167 Compliance Officer Jobs in Surrey

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...

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Key responsibilities include but are not limited to: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the Plan and propose remedial actions. Day to day management of t...

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Our Team: Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's lead...

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The Value of Active Minds About Jupiter Jupiter is one of the UK's leading investment management companies with just over 500 employees and 51.4 billion worth of assets under management (as at 30th June 2023). Jupiter provides investment services to ...

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The Value of Active Minds About Jupiter Jupiter is one of the UK's leading investment management companies with just over 500 employees and 51.4 billion worth of assets under management (as at 30th June 2023). Jupiter provides investment services to ...

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This London-based firm is an established player in the Financial Services industry. With a large team of specialists, the company is recognised for its exceptional services and commitment to maintaining the highest standards of integrity and transpar...

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Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk ass...

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Requirements: · Minimum of 5 years of experience in internal and/or external audit, compliance testing team or a similar function within the financial industry · Extensive experience in compliance test planning, processes and controls design assessme...

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Summary 33,000 - 41,800 per annum | 30-35 days’ holiday (pro rata) | 10% in-store discount | Pension scheme Everyone who works at Lidl brings something unique to the table - but we also have a whole lot in common. We’re curious, collaborative and rea...

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Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule,...

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The Compl Bus Control Sr Officer is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and the business. Typically a small number of people within the business that provide the same ...

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Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or r...

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Contract Officer (Compliance) ( 42,428 per annum, permanent, full-time) Job Role A role has become available in the Asset Team for a Contract Officer (Compliance), to co-ordinate the day to day running of the asbestos and water hygiene compliance con...

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Information Officer - Compliance & Assurance - Counter Terrorism Policing HQ The starting salary is 33,348, which includes allowances totalling 2,841. The salary is broken down as 30,507 basic salary, which will increase annually until you reach the ...

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Responsibilities: Responsibilities (brief): - Responsible for assisting the Compliance Team in the execution of their duties, and in particular duties concerning the oversight and management of Delegated Authority - Reporting to the Delegated Authori...

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Responsibilities (brief): Responsible for assisting the business in management of its Conduct Risk Framework, embedding the Consumer Duty and related tasks Support the CO/DCO in embedding, promoting and supporting a transparent, positive and proporti...

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Location : Head Office (Wokingham UK) Contract Type : Permanent Job Type: Full time Salary : 25,000 - 30,000 per annum Benefits : Family feel company • Flexible working hours • Training and progression opportunities • Annual performance and salary re...

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Practice Group / Department: Risk & Compliance Legal Management - London Job Description We're Norton Rose Fulbright - a global law firm with over 50 offices and 7,000 employees worldwide. We provide the world’s preeminent corporations and financial ...

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Our client is a specialist hedge fund, HQ'd in London. After recent good performance and the recent launch of new funds, they are now looking to add a Compliance Manager to their existing team in London. Reporting into the Chief Compliance Officer, t...

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Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design ...

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Key Responsibilities: Stay abreast of regulatory developments, industry trends, and best practices to ensure compliance with all applicable laws and regulations. Provide timely and accurate advice to internal stakeholders on regulatory requirements a...

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Vice President Compliance Investment Banking London – Up to 100,000 Gresham Hunt has been mandated by our UK Investment Banking client to find a new Compliance Advisory Officer. Our client is a top UK banking group, with a strong worldwide presence. ...

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Position description Business unit Legal, Secretary General & Compliance - Compliance Job title Internal Control Officer Junior F/M Contract type Permanent Candriam Group Presentation Candriam is a global multi-specialist asset manager and a recogniz...

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Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule,...

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Key Responsibilities & Tasks Responsibilities will include, but not be limited to: • Support and implement the annual Compliance Plan, identifying areas requiring additional monitoring and testing. • Provide guidance on ethical and conduct related ma...

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