3 Financial Policies jobs in the United Kingdom
Senior Compliance Officer - Financial Regulations
NE1 4AG Newcastle upon Tyne, North East
£75000 Annually
WhatJobs
Posted 3 days ago
Job Viewed
Job Description
Our client, a prominent financial services institution, is seeking a highly experienced Senior Compliance Officer to join their dedicated team. This is a crucial, fully remote role based within the UK, responsible for ensuring the firm adheres to all relevant financial regulations and maintains the highest standards of integrity and operational compliance. You will be at the forefront of navigating the complex regulatory landscape, safeguarding the company and its clients.
Responsibilities:
Responsibilities:
- Develop, implement, and maintain robust compliance policies, procedures, and controls to ensure adherence to all applicable financial regulations (e.g., FCA, MiFID II, AML, KYC).
- Conduct regular risk assessments to identify potential compliance gaps and vulnerabilities, proposing and implementing effective mitigation strategies.
- Oversee the firm's Anti-Money Laundering (AML) and Know Your Customer (KYC) programs, ensuring ongoing monitoring and due diligence.
- Manage and respond to regulatory inquiries, examinations, and audits from relevant authorities.
- Provide expert compliance advice and training to business units across the organization, fostering a strong compliance culture.
- Monitor changes in the regulatory environment, assessing their impact on the firm's operations and recommending necessary adjustments.
- Investigate potential compliance breaches, conducting thorough reviews and recommending appropriate disciplinary or corrective actions.
- Develop and deliver compliance training programs for all employees, ensuring awareness and understanding of regulatory requirements.
- Prepare and submit regulatory filings and reports accurately and within deadlines.
- Maintain comprehensive records of compliance activities, training, and investigations.
- Collaborate with internal audit, legal, and operational teams to ensure integrated compliance efforts.
- Advise on the compliance implications of new product development and business initiatives.
- Bachelor's degree in Law, Finance, Business Administration, or a related field.
- Professional compliance certifications (e.g., ICA Diploma, relevant regulatory body certifications) are highly advantageous.
- Minimum of 7 years of progressive experience in financial services compliance, with a deep understanding of UK and relevant international regulations.
- Proven expertise in AML, KYC, and regulatory reporting requirements.
- Demonstrated experience in conducting compliance risk assessments and developing effective controls.
- Strong analytical and problem-solving skills, with meticulous attention to detail.
- Excellent written and verbal communication skills, with the ability to explain complex regulatory concepts clearly.
- Ability to work independently, manage multiple priorities, and meet stringent deadlines in a remote setting.
- High level of integrity, professionalism, and sound judgment.
- Experience interacting with regulatory bodies is essential.
- Must reside within the Newcastle upon Tyne, Tyne and Wear, UK area, although the role is fully remote, occasional team synchronization meetings may be beneficial.
This advertiser has chosen not to accept applicants from your region.
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Lead Compliance Officer - Financial Regulations
SR1 2BP Sunderland, North East
£70000 Annually
WhatJobs
Posted 17 days ago
Job Viewed
Job Description
Our client, a rapidly growing fintech company specializing in secure financial solutions, is seeking a highly experienced and dedicated Lead Compliance Officer to join their fully remote team. This critical role is responsible for establishing and maintaining a robust compliance framework that adheres to all relevant financial regulations and legal requirements. The successful candidate will be a proactive leader, adept at navigating complex regulatory landscapes and ensuring the integrity and trustworthiness of our client's operations.
As a fully remote position, we empower our team members with the autonomy and resources needed to excel. You will work closely with legal, operations, and technology departments to implement and enforce compliance policies, conduct risk assessments, and manage regulatory reporting. Your expertise will be paramount in safeguarding the company against financial crime, data breaches, and regulatory penalties, ensuring our client remains a leader in a highly regulated industry.
Key Responsibilities:
As a fully remote position, we empower our team members with the autonomy and resources needed to excel. You will work closely with legal, operations, and technology departments to implement and enforce compliance policies, conduct risk assessments, and manage regulatory reporting. Your expertise will be paramount in safeguarding the company against financial crime, data breaches, and regulatory penalties, ensuring our client remains a leader in a highly regulated industry.
Key Responsibilities:
- Develop, implement, and manage a comprehensive compliance program in line with financial regulations (e.g., AML, KYC, GDPR, FCA).
- Conduct regular risk assessments to identify potential compliance vulnerabilities and implement mitigation strategies.
- Oversee the creation and delivery of compliance training programs for all employees.
- Monitor regulatory changes and ensure timely updates to policies and procedures.
- Manage regulatory examinations and audits, serving as the primary point of contact with regulatory bodies.
- Investigate potential compliance breaches and implement corrective actions.
- Develop and maintain strong relationships with external legal counsel and regulatory authorities.
- Prepare and submit required regulatory reports accurately and on time.
- Lead and mentor the compliance team, fostering a culture of ethical conduct and regulatory awareness.
- Law degree or a related field, with specialized knowledge in financial regulations.
- Minimum of 8 years of experience in compliance, risk management, or legal roles within the financial services or fintech industry.
- In-depth knowledge of relevant regulations such as AML, KYC, MiFID II, GDPR, and others applicable to financial services.
- Proven experience in developing and implementing compliance programs.
- Strong analytical, problem-solving, and investigative skills.
- Excellent communication, interpersonal, and presentation skills.
- Demonstrated leadership experience with the ability to manage and motivate a team.
- Ability to work independently and manage multiple priorities in a remote setting.
- Relevant professional certifications (e.g., CAMS, CRCM) are a strong asset.
This advertiser has chosen not to accept applicants from your region.
1
Senior Renewable Energy Analyst - Policy and Market Development
NE1 7RA Newcastle upon Tyne, North East
£65000 Annually
WhatJobs
Posted 10 days ago
Job Viewed
Job Description
Our client is a pioneering organization at the forefront of the renewable energy transition, dedicated to advancing sustainable energy solutions and influencing policy for a greener future. We are seeking a highly analytical and insightful Senior Renewable Energy Analyst to join our fully remote, expert team. This role is critical in shaping market development strategies, analyzing policy impacts, and identifying opportunities for growth in the renewable energy sector. You will contribute to pivotal research and strategic planning, working from anywhere in the UK.
Responsibilities:
Responsibilities:
- Conduct in-depth analysis of national and international renewable energy policies, regulations, and market trends.
- Develop sophisticated economic and financial models to assess the viability and impact of renewable energy projects and technologies.
- Research and evaluate emerging renewable energy technologies and their potential for market adoption.
- Provide expert insights and strategic recommendations on policy development to support the growth of solar, wind, and other renewable energy sources.
- Analyze market data to identify investment opportunities, potential risks, and competitive landscapes within the energy sector.
- Prepare comprehensive reports, white papers, and presentations for internal stakeholders, government bodies, and industry partners.
- Collaborate with cross-functional teams, including project development, engineering, and legal, to inform strategic decision-making.
- Engage with industry stakeholders, policymakers, and research institutions to gather information and influence policy direction.
- Monitor and report on the progress of renewable energy targets and commitments.
- Contribute to the development of business cases for new renewable energy initiatives.
- Mentor junior analysts and contribute to the team's knowledge base.
- A Master's degree or PhD in Economics, Environmental Science, Energy Policy, Finance, Engineering, or a related quantitative field.
- A minimum of 7 years of relevant experience in energy market analysis, policy research, or renewable energy project development.
- Strong analytical and quantitative skills, with proven experience in financial modeling and economic analysis.
- In-depth knowledge of renewable energy technologies, markets, and policy frameworks (e.g., CfDs, Feed-in Tariffs, PPA).
- Excellent research, data analysis, and report-writing capabilities.
- Proficiency in data analysis tools and software (e.g., Excel, Python, R, Stata).
- Strong understanding of energy economics and the regulatory landscape.
- Exceptional communication and presentation skills, with the ability to articulate complex information clearly.
- Ability to work independently, manage multiple projects, and meet deadlines in a remote setting.
- Experience in stakeholder engagement and policy advocacy is highly desirable.
- Passion for renewable energy and sustainable development.
This advertiser has chosen not to accept applicants from your region.
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