65 Regulatory Compliance jobs in London
Regulatory Compliance Law Specialist VI
Posted 5 days ago
Job Viewed
Job Description
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.
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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.
Regulatory Compliance Officer
Posted 28 days ago
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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
- 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
Regulatory Compliance Analyst
Posted 9 days ago
Job Viewed
Job Description
A career at Janus Henderson is more than a job, it's about investing in a brighter future together.
Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class service. We will do this by protecting and growing our core business, amplifying our strengths and diversifying where we have the right.
Our Values are key to driving our success, and are at the heart of everything we do:
Clients Come First - Always | Execution Supersedes Intention | Together We Win | Diversity Improves Results | Truth Builds Trust
If our mission, values, and purpose align with your own, we would love to hear from you!
Your opportunity
+ Oversee the day to day management and adherence to SMCR processes, for example ensuring new job descriptions are assessed as in/out of scope, working closely with HR business partners to draft Statements of Responsibility for Senior Managers, ensuring annual and out of cycle F&P assessments are conducted
+ Managing the firm's CPD and rescreening processes under Mifid II, AML and SMCR regulations
+ Work closely with the Company Secretariat team to ensure that the Management Responsibilities Map (MRM) is accurate and up to date
+ Manage all SMCR data and the SMCR information system, Accord
+ Support Corporate Compliance with SMCR regulatory filings
+ Work closely with the People Department, Risk and Compliance and Legal on the assessment and implementation of SMCR regulatory requirements for example the allocation of SMFs and Prescribed Responsibilities across our UK entities
+ Responsible for the processes and governance documents for SMCR e.g. Rationale documents and Operating Handbook
+ Work closely with Senior Managers, Certified Persons and other stakeholders, ensuring that those employees coming in/out of scope of SMCR are adequately supported
+ Prepare SMCR Management Information ready to be presented to relevant Boards
+ Act as secretary for the Conduct & Governance Committee, including liaising with the People team on the assessment of Conduct Rule breaches
+ Carry out other duties as assigned
What to expect when you join our firm
+ Hybrid working and reasonable accommodations
+ Generous Holiday policies
+ Excellent Health and Wellbeing benefits including corporate membership to ClassPass
+ Paid volunteer time to step away from your desk and into the community
+ Support to grow through professional development courses, tuition/qualification reimbursement and more
+ Maternal/paternal leave benefits and family services
+ Complimentary subscription to Headspace - the mindfulness app
+ All employee events including networking opportunities and social activities
+ Lunch allowance for use within our subsidized onsite canteen
Must have skills
+ Understanding of and experience in EMEA regulatory developments, both the process of regulation and the application of regulation to the business
+ Familiarity with other global regulations which have people impacts
+ Understanding of the asset management business (front, middle, back office)
+ The ability to deal with colleagues at all levels of the organization and be able to influence decision making
+ A background in HR or Compliance
+ Strong attention to detail
+ Excellent communication skills, stakeholder management and presentation skills.
Nice to have skills
+ Strong project and change management skills.
+ Self-motivation and enthusiasm - able to work on their own initiative and focus on delivery.
+ Comfortable with using HR and/or Compliance systems - will be expected to be the "power user" for the SMCR system.
Supervisory responsibilities
+ No
Potential for growth
+ Mentoring
+ Leadership development programs
+ Regular training
+ Career development services
+ Continuing education courses
You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role.
At Janus Henderson Investors we're committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from candidates from all backgrounds. Don't worry if you don't think you tick every box, we still want to hear from you! We understand everyone has different commitments and while we can't accommodate every flexible working request we're happy to be asked about work flexibility and our hybrid working environment. If you need any reasonable accommodations during our recruitment process, please get in touch and let us know at
#LI-GL1 #LI-Hybrid
Janus Henderson (including its subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee's job functions (as determined by Janus Henderson at its sole discretion).
All applicants must be willing to comply with the provisions of Janus Henderson Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. Janus Henderson is an equal opportunity /Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. All applications are subject to background checks.
Senior Regulatory Compliance Officer
Posted 16 days ago
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Job Description
Senior Regulatory Compliance Officer (Payments)
Location: Bevis Marks, London, office based role Mon to Fri 9-5pm.
Are you ready to make a significant impact in the world of digital payments with one of Europe’s most innovative payments companies?
Join viva.com as a Senior Regulatory Compliance Officer, where you will have the opportunity to accelerate your career to become the Deputy Risk and Regulatory Compliance Officer. Your expertise will drive innovation and strengthen our risk management framework. This opportunity will enable you to work in a dynamic environment, collaborating with top-tier professionals, and contributing to a sustainable cashless economy. Apply now to become a pivotal part of our team and help shape the future of payments.
Why should I apply:
- Career development role to help develop processes within a high growth organization;
- Benefit from an environment where your achievements and success will be recognized and rewarded.
Why viva.com?
Viva.com is Europe’s first acquirer powering merchant payments acceptance across 24 countries and over 1,215 devices. In the UK, Viva.com operates as an E-Money Institution authorised by the Financial Conduct Authority (FCA), offering an omnichannel payments platform that empowers businesses of all sizes to accept and manage payments — in-store, online, or on the go.
Viva.com leads in Tap on Any Device technology, offers a high-conversion Smart Checkout for online payments, and provides a robust marketplace solution, enabling flexible, scalable, and future-proof payment journeys tailored to every business model. All technology is built in-house on Microsoft Azure, ensuring speed, security, and innovation at scale.
Through its direct connections to local payment schemes and alternative payment methods, Viva.com supports 40+ payment options. Key features include Real-Time Settlement, Offline Payments, acceptance fees as low as 0% with the use of Viva.com’s business debit card, and Merchant Advance.
With a growing ecosystem of 450+ tech partner-innovators, Viva.com is leading the shift to All-in-One business solutions, empowering merchants to adopt cutting-edge technology seamlessly and scale their business with ease.
What you will do:
Reporting to the UK Head of Regulatory Compliance.
We are looking for an experienced Senior Compliance Officer in Payments, to support and help further develop Viva Wallet’s UK interna risk and control framework and to focus on compliance with relevant legislative / regulatory requirements for Viva Wallet UK as an e-money firm. He/ she will assist Viva Wallet’s UK Head of Compliance in ensuring the risks facing the business are efficiently / effectively mitigated, and also assist with the execution of the Compliance Monitoring Plan demonstrating that Viva Wallet UK is compliant with all FCA regulations for its payments business.
Key Responsibilities:
More specifically, as a Senior Compliance Officer you will:
- Ensure compliance with all regulations applicable to Viva Wallet UK and other legislative/regulatory requirements, including best practices of corporate governance;
- Ensure the operation of Viva Wallet’s UK Risk Committees in accordance with their Terms of Reference (Board and Risk & Compliance Committees), as well as the applicable legal and regulatory framework;
- Help to oversee and manage the regulatory risks that face the UK business – including enhancing policies and processes and ensuring that risks are maintained with Risk Appetite;
- Maintain effective relationships with internal and external stakeholders of all levels in order to provide them with appropriate governance advice and services;
- Assist the Head of Compliance with actioning the Compliance Monitoring Plan to cover all aspects of Compliance for the UK (outsourcing / safeguarding / Consumer Duty etc);
- Ad-hoc duties in the production of agenda items for the UK Risk Committee;
- Participate in the regular review of governance processes including analysing existing processes, recommending and implementing changes, documenting new processes and procedures to support compliance, continuous improvement and adoption of innovative governance practices;
- Deal with ad-hoc queries as requested by the Head of Compliance.
Requirements
- Minimum of five (5) years of overall previous experience in the financial services sector in Europe, of which at least two (2) in a risk and compliance role for a regulated financial services institution or consulting organisation (payments experience is an advantage);
- Experience of risk and compliance frameworks, policies or principles;
- Can do attitude and hands on approach to ensuring effective delivery of complex and technical tasks;
- Ability to coach and mentor more junior staff to ensure their development and delivery of workloads;
- Excellent organizational & project management skills, proven analytical, planning, problem-solving and decision-making skills;
- Ability to work well both independently and in a team environment, including senior management, in an intense, fast-paced environment and successfully manage multiple projects within deadlines;
- Excellent presentation and interpersonal skills;
- Fluency in English (written and spoken).
Benefits
- Opportunity to step up to Deptuy Regulatory Compliance Officer;
- Competitive salary;
- Annual personal performance bonus;
- Pension;
- 25 Days holiday rising to 30 with service (plus 8 Bank Holidays);
- New Mothers Maternity Scheme - 20 weeks of full pay maternity leave;
- Working closely with a highly motivated team in a dynamic and fast- paced multinational environment.
Regulatory Compliance Manager (FinTech:PI/EMI)
Posted 3 days ago
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Job Description
YouLend is the preferred global embedded financing platform for many of the world’s leading e-commerce sites, tech companies and payment services providers such as Amazon, eBay, Shopify, Mollie, Dojo, Paysafe, Just Eat Takeaway and Takepayments. Our software platform and APIs enable our partners to offer flexible financing products, in their desired branding, to their merchant base. With YouLend's AI-driven credit risk assessment solutions, more merchants and SMEs than ever can receive fast, flexible and affordable funding. We operate in 9+ geographies across the UK, EU and the US.
As a UK-licensed Payment Institution (PI) and in the final stages of securing EU PI authorization, we are committed to ensuring a best-in-class regulatory compliance framework that supports our growth while meeting evolving regulatory expectations.
We believe that the future of financial services will be delivered by customer-oriented tech companies that embed financing in their customer journeys, and we are building the solutions that will power that future.
The Role
The Regulatory Compliance Manager will be a key figure in ensuring YouLend maintains a robust regulatory compliance framework. Reporting directly to the Head of Regulatory Compliance this role will focus on enhancing compliance processes, monitoring regulatory risks, and ensuring adherence to FCA, EU, and global standards as we pursue additional regulatory authorisations.
This role offers an exciting opportunity for an experienced compliance professional to play a pivotal role in helping to shape our regulatory compliance framework and support YouLend with future expansion plans.
Requirements
- Regulatory Compliance Framework – Contribute to the maturity of the regulatory compliance strategy and framework, ensuring there is a consistent and scalable approach to ‘compliance’ across training, policies, KRIs, testing, reporting.
- Compliance Monitoring - Support with the enhancement of the design and implementation of YouLend's Compliance Monitoring and Testing Programme including tracking and monitoring progress against the annual monitoring program and adapting it to the changing regulatory and business environment.
- Governance and Management Reporting - Raising the standards of management reporting and governance, assisting the Head of Regulatory Compliance with preparing updates to YouLend’s Senior Management Team where necessary and embedding a governance framework that facilitates this.
- Horizon scanning - Through the identification, assessment, and ongoing monitoring of current and future regulatory risks, including gap analysis of new regulatory initiatives and guidance from the Youlend’s regulators
- Advisory – Act as a trusted advisor to the business, providing guidance on regulatory topics and helping the business navigate complex compliance landscapes in the UK, EU, US and other jurisdictions.
- Regulatory Engagement - Support the Head of Regulatory Compliance with managing regulatory engagement, tracking and handling queries, audits, and ongoing communications with YouLend’s Regulators.
- Regulatory Reporting - Lead regulatory reporting processes to ensure timely and accurate submissions to the FCA and other relevant authorities.
- Enterprise Risk Management - Support with the uplift of YouLend’s Enterprise Risk Framework, working with risk owners across the business to develop and mature the identification, assessment and management of YouLend’s enterprise risks.
Essential Qualifications and Experience
- 3- 5 years’ experience in a regulatory compliance role, ideally within a payment institution, electronic money institution or a similar regulated entity.
- Strong analytical skills with the ability to identify and solve complex business problems
- Demonstrable experience of supporting the implementation of compliance frameworks, particularly for FCA-regulated entities.
- Experience leading regulatory reporting processes.
- Familiarity with EU regulatory regimes and experience supporting applications for new regulatory authorizations is a strong plus.
- Experience working in B2B financing or corporate lending is desirable.
- Experience applying statistical techniques and analytical methods to extract insights from data.
Skills
- Strong knowledge of FCA regulatory requirements, including the FCA Handbook and Payment Services Regulations (PSRs).
- Proven ability to assess and manage regulatory risks, with experience in conducting thematic reviews and compliance monitoring.
- Expertise in key compliance themes such as governance, complaints handling, safeguarding, product governance and outsourcing, and in depth understanding of risk mitigation frameworks.
- Exceptional analytical skills, including conducting gap analyses to address new regulatory initiatives and guidance.
- Strong written and verbal communication skills, with experience preparing high-quality reviews, assessments, and reports for senior stakeholders and regulators.
Benefits
Why join YouLend?
- Award-Winning Workplace: YouLend has been recognised as one of the “Best Places to Work 2024 and 2025” by the Sunday Times for being a supportive, diverse, and rewarding workplace.
- Award-Winning Fintech: YouLend has been recognised as a “Top 250 Fintech Worldwide” company by CNBC.
We offer comprehensive benefits package that includes:
- Stock Options
- Private Medical insurance via Vitality and Bupa Dental
- EAP with Health Assured
- Enhanced Maternity and Paternity Leave
- Modern and sophisticated office space in Central London
- Free Gym in office building in Holborn
- Subsidised Lunch via Feedr
- Deliveroo Allowance if working late in office
- Monthly in office Masseuse
- Team and Company Socials
- Football Power League
At YouLend, we champion diversity and embrace equal opportunity employment practices. Our hiring, transfer, and promotion decisions are exclusively based on qualifications, merit, and business requirements, free from any discrimination based on race, gender, age, disability, religion, nationality, or any other protected basis under applicable law.
Operations Regulatory Compliance & Complaints Manager
Posted 27 days ago
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Job Description
Summary of role
An Operations Regulatory Compliance & Complaints Manager plays a crucial role in ensuring a company adheres to all relevant laws, regulations, and internal policies while also overseeing the effective management of customer complaints and ensuring a positive customer experience. This role involves a blend of strategic oversight and operational execution, requiring strong analytical, communication, and problem-solving skills.
Requirements
Primary responsibilities
Regulatory Compliance:
- Staying current on relevant FCA guidelines, regulations, and industry standards and advising the organization on compliance.
- Developing, implementing, and monitoring compliance programs and policies.
- Conducting risk assessments and developing strategies to mitigate identified risks.
- Preparing and submitting reports detailing compliance against regulatory standards.
- Collaborating with internal and external stakeholders, including regulators, for compliance matters.
Complaint Management:
- Overseeing the efficient and effective resolution of customer escalations and complaints, ensuring timely and compliant handling.
- Investigating complaints, identifying root causes, and recommending improvements to reduce future complaints.
- Maintaining complaint registers, analyzing trends, and reporting on findings.
- Ensuring fair treatment of customers and championing a positive customer experience.
Skills required
- Strong analytical, problem-solving, and communication skills are essential.
- Experience working with FCA regulations and guidelines in environments that utilise regulated agreements such as Consumer loan or hire agreements ,
- Excellent communication skills including presentation and written report writing.
- Strong customer service skills
- Ability to be a team player, and work well under pressure
- Problem solving and conflict resolutions skills.
- Strong communication skills
Experience required
- Minimum 1 years experience in similar role
- Minimum 1 years experience in FCA Regulatory Compliance
- Capable of preserving confidential or sensitive information
- Experience of conflict resolution
- Experience in resolving complaint issues
- Experience developing and implementing internal policies and process to improve customer experience
Personal attributes (person specification)
- Someone who lives the company values
- Ability to make informed and timely decisions
- Someone who analyses a situation and develop effective solutions
- Finds innovative solutions to overcome challenges
- Ensures accuracy in all communications
Software knowledge and level of proficiency
- MS Excel - excellent knowledge
- MS Outlook - very good knowledge
- MS Word - very good knowledge
- MS PowerPoint - very good knowledge
- Scheduling software - good knowledge
- CRM - good knowledge
Benefits
- Competitive salary
- A bright, modern and open plan office
- 23 days holiday plus 8 bank holidays
- Contributory pension
- Company bonus scheme
- Life assurance
Hub Compliance Specialist
Posted 6 days ago
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Job Description
Explore your next opportunity at a Fortune Global 500 organization. Envision innovative possibilities, experience our rewarding culture, and work with talented teams that help you become better every day. We know what it takes to lead UPS into tomorrowu2014people with a unique combination of skill + passion. If you have the qualities and drive to lead yourself or teams, there are roles ready to cultivate your skills and take you to the next level.
**Job Description:**
The Compliance Specialist is responsible for assisting the Comprehensive Health and Safety Process (CHSP) with the division. He/She provides a framework for employees to be engaged, challenged, and motivated to improve and sustain a healthy, injury free and auto crash free workplace. This position also serves as a liaison between the district and the division to ensure UPS internal federal state and local safety compliance to regulatory standards.
**Employee Type:**
Permanent
UPS is committed to providing a workplace free of discrimination, harassment, and retaliation.
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Hub Compliance Specialist
Posted 6 days ago
Job Viewed
Job Description
Explore your next opportunity at a Fortune Global 500 organization. Envision innovative possibilities, experience our rewarding culture, and work with talented teams that help you become better every day. We know what it takes to lead UPS into tomorrowu2014people with a unique combination of skill + passion. If you have the qualities and drive to lead yourself or teams, there are roles ready to cultivate your skills and take you to the next level.
**Job Description:**
The Compliance Specialist is responsible for assisting the Comprehensive Health and Safety Process (CHSP) with the division. He/She provides a framework for employees to be engaged, challenged, and motivated to improve and sustain a healthy, injury free and auto crash free workplace. This position also serves as a liaison between the district and the division to ensure UPS internal federal state and local safety compliance to regulatory standards.
**Employee Type:**
Permanent
UPS is committed to providing a workplace free of discrimination, harassment, and retaliation.
Risk & Compliance Specialist - Investment Management
Posted 1 day ago
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Job Description
Reporting directly to the Head of Risk & Compliance, the role will also support the firm’s wider strategic ambitions, including through engagement in the development of exciting new propositions. This is an opportunity to join a dynamic and ambitious firm in a varied Compliance role with exposure to senior stakeholders, both internally and externally.
You will:
- Advise business areas on recommended control improvement actions.
- Provide investment risk and compliance consultancy to key stakeholders
- Lead on second line engagement change initiatives.
- Support the Head of Risk and Compliance in the development and delivery of the Compliance Plan.
- Review daily risk measurement checks (e.g. Derivative exposures; fund compliance with VaR limits, VaR back-testing overshoots and Liquidity thresholds)
- Act as the risk and compliance contact for error and breach identification, resolution, trend analysis and escalation.
- Liaise with the Depositary to complete regulatory and best practice obligations.
The ideal candidate will have demonstrable Compliance experience in the investment management sector, particularly in an ACD business; Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements, including investment principles, investment types and portfolio liquidity; Excellent communication skills, with an ability to influence, facilitate and negotiate.
Lead Regulatory Relations & Market Compliance
Posted today
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Job Description
Our Purpose
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
Lead Regulatory Relations & Market Compliance OverviewProduct Manager Technical for the Regulatory Relations & Market Compliance team assisting the business demonstrate compliance with external stakeholder regulatory and contractual expectations in the Europe region. He/she will work with Technology teams to organise the completion of customer questionnaires / host onsite customer visits and support regulatory inquiries / inspections in Europe. He/she works with the Technology teams to ensure delivery of remediation actions resulting from the regulatory examination.
RESPONSIBILITIES
• Understand the Mastercard product portfolio subject to regulations in Europe.
• Keep an overarching view of the regulatory environment of Mastercard and its applicability to Mastercard product portfolio.
• Organise customers’, regulators, technology and security examinations (e.g., on-site, virtual) in Europe;
• Ensure that the collection of documentation and evidence is performed to demonstrate how Mastercard satisfies obligations and commitments by leveraging information maintained centrally
• In conjunction with the first line of defence technology business owners, help create and oversee execution of effective action plans in response to audit discoveries and compliance violations
JOB SPECIFIC EXPERIENCES
• Degree in law, finance, business management or IT related field
• 3-5 years of experience in IT, Banking, Payment or FinTech sectors in similar role (Internal Audit, Risk Management, Compliance)
• Good oral and written communication skills
• Leadership skills: Ability to influence others without direct reporting relationships while providing strategic thinking to a wide range of business units and technology services.
• Be culturally aware, sensitive and able to collaborate with cross-regional teams
• Be a team player with strong business and operations focus
• Knowledge of Risk and Control Framework standards such as SOC 1, SOC 2, PCI-DSS, ISO
• Knowledge of laws, regulations, policies, and ethics as they related to technology, cybersecurity and IT management, especially in relation to payments sector (e.g., GDPR, DORA, NIS 2, etc.)
• Strong IT technical knowledge, including emerging technologies and potential for exploitation
• Knowledge of Mastercard retail card, real-time payments and account to account products and technology, security and other risk management programs and practices desired, a plus but not required
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.