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

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  • 4.5
    ACA Compliance Group – London, England
    EASY APPLY
    22 days ago 22d
    experience of working at the FCA, for a compliance consultancy or as an in-house Compliance Officer. Whilst this is not a business development… clients; • Managing or participating in regulatory projects, such as annual compliance audits or mock examinations; • Conducting…
  • 3.4
    Bank of America – London, England
    10 days ago 10d
    The Compliance Specialist, assists the Compliance officer team in activities to contribute to the independent compliance oversight… Program and the Global Compliance Enterprise Policy (GC Policy). As a member of a FLU or CF compliance officer team, this role applies…
  • 3.4
    AXA – London, England
    14 days ago 14d
    297673 - Global Compliance Officer - H/F (AXA IM - Global COO) Posted: 1/3/2017 Location: London Position: Permanent… and procedures within Compliance that support business development and are in line with applicable regulatory requirements. -Provide…
  • 3.0
    Norton Rose – London, England
    25 days ago 25d
    Job Title Senior Compliance Officer Role Business Services Practice Group/Department Compliance Job Category… Hong Kong. The Team comprises five other lawyers and ten Compliance Officer staff, some of whom have law degrees and all of whom have…
  • 2.7
    Vitality – Croydon, England
    16 days ago 16d
    our Senior Compliance & Risk Officer, you will have the below skills and experience: - Extensive regulatory compliance experience… Rewards As our Senior Compliance & Risk Officer your primary responsibility will be first line Compliance and Risk to support the…
  • 3.6
    Morgan Stanley – London, England
    25 days ago 25d
    relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses. Global… firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain…
  • 5.0
    Harris Lord Group – Wimbledon, England
    19 days ago 19d
    Documentation Officer on a permanent basis. The successful candidate will be responsible for ensuring compliance throughout all… Quality Assurance documentation officer An excellent opportunity has arisen to further develop your career and build on your QA…
  • 3.3
    Deutsche Bank – London, England
    11 days ago 11d
    Tracking AML issues identified either through regulatory and internal audit reviews, Compliance Advisory and the divisions to ensure closure… and regulatory requirements from a UK and divisional perspective Where requested by either the business or Compliance Advisory…
  • 3.3
    Marsh – London, England
    4 days ago 4d
    Compliance Monitoring Officer Marsh are recruiting an experienced Compliance Monitoring Officer to be based in Tower Hill… Hill, London. The Compliance Monitoring Officer will support, and occasionally lead, risk-based Compliance Monitoring reviews…
  • 3.0
    BNY Mellon – London, England
    6 days ago 6d
    the Chief Compliance and Ethics Officer and Head of Compliance EMEA immediately on discovery of any material regulatory breach.… the advisory aspects of regulatory compliance and excludes responsibility for oversight of CASS Compliance. Alongside respective…
  • 3.6
    Badenoch & Clark – United Kingdom
    2 days ago 2d
    , ensuring legislative compliance. *Assisting and advising on all aspects of compliance and regulatory law, including GMC, NMC… substance of complaints. *Supporting the Ethics and Compliance Officer with their day to day role, including design and delivery…
  • Harris Global – Reading, England
    4 days ago 4d
    Security Officer, BISO, Reading, Governance & Risk, Threat Intelligence, CISSP. The Business Information Security Officer (BISO… , CISA, CRISC, GIAC, CIPP. Business Information Security Officer, BISO, Reading, Governance & Risk, Threat Intelligence, CISSP…
  • 4.8
    Oliver James Associates Limited – City of London, England
    5 days ago 5d
    Investment Banking Regulatory Specialist - MiFID, Transaction Reporting SystemsLondon City Up to £170,000 plus full benefits… with a large team in London is looking for a deep technical regulatory expert. We are looking for someone with a thorough knowledge…
  • 3.8
    M&G – London, England
    12 days ago 12d
    co-ordination with M&G and UK&E Compliance, as relevant); • Provide advice in event of compliance/regulatory breaches and advise business… Training: Prepare and deliver training on (i) new compliance policies, (ii) regulatory hot topics/focus areas; and deliver (and where…
  • 3.5
    MTN – London, England
    4 days ago 4d
    Senior Officer Quality Assurance in University College Hospital, London. Job description We are looking for a Senior Officer Quality… release Education, experience and core skills As a senior Officer Quality Assurance you have be educated to degree level in Pharmacy…
  • 3.3
    AXA Rosenberg – London, England
    14 days ago 14d
    297673 - Global Compliance Officer - H/F (AXA IM - Global COO) Posted: 1/3/2017 Location: London Position: Permanent… and procedures within Compliance that support business development and are in line with applicable regulatory requirements. -Provide…
  • 3.2
    Marsh & McLennan – London, England
    4 days ago 4d
    Compliance Monitoring Officer Marsh are recruiting an experienced Compliance Monitoring Officer to be based in Tower Hill… Hill, London. The Compliance Monitoring Officer will support, and occasionally lead, risk-based Compliance Monitoring reviews…
  • 2.9
    First Data Corp – London, England
    30+ days ago 30d+
    Merchant Services Europe ("BofAML Merchant Services") regulatory compliance program, with focus on comprehensive program strategy… purposes. Emphasis on strong strategic approach to regulatory compliance that meets the needs of BofAML Merchant Services today…
  • 3.7
    Search Consultancy – London, England
    30 days ago 30d+
    spreadsheets for the Board MI o Liaise with external Compliance Consultants on regulatory updates and recommend process changes to CEO… the Web site in association with the Marketing Manager, T&C Officer and CEO as necessary o Remain up to date with the requirements…
  • 3.6
    J.P. Morgan – London, England
    5 days ago 5d
    procedure sufficiency analysis. · Regulatory and audit exam management support regulatory and audit requests and issue tracking… demonstrate compliance with obligation & partner with broader Assessment Team members including Legal, Compliance, and Risk, to…
  • 3.6
    Northern Trust – London, England
    12 days ago 12d
    specifically in EMEA. Capital Markets & Treasury Compliance Officer The Compliance Officer (CO) for Northern Trust’s Capital Markets… business and Compliance partners to ensure regulatory and corporate obligations are met. To effectively achieve compliance goals, the…
  • 3.4
    BNP Paribas – London, England
    4 days ago 4d
    risk - Understands the market, credit, operational, compliance, legal, regulatory and reputational risks of transactions he/she managers… risk in his/her daily activities and abides by the Key Front Officer Responsibilities, where relevant Corporate role model,…
  • 3.4
    BNP Paribas – London, England
    5 days ago 5d
    risk - Understands the market, credit, operational, compliance, legal, regulatory and reputational risks of transactions he/she managers… risk in his/her daily activities and abides by the Key Front Officer Responsibilities, where relevant Corporate role model,…
  • 3.7
    EY – London, England
    20 days ago 20d
    papers in key demand areas such as regulatory compliance and the role of the Chief Data Officer. Your key responsibilities… reduction, exploiting growth opportunities, ensuring regulatory compliance and the successful integration of acquisitions, our…
  • 3.3
    Deutsche Bank – London, England
    4 days ago 4d
    cover the entire range of Finance change programmes from regulatory compliance to top strategic programmes. Thereby, the teams cover… divisions and regions reporting directly to the Chief Financial Officer. Finance Change works on a global programme portfolio…
  • 2.8
    Shawbrook Bank – Dorking, England
    5 days ago 5d
    within our compliance function. The Head of Compliance Advice will be responsible for supporting the Chief Compliance Officer (CCO)… lead a team of Compliance Advisory and Regulatory Change professionals. Relationship management of regulatory bodies including…
  • 3.4
    Willis Towers Watson – London, England
    7 days ago 7d
    responsibilities will be to assist the Compliance Officer for TWIMI and TWIM execute the Compliance Programme for the Funds business… Maintenance and Management of the Compliance policies of the firm in coordination with the Compliance Officer, including Conflicts Inventory…
  • 3.4
    BNP Paribas – London, England
    5 days ago 5d
    risk - Understands the market, credit, operational, compliance, legal, regulatory and reputational risks of transactions he/she managers… risk in his/her daily activities and abides by the Key Front Officer Responsibilities, where relevant Corporate role model, integrity…
  • 3.4
    Wells Fargo – London, England
    5 days ago 5d
    Information Security Officer Region EMEA Country United Kingdom City London Job Family Risk/Compliance Market Job Description… programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering…
  • 3.6
    Northern Trust – London, England
    19 days ago 19d
    Capital Markets & Treasury Compliance Officer – Broker-Dealer/NTS LLP The Compliance Officer (CO) for NTS LLP is responsible… and liaise closely with NTSI and NTS LLP Compliance, APAC on regulatory and compliance matters Review research, investment recommendations…
  • 3.8
    Capital One – London, England
    12 days ago 12d
    information, protect it from unauthorised access, and ensure regulatory compliance. Information Security has a significant effect on privacy… company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers…
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