42 Financial Laws jobs in the United Kingdom
Director, Legal Compliance
Posted 7 days ago
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Job Description
_Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential._
**Title and Summary**
Director, Legal Compliance
This role is open to candidates looking to conduct the role from either our London , Peterborough or Lisbon offices .
The Mastercard Prepaid Management Services (MPMS) Compliance Team is responsible for ensuring the MPMS business adheres to all regulatory requirements, including Anti-Money Laundering (AML) policies and legislation.
The Director, Legal Compliance, reports to the VP Compliance, Risk & Fraud and provides direction and support for the implementation and oversight of the business compliance program, including AML, Sanctions, Treating Customers Fairly and Foreign Account Tax Compliance Act (FATCA) globally.
Key Accountabilities
-Deputize for the VP Global Compliance, as required.
-Manage a team of Analysts within EMEAA region.
-Produce, implement and maintain compliance risk assessments, policies and procedures for the following, to ensure they align with relevant legislation, industry guidance and (where applicable) issuer requirements:
o Anti-Money Laundering (AML)
o Customer Due Diligence (CDD) / oversight and review of customer on-boarding processes
o Treating Customers Fairly (TCF)
o Identity theft
o Vulnerable customers
o Politically Exposed Persons (PEP) and Sanctions screening
o Distributor / agent oversight
o Program risk assessments
o Risk control matrix (Harvey Ball risk assessments).
-Understand issuer compliance and AML requirements and develop appropriate program frameworks, to include the identification of system development requirements, operational process changes and resource requirements.
-Manage ongoing compliance relationships with issuers, to include new product initiatives, AML monitoring, Subject Access Request (SAR) reporting, TCF policy review, monthly service calls and other such requests.
-Manage, maintain and develop AML monitoring programs, in line with relevant regulations, industry guidance and issuer requirements, to include the submission of compulsory transaction reports (where required) and suspicious activity reports.
-Ensure continuous oversight of AML transaction monitoring and PEP & Sanctions screening systems, including configuration and ongoing testing.
-Manage and overview Sanction screening programs for cardholders, in line with relevant regulations, industry guidance and issuer requirements.
-Overview Sanction screening for distributors and corporates in all regions, in line with relevant regulations, industry guidance and issuer requirements.
-Review and assess new business projects and the design of compliance controls, to ensure adherence to company policy and procedures, and deliver appropriate solutions, so that robust and appropriate compliance controls are implemented to satisfy regulatory and issuer needs.
-Sign-off new market / product launches (as applicable).
-Represent MPMS Compliance, in respect of technical change and delivery at PI Planning events.
-Review and sign off collaterals and marketing material (including financial promotions), in line with industry guidance and issuer requirements.
-Manage and overview appropriate training to relevant staff, in line with regulatory and issuer requirements covering:
o AML and Counter-Terrorism Financing (CTF)
o Anti-Bribery & Corruption
o TCF
-Review and update training material, track training completion and escalate non-completion.
-Continually review departmental processes, procedures and systems, to ensure the most efficient use of resources and the elimination of unnecessary cost.
-Support internal business owners and stakeholders in process improvements related to KYC and compliance requirements.
-Act as escalation point for compliance queries from other business areas.
-Provide regular reporting and MI to VP Global Compliance and escalate issues, as appropriate.
-Manage internal and issuer audits and external independent reviews, to include the provision of documentation (as per agreed scope), responding to queries and implementing improvements.
-Assist with maintaining:
o HMRC Money Service Business (MSB) registration
-Remain up-to-date with industry and regulatory developments, maintain a close relationship with the Global Compliance Team, Regional Compliance Working Groups, MPMS Legal and issuers, and proactively scan the regulatory landscape to ensure an effective and timely response to regulatory changes.
-Assess the impact of regulatory changes and industry guidance on existing AML/CTF, Sanctions, anti-bribery and TCF policies and procedures, and design controls to ensure necessary changes are implemented within MPMS Compliance and across other business areas (as appropriate).
-Maintain necessary records, in compliance with applicable regulations and issuer requirements, thereby ensuring complete and accurate data is readily available to internal and external parties.
Core Skills
-Significant experience in a Senior Compliance role, within Financial Services.
-ACAMS/ICA Certified.
-Educated to Bachelor's Degree level (minimum)
-Subject matter expert in AML regulations, including Sanctions in all regions of operation
-Able to interpret regulations and guidance, in order to assess impact and develop practical operational procedures, to ensure ongoing compliance.
-Able to deal with sensitive and confidential information.
-Strong communication skills (verbal & written) with the ability to engage key stakeholders at all levels.
-Able to build internal and external relationships.
-Analytical and detail focused, with the ability to identify anomalies, trends and make necessary recommendations.
-Able to manage and prioritize multiple tasks to completion and on time.
-Knowledge and understanding of prepaid card / electronic money products.
**Corporate Security Responsibility**
All activities involving access to Mastercard assets, information, and networks comes with an inherent risk to the organization and, therefore, it is expected that every person working for, or on behalf of, Mastercard is responsible for information security and must:
+ Abide by Mastercard's security policies and practices;
+ Ensure the confidentiality and integrity of the information being accessed;
+ Report any suspected information security violation or breach, and
+ Complete all periodic mandatory security trainings in accordance with Mastercard's guidelines.
Legal Compliance Manager
Posted today
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Job Description
One Ten Associates are partnering with a boutique hedge fund that is looking to hire an experienced Legal & Compliance Manager to join the London office.
You'll be responsible for the day-to-day oversight of both legal and compliance, reporting into the COO (who holds the SMF16/17 functions). This will be a broad role, with exposure across funds, corporate and commercial legal matters along with generalised compliance duties (monitoring, central compliance, advisory and regulatory implementation).
The ideal candidate will be a qualified lawyer with in-house experience, along with compliance knowledge/exposure. Hedge fund experience is ideal and ideally having worked in a small team. We're seeking lawyers with circa 5+ years PQE.
This role will be onsite, 5 days in the office.
Legal Compliance Manager
Posted today
Job Viewed
Job Description
One Ten Associates are partnering with a boutique hedge fund that is looking to hire an experienced Legal & Compliance Manager to join the London office.
You'll be responsible for the day-to-day oversight of both legal and compliance, reporting into the COO (who holds the SMF16/17 functions). This will be a broad role, with exposure across funds, corporate and commercial legal matters along with generalised compliance duties (monitoring, central compliance, advisory and regulatory implementation).
The ideal candidate will be a qualified lawyer with in-house experience, along with compliance knowledge/exposure. Hedge fund experience is ideal and ideally having worked in a small team. We're seeking lawyers with circa 5+ years PQE.
This role will be onsite, 5 days in the office.
Legal Compliance Officer
Posted today
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Job Description
Legal Compliance Officer
Job Purpose:
The Legal Compliance Officer ensures that the organization operates within the law and adheres to regulatory standards. This role is responsible for developing, implementing, and maintaining effective compliance programs, conducting audits, and advising on legal risks and obligations. The officer serves as the primary point of contact for legal and compliance matters across the organization.
Reporting to:
Head of Business Administration
Direct Reports:
None
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Key Responsibilities:
- Regulatory Compliance: Monitor and interpret new and existing laws, regulations, and industry standards relevant to the business.
- Policy Development: Draft, review, and update company policies, procedures, and guidelines to ensure legal and regulatory compliance.
- Training & Education: Conduct regular training sessions and workshops to promote compliance awareness among employees.
- Risk Assessment: Identify and assess areas of compliance risk; implement corrective action plans to resolve issues.
- Audits & Investigations: Lead internal audits and compliance reviews; investigate potential compliance violations.
- Reporting: Prepare and submit compliance reports to regulatory agencies and senior management as required.
- Legal Advice: Provide legal counsel on business activities, contracts, and internal operations as needed.
- Liaison Duties: Act as liaison between the company and regulatory/government bodies.
- Ethics & Integrity: Promote a culture of ethics, transparency, and accountability within the organization.
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Personal Attributes:
- Minimum 5 years of experience in a compliance, legal, or regulatory role
- Ability to communicate on all levels in a clear and concise manner both verbally and electronically
- Ability to travel outside of the UK as and when required
___
Qualification Requirements:
- Bachelor’s degree in Law, Business, Finance, or related field (JD or equivalent preferred)
- Certified Compliance & Ethics Professional (CCEP) or similar certification preferred
- Strong knowledge of applicable laws and regulations (e.g., GDPR, SOX, HIPAA, AML, etc.)
- Excellent communication, analytical, and problem-solving skills
- High level of integrity and discretion in handling confidential information
- Ability to work independently and collaboratively in a fast-paced environment
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Location:
The jobholder is required to be located at Hanwha Vision Europe Ltd, Heriot House, Heriot Road, Chertsey, Surrey, KT16 9DT – Our normal office hours are 09:00 – 17:00, Monday to Friday, but the jobholder may be required to work outside of these hours as and when required to meet business needs. The role may also include travel outside of the UK from time to time.
Legal Compliance Manager - Media
Posted today
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Job Description
Legal Compliance Manager - Media sector
£70,000 - £80,000 dependent upon experience
London, 2 days a week in the office
Audit & Risk Recruitment are delighted to be partnering with a very well known group in the media sector. Our client is a large, highly complex organisation with a challenging Risk profile. This role reports to the Head of Risk Management and will be responsible for managing risks associated with Compliance across the whole business, as well as preparing quality, timely reports for a selection of governance committees.
Key tasks include:
- Taking accountability for compliance risk deliverables and outputs, including the preparation of compliance reports
- Work with stakeholders to identify compliance risk areas and vulnerability. Monitor compliance and assurance activity, and create remediation plans as necessary.
- Draft Executive-level summaries for senior stakeholders detailing compliance issues, findings and outcomes
- Provide insight and analysis to Board-level executives
- Drive a culture of compliance and integrity across the organisation.
- Become an expert in compliance-related risks and activities for the organisation, including staying on top of developments and trends and adapting to business strategy
You will be a legal compliance expert with plenty of in-house experience, preferably gained from the commercial or industrial sectors. You must have a detailed understanding of compliance risk management programmes and what 'good' looks like. You will need excellent written and oral communication skills.
Legal Compliance Manager - Media
Posted today
Job Viewed
Job Description
Legal Compliance Manager - Media sector
£70,000 - £80,000 dependent upon experience
London, 2 days a week in the office
Audit & Risk Recruitment are delighted to be partnering with a very well known group in the media sector. Our client is a large, highly complex organisation with a challenging Risk profile. This role reports to the Head of Risk Management and will be responsible for managing risks associated with Compliance across the whole business, as well as preparing quality, timely reports for a selection of governance committees.
Key tasks include:
- Taking accountability for compliance risk deliverables and outputs, including the preparation of compliance reports
- Work with stakeholders to identify compliance risk areas and vulnerability. Monitor compliance and assurance activity, and create remediation plans as necessary.
- Draft Executive-level summaries for senior stakeholders detailing compliance issues, findings and outcomes
- Provide insight and analysis to Board-level executives
- Drive a culture of compliance and integrity across the organisation.
- Become an expert in compliance-related risks and activities for the organisation, including staying on top of developments and trends and adapting to business strategy
You will be a legal compliance expert with plenty of in-house experience, preferably gained from the commercial or industrial sectors. You must have a detailed understanding of compliance risk management programmes and what 'good' looks like. You will need excellent written and oral communication skills.
Head of Legal Compliance
Posted today
Job Viewed
Job Description
Head of Legal & Compliance Operations
Location: Manchester or London
I’m currently working with an ambitious, fast-growing, tech-led legal practice is seeking a senior leader to join their Executive Committee as Head of Legal & Compliance Operations . You will oversee legal service delivery, regulatory compliance, and governance across the firm. You’ll design and drive high-quality legal operations, lead and mentor our solicitors, legal executives, and paralegals, and ensure best practice.
This role combines strategic influence with hands-on leadership: shaping client service, ensuring regulatory reporting, and embedding a culture of compliance, integrity, and excellence. You’ll be at the forefront of key business decisions as they expand into new service areas, working cross-functionally to support growth while maintaining the highest standards.
My client is looking for an entrepreneurial problem-solver with strong regulatory knowledge, a passion for continuous improvement, and the vision to help them set new benchmarks for the industry.
Qualifications & Experience:
- UK-qualified solicitor with ideally with experience in consumer dispute resolution.
- Senior legal service supervisory and regulatory compliance experience, with experience acting as COLP beneficial.
- Must have experience designing processes and adopting tools to deliver top quality legal services and supervising/monitoring the delivery thereof.
- Demonstrable knowledge of the SRA Standards and Regulations, GDPR, AML regulations, and professional conduct rules.
What’s on offer:
A competitive salary, bonus, and benefits package, flexible working, and the opportunity to make a meaningful impact within a purpose-driven, fast-evolving legal business.
This is an urgent hire, so please reach out for a confidential conversation.
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Remote Legal Compliance Officer
Posted 14 days ago
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Job Description
As a Remote Legal Compliance Officer, you will conduct regular compliance audits, review company policies and procedures, and provide expert advice to senior management and relevant departments on regulatory requirements. Your role will involve staying current with legislative changes, assessing their impact on the business, and advising on necessary adjustments. You will also be responsible for training staff on compliance matters and managing regulatory reporting. Excellent analytical, problem-solving, and communication skills are essential for this role, especially given the remote working environment.
The ideal candidate will be highly organised, with the ability to manage complex information and maintain confidentiality. You will need to demonstrate a strong ethical compass and a proactive approach to identifying and addressing potential compliance issues. This is an excellent opportunity for a legal or compliance professional to advance their career in a flexible, remote setting, contributing significantly to the integrity and responsible operation of a reputable organisation. You will be expected to work independently, manage your time effectively, and collaborate seamlessly with team members across different locations.
Key responsibilities:
- Develop and implement robust compliance frameworks and policies.
- Conduct internal audits and risk assessments to identify areas of non-compliance.
- Monitor adherence to relevant laws, regulations, and industry standards.
- Provide expert advice and guidance on legal and regulatory matters.
- Investigate compliance breaches and recommend corrective actions.
- Develop and deliver compliance training programs to employees.
- Prepare and submit regulatory reports as required.
- Liaise with regulatory bodies and external auditors.
- Keep abreast of changes in legislation and advise on necessary business adjustments.
- Law degree or equivalent professional qualification.
- Proven experience in a legal compliance role, preferably within financial services.
- In-depth knowledge of UK financial regulations (e.g., FCA, PRA rules).
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- Ability to work autonomously and manage multiple priorities effectively in a remote setting.
- High level of integrity and ethical conduct.
- Experience with compliance management software is a plus.
Legal Compliance Officer - Harlow Council
Posted 5 days ago
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Job Description
Legal Compliance Officer – Harlow Council
Job Purpose:
To support the Legal Services department with statutory and organisational compliance through the provision of general and specialised activities across all areas of the Service.
The Role:
- To have responsibility for managing requests for information received under FOIA and EIR and to respond on behalf of the Council to all hybrid FOIA requests, seeking support from the Legal Services Manager in cases of complex requests.
- To have responsibility for responding to personal data requests (Subject Access Requests) made under DPA 2018 and GDPR, seeking support from the Legal Services Manager in cases of complex requests.
- To take the lead on managing and responding to internal and third-party personal data sharing requests under DPA 2018 and GDPR, seeking support from the Legal Services Manager in cases of complex requests.
- To be responsible for undertaking processes and requirements for compliance with and reaccreditation of the Legal Service’s LEXCEL accreditation.
- To have responsibility for the processing and prompt payment of invoices in accordance with agreed timescales using the Council’s systems
Duties Include but Not Limited to –
- Access and monitor information requests received under FOIA that require the disclosure of information from multiple departments/services of the Council (“hybrid FOIA requests”) using the Council’s electronic system.
- Ensure that hybrid FOIA requests are answered within the statutory timeframes.
- Draft and send response letter and disclosure of requested information to the FOIA requestor
- Provide advice and assistance to departmental FOI officers in relation to the answering of FOIA requests and any applicable exemptions, seeking support from the Legal Services Manager in cases of complex requests.
- Access and monitor personal data requests (“Subject Access Requests”) under DPA and GDPR using the Council’s electronic system.
- Draft and send the SAR response letter.
- Ensure that personal data requests are answered within the statutory timeframes.
Legal Compliance Officer - Harlow Council
Posted 5 days ago
Job Viewed
Job Description
Legal Compliance Officer – Harlow Council
Job Purpose:
To support the Legal Services department with statutory and organisational compliance through the provision of general and specialised activities across all areas of the Service.
The Role:
- To have responsibility for managing requests for information received under FOIA and EIR and to respond on behalf of the Council to all hybrid FOIA requests, seeking support from the Legal Services Manager in cases of complex requests.
- To have responsibility for responding to personal data requests (Subject Access Requests) made under DPA 2018 and GDPR, seeking support from the Legal Services Manager in cases of complex requests.
- To take the lead on managing and responding to internal and third-party personal data sharing requests under DPA 2018 and GDPR, seeking support from the Legal Services Manager in cases of complex requests.
- To be responsible for undertaking processes and requirements for compliance with and reaccreditation of the Legal Service’s LEXCEL accreditation.
- To have responsibility for the processing and prompt payment of invoices in accordance with agreed timescales using the Council’s systems
Duties Include but Not Limited to –
- Access and monitor information requests received under FOIA that require the disclosure of information from multiple departments/services of the Council (“hybrid FOIA requests”) using the Council’s electronic system.
- Ensure that hybrid FOIA requests are answered within the statutory timeframes.
- Draft and send response letter and disclosure of requested information to the FOIA requestor
- Provide advice and assistance to departmental FOI officers in relation to the answering of FOIA requests and any applicable exemptions, seeking support from the Legal Services Manager in cases of complex requests.
- Access and monitor personal data requests (“Subject Access Requests”) under DPA and GDPR using the Council’s electronic system.
- Draft and send the SAR response letter.
- Ensure that personal data requests are answered within the statutory timeframes.