Internal Control, Regulatory and Compliance Officer Jobs in Windsor, South East England, England | Glassdoor
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Internal Control, Regulatory and Compliance Officer Jobs in Windsor, South East England, England

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  • 2.0
    Head Office – Watford, East of England, England
    NEW
    RegulatoryOfficer - GDP experience needed Location: Watford Hours: 3 days minimum available (Ideally looking for someone full… (e.g. overdue change controls) communicated to management. RP and Directors kept informed of internal & external audit schedules…
  • Panoramic Associates – London, England
    1 days ago 18hr
    Governance and ControlOfficer. This role would entail supporting the operations team in making sure that operational control and governance… environment ·Experience of regulatory guidelines- FCA ·Working with third party suppliers ·Compliance within financial services…
  • 4.3
    Search Consultancy – London, England
    1 days ago 23hr
    Performing work towards any regulatory reporting - FATCA and CRS. Participating in InternalCompliance Team Meetings. Design,… ComplianceOfficer - Overseas - £45,000 Our client who has a UK and European presence is recruiting for a Compliance Officer…
  • 5.0
    LR Legal Recruitment – London, England
    1 days ago 23hr
    Reporting to the Compliance Manager, the role of ComplianceOfficer is to ensure that the company complies with existing regulations… expanding global company. For more information about this ComplianceOfficer role please contacts Fran Butcher at LR Legal Recruitment…
  • 3.4
    HSBC – London, England
    NEW
    meeting and steering committees, as defined by the Executive Officer, Europe RC; Supporting other functional change initiatives… stakeholders Very strong knowledge of the external environment - regulatory, political, competitors etc. Experience Evidence…
  • 3.4
    BNP Paribas – London, England
    23 days ago 23d
    legal, regulatory and internalCompliance requirements, including, but not limited to, the UK Compliance manual and Compliance policies… of the Compliance UK Control Plan taking into account the Generic Control Plan(s) (“GCP”), risk assessments, internal audit and…
  • 3.4
    Société Générale – London, England
    1 days ago 21hr
    advisory compliance officers and/or the Control Room on monitoring related issues as appropriate Assisting in regulatory and internal… and other regulatory and exchange rules and regulations as required Maintaining awareness of key EU / FCA regulatory updates…
  • 3.4
    Deutsche Bank – London, England
    NEW
    adequacy and effectiveness of internalcontrols and to address compliance with local regulatory requirements. Therefore, to be… ComplianceOfficer, Asset Management - ComplianceControls Testing Job ID: 3153620 Full/Part-Time: Full-time…
  • 3.1
    BNY Mellon – London, England
    15 days ago 15d
    pace of regulatory change, particularly in Europe, BNY Mellons Compliance Division recently created an EMEA Regulatory Change department… Reporting to the EMEA Head of Regulatory Change, the role of the EMEA Regulatory Change Compliance Manager is primarily to support…
  • 3.4
    BNP Paribas – London, England
    23 days ago 23d
    Commodity Derivatives ComplianceOfficer. Market Conduct As appropriate to seek to implement Regulatory, Group and CIB standards… Legal and Regulatory Responsibilities Comply with all applicable legal, regulatory and internalCompliance requirements,…
  • 3.4
    Société Générale – London, England
    8 days ago 8d
    reporting, regulatory watch of disclosures rules Summary of the Key Purposes of the Role The Senior ComplianceOfficer of the… advising the business on deal related matters and regulatory issues , ensuring compliance to policies and procedures, training, contributing…
  • 3.7
    Swiss Re – London, England
    11 days ago 11d
    of the ComplianceOfficer, is to support the Head of Compliance, iptiQ EMEA, in the identification, management and control of Compliance… ensure compliance with regulations, standards and applicable laws. About You You are an experienced ComplianceOfficer who…
  • 3.4
    BNP Paribas – London, England
    21 days ago 21d
    Generic Control Plan(s) (“GCP”), risk assessments, internal audit and Compliance Reviews recommendations and regulatory requirements… Legal and Regulatory Responsibilities Comply with all applicable legal, regulatory and internalCompliance requirements…
  • 3.7
    Morgan Stanley – London, England
    22 days ago 22d
    Infrastructure Compliance Function is responsible for the second line oversight of infrastructure based regulatory processes supporting… Responsibilities Compliance Advisory Initially providing support and coverage across the various regulatory reporting obligations…
  • Independent Appointments (UK) Ltd – London, England
    24 days ago 24d
    ComplianceOfficer sought to ensure that the company complies with existing regulations and internal policy and ensure that all… Role will involve managing regulatory submissions and providing Compliance training, technical guidance, support and tailored feedback…
  • 3.4
    BNP Paribas – London, England
    17 days ago 17d
    Legal and Regulatory Responsibilities Comply with all applicable legal, regulatory and internalCompliance requirements… Contribute to the coordination of the Compliance operational permanent control framework and related reporting Research…
  • 3.6
    J.P. Morgan – London, England
    NEW
    to operate under own initiative. · Exposure to regulatory and internalcontrol requirements, particularly in relation to effective… to day involvement in the core responsibilities of Control Room Compliance including: · maintaining and monitoring the firm'…
  • BSM Group – London, England
    NEW
    Legal and Regulatory Responsibilities Comply with all applicable legal, regulatory and internalCompliance requirements… Fraud. Contribute to the coordination of the Compliance operational permanent control framework and related reporting Research…
  • 3.4
    Flight Centre (Uk) Limited – New Malden, England
    28 days ago 28d
    -award winning company as an Operational Security and ComplianceOfficer at Head Office, New Malden (20 minutes from London Waterloo… rewards and benefits For this Operational Security and ComplianceOfficer role, you'll receive a competitive salary of £55,000.…
  • 3.5
    SEI Investments – London, England
    11 days ago 11d
    leads in Compliance to help the department in its general objective to ensure that the SIEL governance and internalcontrol structures… individual, with compliance and/or regulatory experience and with evidence of a clear desire to work in a dedicated Compliance role, to…
  • 3.4
    Bnp Paribas – London, England
    NEW
    IT, Compliance and business stakeholders to design, implement and manage communications surveillance processes and controls.… E-communications Surveillance controls. · Assist in the implementation of a new Voice Surveillance control for the detection and prevention…
  • 3.6
    J.P. Morgan – London, England
    NEW
    · Experience in Auditing, Accounting, InternalControl and/or Finance · Regulatory Knowledge of CCAR, DFAST, FR Y-14, R-Y10… Interaction with other CTC Finance Control Programs · Sarbanes Oxley (SOX) compliance and control program · Annual planning and…
  • 5.0
    Lawes Consulting Group – United Kingdom
    13 days ago 13d
    ensure compliance with regulatory requirements ·Assist in the gathering of internal information in response to regulatory requests… Broker (Insurance, Compliance) Job role:- An exciting opportunity has become available for a ComplianceOfficer/Manager to join…
  • Centre People Appointments – London, England
    NEW
    looking for an experienced ComplianceOfficer to join their setup here as a responsible officer (FCA Controlled Function Approved Person… and credit risk control o ensuring all activities comply with FCA rules, regulations and regulatorycompliance • Review and update…
  • 3.4
    BNP Paribas – London, England
    15 days ago 15d
    Within Compliance, the FSCO entails providing technical compliance advice across CIB business areas, on regulatory issues and… significant degree of ‘self-starting’. The Financial Security ComplianceOfficer performs a number of functions, which include: • Supporting…
  • 3.2
    PIMCO – London, England
    NEW
    private equity). Reporting to EMEAs Head of RegulatoryCompliance the ComplianceOfficer for Alternatives will have primary responsibility… and private equity within the broader RegulatoryCompliance team. The ComplianceOfficer for Alternatives is expected to have extensive…
  • 3.6
    Credit Suisse – London, England
    16 days ago 16d
    activities in a regulatory complaint manner and in observance of the external regulatory requirements and internal policies, etc.… The Chief Compliance and Regulatory Affairs organization at Credit Suisse strives to become a dedicated, independent function…
  • 3.6
    J.P. Morgan – London, England
    9 days ago 9d
    standards and ensure compliance with internal and regulatory obligations · Prepare material to support GMI control committee and for… understands all risks and has the appropriate controls in place. . The controlofficer will be responsible to work with the market…
  • 3.5
    Wells Fargo – London, England
    4 days ago 4d
    Designation Compliance Surveillance Officer Region EMEA Country United Kingdom City London Job Family Risk/Compliance Market… Income Advisory Compliance. The key purpose of the role is to develop, perform and maintain RegulatoryCompliance surveillance on…
  • 3.5
    SEI Investments – London, England
    8 days ago 8d
    Head of Compliance to help the department in its general objective to ensure that the SIEL governance and internalcontrol structures… significant compliance and/or regulatory experience and with strong evidence of a clear desire to work in a dedicated Compliance role,…
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