
London, London
Bloomberg
Posted today
Job Viewed
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
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.
8
Compliance - Regulatory Obligation Management Compliance Officer
London, London
Bloomberg
Posted today
Job Viewed
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
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.
9