Regulatory compliance jobs in Mitcham - Page 3Create job alerts

Providing compliance advice across MiFID and FCA regulatory topics, interacting closely with senior business stakeholders * Perform horizon scanning activities to keep the business up to date on ...

As the Compliance Manager (UK, EU & USA), you will play a pivotal role in ensuring the firm meet key regulatory requirements. Working closely with the Head of Compliance and reporting to the Director ...

Senior Regulatory Affairs Manager Warman O'Brien are searching for a Senior Regulatory Affairs ... Ensuring products remain compliant with relevant legislation * License maintenance activities ...

... the regulatory and risk framework for the UK and International entities, including controls ... Collaborate with the global Ethics and Compliance team and other risk and assurance functions to ...

You'll have gained several years' Compliance experience focused on investment products and have a detailed knowledge of UK regulatory requirements in this space, including MiFID, AIFMD, MAR, UCITS ...

Ensure regulatory compliance with food and feed safety, quality and defence as it relates to UK , EU and GFSI (BRC) requirements, Organic, Halal, FAMIQS and Kosher. * Develop and maintain regulatory ...

In a generalist role, you will work across all aspects of compliance, including advisory, core compliance, and regulatory change. You will also be involved in a range of exciting projects, such as ...

Making sure systems and controls are in place to ensure that operations are compliant with all relevant regulatory bodies. * Execute the annual Compliance plan with support from the Compliance Team

Fulfilling the second line of defence mandate with respect to compliance oversight by providing ... Financial services and have a solid understanding of the FCA rules and regulations * Risk-based ...

You need to have at least 4 years experience of working in compliance for an insurance business, have knowledge of Lloyd's and FCA regulation and a desire to work in a fast-moving, early-stage ...

As the Compliance & Risk Manager, you'll be responsible for overseeing the client onboarding process, ensuring all CDD checks and regulatory requirements are met. You'll lead a team of compliance ...

Supervise the ongoing enhancement of global Compliance Frameworks, ensuring they effectively adapt to evolving regulatory and business landscapes. * Conduct risk assessments and analyse the impact of ...

Lead compliance efforts, supporting the organisation's commitment to regulatory excellence. * Professional Development: Gain exposure to industry-best practices and regulatory frameworks while ...

Regulatory Compliance Implementation: Implementing and maintaining compliance with regulatory requirements within the business unit. Delivery of Operational Control Plan: To ensure 1st line ...

Responsibilities will include: - regulatory change monitoring - coordinating regulatory authorisation filings - advising business on regulatory matters - assisting with redesigning Compliance ...

Compliance Monitoring: * Monitor changes in regulatory requirements and assess their impact on the organization's reporting processes. * Collaborate with compliance teams to ensure adherence to ...

Providing regulatory advice and guidance to the business that, whilst remaining commercially attuned, ensures the delivery of good outcomes. * Developing compliance policies and procedures to educate ...

Provide strategic advice to the Board on regulatory changes and implications for the business. * Oversee compliance monitoring programs and reporting, ensuring adherence to internal policies and ...

Monitor and assess compliance with regulatory requirements and internal policies. * Develop and implement compliance policies and procedures. * Conduct periodic compliance reviews and audits

... compliance. You will be accountable for quality, accurate and timely risk-based advice, which ... Regulatory Adaptations * Specification/pack copy review * Artwork review * Alignment Check (PLV/PAC ...

Preparing the firm for regulatory & external audits * Renewing solicitors SRA practising certificates * Delivering compliance inductions to all new joiners * Handling Data subject access requests ...

As a Lettings Compliance Manager, you will play a pivotal role in ensuring that all properties under management adhere to the latest legal and regulatory standards. This is a fantastic chance to ...

I am recruiting for a Compliance Officer for one of my well established Insurance clients in the ... regulation knowledge

Experience with dealing with regulatory queries and general risk and compliance matters in a law firm. * Strong attention to detail and an ability to handle confidential information in a professional ...