636 Regulatory Compliance Specialists jobs in the United Kingdom
Regulatory Compliance Officer
London, London
TP ICAP
Posted 25 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.
0
Regulatory & Compliance Advisor
De Beers
Posted today
Job Viewed
Job Description
Company Description
-We're re-imagining mining to improve people's lives. That includes the lives of everyone who works for Anglo American. We strive to be a great company where employees are happy and inspired to do their best work. A place where every colleague can grow, develop and realise their potential. To live up to our Always with Purpose employee value proposition, we're putting the development and growth of colleagues first by ensuring everyone at Anglo American has the career experience they deserve.
Job Description
-Purpose:
The Regulatory & Compliance Advisor is responsible for assisting with the management of compliance and regulatory legal risk for Anglo American Marketing on a global scale; and managing Group Legal's support to Anglo American on wider regulatory matters.
Responsibilities include:
Specialist Legal Support
Support the success of Anglo American and its marketing business by
- Providing day to day advice on regulatory and compliance requirements applicable to a multi-jurisdictional Marketing business including in respect of:
- Anti-bribery and corruption
- Sanctions, anti-money laundering and countering terrorism financing
- Licensing and regulatory requirements for physical and derivatives trading
- Regulatory reform relating to OTC derivatives trading (Dodd Frank, EMIR, MiFID II and equivalent requirements in other relevant jurisdictions)
- Market conduct requirements
- Strategic input on new business activities and projects
- Interaction with regulators in multiple jurisdictions
- Assessing and responding to the Company's business imperatives and risk appetite.
- Overseeing internal investigations with compliance or regulatory implications.
- Preparing a response plan to deal with regulatory enquiries and managing the operational and strategic response to external criminal or regulatory investigations.
- Assisting with the development of a strategy for external engagement on regulatory and compliance matters to support broader Company external engagement plan/strategy.
- Engaging in internal advocacy and delivering training to raise awareness of regulatory and compliance risk, and the Company's risk mitigation strategies and controls.
- Working closely with commercial teams to provide timely, pragmatic and commercial advice in connection with commercial transactions, projects and strategy development.
- Collaborating with the internal Compliance team to provide effective operational compliance oversight and monitoring.
- Participating in risk assessments and proactively engaging with key commercial and functional stakeholders.
- Providing reports in respect of provision of services at a frequency and level of detail required by Head of Legal & Compliance – Marketing or Group General Counsel. Where required, participate in briefings of General Counsel, Business management and other stakeholders.
- Managing provision of internal and external legal services and providing legal advice in a cost-effective manner.
People / Leadership:
- Demonstrate behaviour in line with the Group's values, standards and a professional workplace.
- Participate as an effective team member in working collaboratively with your leader, peers and relevant others (including from other teams) to achieve business goals
- Contribute to the broader business by working with others in such a way that it optimises the overall business results, rather than just your team.
Financial:
- Identify any opportunities for improved cost management and either address these, or raise them with your manager as appropriate
Work Processes:
- Identify gaps in policy & system design, implementation or execution that are negatively impacting on your team or their performance and initiate action to address these issues, considering the impact on suppliers and customers. For policies & systems within your authority, make the required changes. For others, escalate these issues to seek action and / or look for alternative solutions
Qualifications
- -Qualified as solicitor in England and Wales or other relevant common law jurisdiction such as Singapore, Australia or Canada
- Minimum 3 years PQE (or equivalent)
Knowledge:
- Strong practical understanding of global trading regulatory requirements with emphasis on UK/EU regulatory requirements.
- Experience of operating within a regulated environment or working for a regulatory body.
- Commercial awareness and pragmatism.
- In-depth understanding of identifying and mitigating risk.
- Broad understanding of English law or relevant common law
- Experience of working for a global business with operations in diverse locations.
- Commercial understanding of consequences of legal scenarios/decisions.
Additional Information
-Who We Are
We aim to lead the industry by pursuing ever safer ways of working, demonstrating integrity and showing care and respect for people and the planet. That means we are constantly seeking new opportunities to mine and process our products sustainably, using less water, less energy and more precise extraction technologies. Our extraordinary teams work safely and collaboratively, with the utmost consideration for local communities, our customers and the world at large.
What We Offer
When you join Anglo American, you can expect to enjoy a competitive salary and benefits package. But more than this, you'll find yourself in an environment where the opportunities for learning and growth are second to none. From technical training to leadership programmes, we bring out the best in our people. There are plenty of opportunities to move onwards and upwards too. We're a large, successful multinational company – and we're still growing all the time.
How We Are Committed To Your Safety
Nothing is more important to us than ensuring you return home safely after a day's work. To make that happen, we have the most rigorous safety standards in the industry. Not only that, we're also continually investing in new technologies that are helping to make mining safer.
Inclusion and Diversity
We are committed to promoting an inclusive and diverse workplace where we value and respect every colleague for who they are. We provide equality of opportunity to enable everyone to fulfil their potential.
#LI-AO1
This advertiser has chosen not to accept applicants from your region.
1
Regulatory Compliance Manager
Wales, Wales
EVera Recruitment
Posted today
Job Viewed
Job Description
Our client is expanding their innovative anode material manufacturing through strategic partnerships and seeks a
Regulatory Compliance Manager
. This role will embed critical health & safety, product certification, and quality management systems knowledge into the business to ensure compliance and continuous improvement.
The
Regulatory Compliance Manager
will:
- Lead health & safety compliance in a chemical manufacturing environment
- Monitor and ensure adherence to current battery standards (UN, IEC, CE) and upcoming regulations (e.g. Battery Passport)
- Develop, maintain, and improve ISO 9001 quality management systems across manufacturing stages
- Liaise with certification bodies, regulators, and auditors, preparing necessary documentation
- Train staff on safety, compliance, and quality protocols
- Review and update compliance policies and SOPs regularly
The
Regulatory Compliance Manager
will have:
- Degree or HNC/HND in Chemistry, Chemical Engineering, or related discipline
- 3+ years' proven experience in regulatory, H&S, or QMS roles within chemical or battery manufacturing
- Strong knowledge of ISO 9001 and audit readiness
- Experience with battery product standards and regulatory frameworks
- NEBOSH or equivalent health & safety certification preferred
- Excellent communication and stakeholder management skills
This is an exciting opportunity to lead regulatory and compliance excellence within a cutting-edge manufacturing environment. If you have a strong background in health & safety and quality systems and want to make a real impact, we'd love to hear from you.
Apply now to join a team driving innovation in sustainable battery manufacturing.
This advertiser has chosen not to accept applicants from your region.
2
Regulatory Compliance Manager
Bridgend, South West
EVera Recruitment
Posted 4 days ago
Job Viewed
Job Description
Our client is expanding their innovative anode material manufacturing through strategic partnerships and seeks a Regulatory Compliance Manager . This role will embed critical health & safety, product certification, and quality management systems knowledge into the business to ensure compliance and continuous improvement.
The Regulatory Compliance Manager will:
- Lead health & safety compliance in a chemical manufacturing environment
- Monitor and ensure adherence to current battery standards (UN, IEC, CE) and upcoming regulations (e.g. Battery Passport)
- Develop, maintain, and improve ISO 9001 quality management systems across manufacturing stages
- Liaise with certification bodies, regulators, and auditors, preparing necessary documentation
- Train staff on safety, compliance, and quality protocols
- Review and update compliance policies and SOPs regularly
The Regulatory Compliance Manager will have:
- Degree or HNC/HND in Chemistry, Chemical Engineering, or related discipline
- 3+ years’ proven experience in regulatory, H&S, or QMS roles within chemical or battery manufacturing
- Strong knowledge of ISO 9001 and audit readiness
- Experience with battery product standards and regulatory frameworks
- NEBOSH or equivalent health & safety certification preferred
- Excellent communication and stakeholder management skills
This is an exciting opportunity to lead regulatory and compliance excellence within a cutting-edge manufacturing environment. If you have a strong background in health & safety and quality systems and want to make a real impact, we’d love to hear from you.
Apply now to join a team driving innovation in sustainable battery manufacturing.
This advertiser has chosen not to accept applicants from your region.
3
Regulatory Compliance Analyst
EC1A Islington, London
PaymentGenes
Posted 23 days ago
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
Lead Regulatory Compliance Specialist
CB2 1TN Cambridge, Eastern
£55000 Annually
WhatJobs
Posted 22 days ago
Job Viewed
Job Description
Our client, a pioneering firm in the insurance sector, is actively seeking a Lead Regulatory Compliance Specialist to champion adherence to all pertinent regulations. This is a critical, fully remote role focused on interpreting and implementing complex regulatory frameworks, ensuring the business operates within legal and ethical boundaries. You will develop and maintain robust compliance programs, conduct internal audits and risk assessments, and provide expert guidance to internal stakeholders on compliance matters. Your responsibilities will include staying ahead of evolving regulatory landscapes, managing regulatory filings, and fostering a culture of compliance throughout the organization.
Key Responsibilities:
The ideal candidate will possess a strong understanding of insurance regulations (e.g., FCA, PRA) and significant experience in a compliance or regulatory role within the financial services or insurance industry. Proven experience in developing and implementing compliance frameworks is essential. Excellent analytical, research, and problem-solving skills are required, along with strong written and verbal communication abilities. The capacity to interpret complex legal and regulatory documents and translate them into practical business solutions is crucial. A professional qualification in compliance or law is advantageous. This role is based in Cambridge, Cambridgeshire, UK , but is offered as a fully remote position, allowing for flexible working from any UK location.
Key Responsibilities:
- Develop, implement, and manage comprehensive compliance programs and policies.
- Monitor changes in insurance regulations and legislation, assessing their impact on the business.
- Conduct regular compliance risk assessments and internal audits to identify potential violations.
- Provide expert advice and training to business units on regulatory requirements and best practices.
- Oversee the preparation and submission of regulatory filings and reports.
- Investigate compliance breaches and incidents, recommending and implementing corrective actions.
- Liaise with regulatory bodies and external auditors.
- Maintain up-to-date knowledge of industry regulations, laws, and guidelines.
- Develop and deliver compliance training programs for employees at all levels.
- Promote a strong culture of compliance and ethical conduct throughout the organization.
The ideal candidate will possess a strong understanding of insurance regulations (e.g., FCA, PRA) and significant experience in a compliance or regulatory role within the financial services or insurance industry. Proven experience in developing and implementing compliance frameworks is essential. Excellent analytical, research, and problem-solving skills are required, along with strong written and verbal communication abilities. The capacity to interpret complex legal and regulatory documents and translate them into practical business solutions is crucial. A professional qualification in compliance or law is advantageous. This role is based in Cambridge, Cambridgeshire, UK , but is offered as a fully remote position, allowing for flexible working from any UK location.
This advertiser has chosen not to accept applicants from your region.
5
Compliance - Regulatory Obligation Management Compliance Officer
London, London
Bloomberg
Posted 18 days ago
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.
Be The First To Know
About the latest Regulatory compliance specialists Jobs in United Kingdom !
6
Regulatory Compliance Law Specialist
London, London
RELX INC
Posted 21 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.
7
Senior Legal Counsel, Regulatory Compliance
CF10 1 Cardiff, Wales
£95000 Annually
WhatJobs
Posted 17 days ago
Job Viewed
Job Description
Our client is seeking a highly accomplished Senior Legal Counsel with specialised expertise in regulatory compliance to join their legal department. This is a fully remote position, allowing you to contribute to critical compliance initiatives from anywhere in the UK. The ideal candidate will have a robust understanding of the legal and regulatory landscape relevant to our client's industry, with a proven track record of developing and implementing effective compliance programs.
In this pivotal role, you will be responsible for advising on regulatory requirements, interpreting complex legislation, and ensuring adherence to all applicable laws and standards. You will work closely with business units to identify potential compliance risks, develop mitigation strategies, and champion a culture of compliance throughout the organisation. Your expertise in areas such as data privacy, financial regulations, or industry-specific compliance frameworks will be essential. This role demands strong analytical skills, exceptional judgment, and the ability to communicate complex legal concepts clearly and persuasively to diverse audiences, all within a remote working model.
Key Responsibilities:
In this pivotal role, you will be responsible for advising on regulatory requirements, interpreting complex legislation, and ensuring adherence to all applicable laws and standards. You will work closely with business units to identify potential compliance risks, develop mitigation strategies, and champion a culture of compliance throughout the organisation. Your expertise in areas such as data privacy, financial regulations, or industry-specific compliance frameworks will be essential. This role demands strong analytical skills, exceptional judgment, and the ability to communicate complex legal concepts clearly and persuasively to diverse audiences, all within a remote working model.
Key Responsibilities:
- Provide expert legal advice and guidance on all aspects of regulatory compliance relevant to the company's operations.
- Interpret and advise on the implications of new legislation, regulations, and legal developments.
- Develop, implement, and maintain comprehensive compliance policies, procedures, and controls.
- Conduct risk assessments to identify potential compliance vulnerabilities and recommend appropriate remedial actions.
- Oversee and manage internal investigations related to compliance matters.
- Collaborate with external regulators and government agencies, acting as a key point of contact.
- Train and educate employees on compliance obligations and best practices.
- Advise business teams on the compliance implications of new products, services, and business initiatives.
- Stay current with evolving regulatory requirements and industry best practices in compliance.
- Manage external counsel in regulatory matters and litigation.
- Admission to practice law in England and Wales (or equivalent jurisdiction) with a current practicing certificate.
- Minimum of 8 years of post-qualification experience, with a significant focus on regulatory compliance, gained in-house or at a top-tier law firm.
- Deep understanding of relevant regulatory frameworks (e.g., GDPR, financial services regulations, environmental law, etc. depending on industry).
- Proven experience in developing and implementing compliance programs.
- Excellent analytical, problem-solving, and strategic thinking skills.
- Exceptional communication, presentation, and interpersonal skills, with the ability to influence stakeholders at all levels.
- Demonstrated ability to work independently, manage multiple priorities, and thrive in a remote work environment.
- High ethical standards and a strong commitment to integrity.
This advertiser has chosen not to accept applicants from your region.
8
Remote Legal Counsel - Regulatory Compliance
RG1 2LS Reading, South East
£75000 Annually
WhatJobs
Posted 22 days ago
Job Viewed
Job Description
Our client, a prominent financial services institution, is seeking a highly skilled and dedicated Legal Counsel with a strong background in regulatory compliance. This position is fully remote, providing an excellent opportunity to manage legal and compliance responsibilities from anywhere. You will be responsible for advising the business on a wide range of regulatory matters, ensuring adherence to laws and regulations within the financial services sector, and managing compliance risks. This role is crucial for maintaining the integrity and lawful operations of the organization.
Key Responsibilities:
Required Qualifications:
Key Responsibilities:
- Provide expert legal advice and guidance on financial services regulations, including but not limited to, FCA, PRA, MiFID II, and GDPR.
- Develop, implement, and maintain robust compliance policies and procedures across the organization.
- Conduct legal research and analysis on emerging regulatory requirements and their impact on the business.
- Advise business units on compliance risks associated with new products, services, and business initiatives.
- Manage regulatory reporting obligations and interactions with regulatory bodies.
- Assist in the development and delivery of compliance training programs for employees.
- Review and approve marketing materials and client communications to ensure regulatory compliance.
- Support internal investigations and respond to inquiries from regulators.
- Liaise with external legal counsel and consultants as necessary.
- Monitor changes in the legal and regulatory landscape and proactively advise on necessary adjustments.
- Contribute to the continuous improvement of the company's compliance framework.
Required Qualifications:
- Juris Doctor (JD) or equivalent law degree from a recognized institution.
- Admission to practice law in a relevant jurisdiction (e.g., England and Wales, a US state).
- A minimum of 6 years of legal experience, with a significant focus on financial services regulation and compliance, preferably gained within a law firm or in-house legal department of a financial institution.
- In-depth knowledge of UK and/or relevant international financial services regulations.
- Experience with compliance program development and implementation.
- Strong analytical, problem-solving, and risk assessment skills.
- Excellent written and verbal communication skills, with the ability to articulate complex legal and regulatory issues clearly.
- Proven ability to work independently, manage multiple priorities effectively, and meet deadlines in a remote work environment.
- High level of integrity and professional ethics.
- Experience in data protection and privacy laws is advantageous.
This advertiser has chosen not to accept applicants from your region.
9