574 Senior Compliance Officer jobs in the United Kingdom
Senior Compliance Officer - Financial Regulations
NE1 4AG Newcastle upon Tyne, North East
£75000 Annually
WhatJobs
Posted today
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Job Description
Our client, a prominent financial services institution, is seeking a highly experienced Senior Compliance Officer to join their dedicated team. This is a crucial, fully remote role based within the UK, responsible for ensuring the firm adheres to all relevant financial regulations and maintains the highest standards of integrity and operational compliance. You will be at the forefront of navigating the complex regulatory landscape, safeguarding the company and its clients.
Responsibilities:
Responsibilities:
- Develop, implement, and maintain robust compliance policies, procedures, and controls to ensure adherence to all applicable financial regulations (e.g., FCA, MiFID II, AML, KYC).
- Conduct regular risk assessments to identify potential compliance gaps and vulnerabilities, proposing and implementing effective mitigation strategies.
- Oversee the firm's Anti-Money Laundering (AML) and Know Your Customer (KYC) programs, ensuring ongoing monitoring and due diligence.
- Manage and respond to regulatory inquiries, examinations, and audits from relevant authorities.
- Provide expert compliance advice and training to business units across the organization, fostering a strong compliance culture.
- Monitor changes in the regulatory environment, assessing their impact on the firm's operations and recommending necessary adjustments.
- Investigate potential compliance breaches, conducting thorough reviews and recommending appropriate disciplinary or corrective actions.
- Develop and deliver compliance training programs for all employees, ensuring awareness and understanding of regulatory requirements.
- Prepare and submit regulatory filings and reports accurately and within deadlines.
- Maintain comprehensive records of compliance activities, training, and investigations.
- Collaborate with internal audit, legal, and operational teams to ensure integrated compliance efforts.
- Advise on the compliance implications of new product development and business initiatives.
- Bachelor's degree in Law, Finance, Business Administration, or a related field.
- Professional compliance certifications (e.g., ICA Diploma, relevant regulatory body certifications) are highly advantageous.
- Minimum of 7 years of progressive experience in financial services compliance, with a deep understanding of UK and relevant international regulations.
- Proven expertise in AML, KYC, and regulatory reporting requirements.
- Demonstrated experience in conducting compliance risk assessments and developing effective controls.
- Strong analytical and problem-solving skills, with meticulous attention to detail.
- Excellent written and verbal communication skills, with the ability to explain complex regulatory concepts clearly.
- Ability to work independently, manage multiple priorities, and meet stringent deadlines in a remote setting.
- High level of integrity, professionalism, and sound judgment.
- Experience interacting with regulatory bodies is essential.
- Must reside within the Newcastle upon Tyne, Tyne and Wear, UK area, although the role is fully remote, occasional team synchronization meetings may be beneficial.
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0
Lead Compliance Officer - Financial Regulations
SR1 2BP Sunderland, North East
£70000 Annually
WhatJobs
Posted 14 days ago
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Job Description
Our client, a rapidly growing fintech company specializing in secure financial solutions, is seeking a highly experienced and dedicated Lead Compliance Officer to join their fully remote team. This critical role is responsible for establishing and maintaining a robust compliance framework that adheres to all relevant financial regulations and legal requirements. The successful candidate will be a proactive leader, adept at navigating complex regulatory landscapes and ensuring the integrity and trustworthiness of our client's operations.
As a fully remote position, we empower our team members with the autonomy and resources needed to excel. You will work closely with legal, operations, and technology departments to implement and enforce compliance policies, conduct risk assessments, and manage regulatory reporting. Your expertise will be paramount in safeguarding the company against financial crime, data breaches, and regulatory penalties, ensuring our client remains a leader in a highly regulated industry.
Key Responsibilities:
As a fully remote position, we empower our team members with the autonomy and resources needed to excel. You will work closely with legal, operations, and technology departments to implement and enforce compliance policies, conduct risk assessments, and manage regulatory reporting. Your expertise will be paramount in safeguarding the company against financial crime, data breaches, and regulatory penalties, ensuring our client remains a leader in a highly regulated industry.
Key Responsibilities:
- Develop, implement, and manage a comprehensive compliance program in line with financial regulations (e.g., AML, KYC, GDPR, FCA).
- Conduct regular risk assessments to identify potential compliance vulnerabilities and implement mitigation strategies.
- Oversee the creation and delivery of compliance training programs for all employees.
- Monitor regulatory changes and ensure timely updates to policies and procedures.
- Manage regulatory examinations and audits, serving as the primary point of contact with regulatory bodies.
- Investigate potential compliance breaches and implement corrective actions.
- Develop and maintain strong relationships with external legal counsel and regulatory authorities.
- Prepare and submit required regulatory reports accurately and on time.
- Lead and mentor the compliance team, fostering a culture of ethical conduct and regulatory awareness.
- Law degree or a related field, with specialized knowledge in financial regulations.
- Minimum of 8 years of experience in compliance, risk management, or legal roles within the financial services or fintech industry.
- In-depth knowledge of relevant regulations such as AML, KYC, MiFID II, GDPR, and others applicable to financial services.
- Proven experience in developing and implementing compliance programs.
- Strong analytical, problem-solving, and investigative skills.
- Excellent communication, interpersonal, and presentation skills.
- Demonstrated leadership experience with the ability to manage and motivate a team.
- Ability to work independently and manage multiple priorities in a remote setting.
- Relevant professional certifications (e.g., CAMS, CRCM) are a strong asset.
This advertiser has chosen not to accept applicants from your region.
1
Compliance Officer
London, London
Rutherford
Posted today
Job Viewed
Job Description
Overview An established global asset management firm is seeking an experienced Compliance Officer to contribute to the implementation of its compliance monitoring and oversight program. This role plays a critical part in ensuring ongoing regulatory alignment across trading and portfolio management activities. Reporting into the Head of Compliance, the successful candidate will serve as a key advisor on regulatory matters and support governance, monitoring, and internal control activities across the firm’s investment platform. Key Responsibilities Design and help execute the annual Compliance Monitoring Plan in collaboration with senior leadership. Lead the daily monitoring program focused on regulated investment management activities. Conduct surveillance related to market abuse risks and trading activity. Review and monitor best execution and transaction reporting obligations. Assess and manage potential conflicts of interest across business units. Stay current on regulatory updates and assess their impact on operations and internal policies. Provide strategic and operational compliance advice, including support for new initiatives and business developments. Support the delivery of required regulatory filings and reports in a timely and accurate manner. Drive internal awareness of regulatory responsibilities and foster a culture of compliance and ethical conduct. Oversee competence and training requirements for relevant staff in regulated roles. Evaluate and maintain systems and controls to ensure ongoing compliance with applicable standards. Provide oversight for data protection activities, including handling of access requests. Draft, maintain, and update compliance policies and procedures in line with best practices and regulatory developments. Candidate Profile 5 years of experience in investment or asset management Trading and portfolio management compliance experience Strong initiative and self-direction, with excellent prioritisation and time management skills. Exceptional written and verbal communication capabilities. Comfortable working under pressure and delivering to tight deadlines. In-depth understanding of relevant regulatory frameworks (e.g., conduct rules, AML standards).
This advertiser has chosen not to accept applicants from your region.
2
Compliance Officer
London, London
Rutherford
Posted today
Job Viewed
Job Description
Overview An established global asset management firm is seeking an experienced Compliance Officer to contribute to the implementation of its compliance monitoring and oversight program. This role plays a critical part in ensuring ongoing regulatory alignment across trading and portfolio management activities. Reporting into the Head of Compliance, the successful candidate will serve as a key advisor on regulatory matters and support governance, monitoring, and internal control activities across the firm’s investment platform. Key Responsibilities Design and help execute the annual Compliance Monitoring Plan in collaboration with senior leadership. Lead the daily monitoring program focused on regulated investment management activities. Conduct surveillance related to market abuse risks and trading activity. Review and monitor best execution and transaction reporting obligations. Assess and manage potential conflicts of interest across business units. Stay current on regulatory updates and assess their impact on operations and internal policies. Provide strategic and operational compliance advice, including support for new initiatives and business developments. Support the delivery of required regulatory filings and reports in a timely and accurate manner. Drive internal awareness of regulatory responsibilities and foster a culture of compliance and ethical conduct. Oversee competence and training requirements for relevant staff in regulated roles. Evaluate and maintain systems and controls to ensure ongoing compliance with applicable standards. Provide oversight for data protection activities, including handling of access requests. Draft, maintain, and update compliance policies and procedures in line with best practices and regulatory developments. Candidate Profile 5 years of experience in investment or asset management Trading and portfolio management compliance experience Strong initiative and self-direction, with excellent prioritisation and time management skills. Exceptional written and verbal communication capabilities. Comfortable working under pressure and delivering to tight deadlines. In-depth understanding of relevant regulatory frameworks (e.g., conduct rules, AML standards).
This advertiser has chosen not to accept applicants from your region.
3
Compliance Officer
Aberdeen, Scotland
AGR
Posted today
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Job Description
AGR are working closely with our Aberdeen-based client to recruit a Compliance Officer to join its team on a temporary basis until the end of 2026. About the role: This role will be responsible for designing, implementing and overseeing the company’s compliance and data privacy frameworks. This role promotes ethical conduct and provides support to the organisation on compliance and privacy matters. The Compliance Officer will serve as the primary liaison with regulations and oversee internal compliance activities, including those related to privacy and ethical conduct, as well as compliance-related investigations and training programs. The role will also involve some support for company secretarial and corporate Governance matters. Key duties and responsibilities: • Develop and maintain a risk-based and robust compliance framework aligned with key risk areas including Anti-Bribery and Corruption (ABAC), Antitrust/Competition Law, Fraud, Conflicts of Interest, and Trade Compliance • Conduct ongoing compliance risk assessments and lead remediation efforts • Monitor evolving regulations and guide updates to internal policies • As a key element of the compliance framework, establish and implement risk-based third-party risk management procedures, including due diligence, monitoring, and relevant assurance processes • Design and implement company-wide compliance training programs, including the establishment of a risk-based nominations process, more tailored training for higher-risk roles, and periodic effectiveness assessments • Prepare and present compliance performance reports as well as continuous improvement plans and objectives to leadership on a periodic basis • Establish and maintain an Ethics and Compliance communications plan, including periodic leadership and staff internal communications and external communications to business partners where appropriate • Lead responses to regulatory inquiries, audits, and examinations • Triage reports of misconduct and lead or oversee investigations, including maintaining proper records on outcomes and remediation where applicable • Develop and maintain a comprehensive policy governance framework, ensuring periodic review, proper version control, and accessibility to relevant stakeholders • Coordinate a business-as-usual compliance monitoring and assurance program • Responsibility for implementing, managing and promoting internal reporting mechanisms together with management and other key roles At AGR we are committed to finding the best fit for our team, building a unique and exciting environment. Even if you don’t meet every requirement below but you feel you have something to bring to the table please still apply or get in touch with a member of our recruitment team. Work Experience: • Proven experience in senior compliance and/or data privacy roles, preferably within industries such as oil and gas • Strong understanding of global compliance and privacy standards (e.g., UK GDPR, DPA 2018) • In depth knowledge of enforcement regimes and regulatory expectations as related to corporate compliance programs, including but not limited to the FCPA, UK Bribery Act, OFAC sanctions, and other relevant international frameworks. Experience in implementing privacy programs, conducting risk assessments, and managing incidents • Excellent leadership, communication, and stakeholder engagement skills • Legal, finance or compliance-related qualifications preferred • Privacy certifications such as CIPP/E, CIPM, or ISEB Data Protection are highly desirable • Familiarity with frameworks such as ICO’s Accountability Framework, NIST Privacy Framework, and ISO 27001 is beneficial.
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4
Compliance Officer
London, London
Career Legal
Posted today
Job Viewed
Job Description
Compliance Officer International Law Firm Permanent – London Salary Up To £60,000pa Benefits My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer. This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake. As the successful Compliance Officer, you’ll be responsible for: Analysing conflict search results to identify potential conflicts Researching new clients for CDD purposes Managing incoming requests for new client/matter openings Assisting with testing software upgrades linked to the Business Acceptance team Conducting sanctions screening much more. To be considered for this Compliance Officer opportunity, you’ll need to have/be the following: Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts Have experience using Intapp Open Be able to work under pressure and prioritise effectively Be able to commute to the London office For more information on this position and to see an in-depth job description, get in touch as soon as possible. This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
5
Compliance Officer
London, London
Career Legal
Posted today
Job Viewed
Job Description
Compliance Officer International Law Firm Permanent – London Salary Up To £60,000pa Benefits My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer. This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake. As the successful Compliance Officer, you’ll be responsible for: Analysing conflict search results to identify potential conflicts Researching new clients for CDD purposes Managing incoming requests for new client/matter openings Assisting with testing software upgrades linked to the Business Acceptance team Conducting sanctions screening much more. To be considered for this Compliance Officer opportunity, you’ll need to have/be the following: Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts Have experience using Intapp Open Be able to work under pressure and prioritise effectively Be able to commute to the London office For more information on this position and to see an in-depth job description, get in touch as soon as possible. This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
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6
Compliance Officer
London, London
Edenbrook
Posted today
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers. Key Responsibilities: Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager. Liaise with insurers on renewals, compliance issues and required changes. Monitor and communicate regulatory/legislative developments. Identify and address compliance risks, providing guidance, support and training. Keep policies, procedures and manuals up to date. Develop and maintain an audit framework; conduct reviews and implement corrective actions. Act as key contact for external audits and oversee follow-up actions. Assess adequacy of internal systems, processes and record keeping. Provide compliance input on products, services and procedures. Support complaints handling and embed lessons learned. Work closely with operational teams to ensure compliance supports business activity. Knowledge, Skills & Experience: 5 years in a broad compliance role within insurance. Relevant qualification (ACII/ICA) desirable. Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR). Experience with compliance monitoring systems. Experience drafting service agreements/delegated authorities (desirable).
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7
Compliance Officer
London, London
Edenbrook
Posted today
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers. Key Responsibilities: Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager. Liaise with insurers on renewals, compliance issues and required changes. Monitor and communicate regulatory/legislative developments. Identify and address compliance risks, providing guidance, support and training. Keep policies, procedures and manuals up to date. Develop and maintain an audit framework; conduct reviews and implement corrective actions. Act as key contact for external audits and oversee follow-up actions. Assess adequacy of internal systems, processes and record keeping. Provide compliance input on products, services and procedures. Support complaints handling and embed lessons learned. Work closely with operational teams to ensure compliance supports business activity. Knowledge, Skills & Experience: 5 years in a broad compliance role within insurance. Relevant qualification (ACII/ICA) desirable. Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR). Experience with compliance monitoring systems. Experience drafting service agreements/delegated authorities (desirable).
This advertiser has chosen not to accept applicants from your region.
8
Compliance Officer
Career Legal
Posted 1 day ago
Job Viewed
Job Description
Compliance Officer
International Law Firm
Permanent – London
Salary Up To £60,000pa + Benefits
My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer.
This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake.
As the successful Compliance Officer, you’ll be responsible for:
- Analysing conflict search results to identify potential conflicts
- Researching new clients for CDD purposes
- Managing incoming requests for new client/matter openings
- Assisting with testing software upgrades linked to the Business Acceptance team
- Conducting sanctions screening
+ much more.
To be considered for this Compliance Officer opportunity, you’ll need to have/be the following:
- Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm
- Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts
- Have experience using Intapp Open
- Be able to work under pressure and prioritise effectively
- Be able to commute to the London office
For more information on this position and to see an in-depth job description, get in touch as soon as possible.
This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
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