COMPLIANCE TESTING AND MONITORING jobs in GREATER LONDON, United Kingdom #2

thematic compliance monitoring and testing including production of reports and recommendations Reviewing and researching AML...About the job: The Risk and Compliance department constitutes Saxo's second line of defence. Its mission...

and assessment, monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation... CF&O divisions compliance with regulations and firm policies Recommend compliance testing work to be performed for CF...

as our IT SOX Risk and Compliance Manager on a permanent, full time basis. This role is responsible for managing our SOX... (Sarbanes-Oxley) compliance program. This is a hybrid role with occasional travel required to our Staines office and European...

independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses...Job Description: OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational...

and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the... and assessment Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation...

teams to ensure testing and ongoing monitoring properly considers and mitigates compliance risks Develop and implement... independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses...

. Contributes to the performance of the Compliance risk assessment, testing and monitoring program, and new business regulatory... line with firmwide changes, to define relevant monitoring & testing activities; and Prepares materials for regional...

line with the execution of the Compliance Monitoring Program (CMP). Reviewing and approving financial promotions... opportunity for a junior Compliance Analyst, for someone looking to start a career in compliance, and work in a fast-paced FinTech...

and our regulators. The Compliance Manager will deliver monitoring activities across the Group, ultimately to provide assurance... and our regulators. What you will be working on: Contributing to the creation and maintenance of the Compliance Monitoring Plan...

line with the execution of the Compliance Monitoring Program (CMP). Reviewing and approving financial promotions... for a junior Compliance Analyst, for someone looking to start a career in compliance, and work in a fast-paced FinTech start-up...

of a required governance and control frameworks, including compliance monitoring and assurance. Work with regulatory and compliance teams...Job title: Cyber Security Technical Governance, Risk & Compliance Analyst Office location: Hammersmith - hybrid...

) With guidance from the compliance team, lead the implementing and monitoring of appropriate policies for compliance with FCA... of new regulated advisers Developing, updating and compliance monitoring of regulated advice processes Updating and signing...

place. Work closely with compliance monitoring and audit teams to support oversight of the UK Products compliance Manage... projects from a compliance perspective. Plan and manage the testing of policies and procedures for multiple business units...

, including Surveillance, Monitoring and Testing routines. The successful candidate will be required to keep abreast of regulatory...Job Description: Job Title: Compliance and Operational Risk Manager (Equities) Location: London Corporate Title...

of Plaid's 2LoD team. Partnering with the Compliance Monitoring and Testing team to facilitate ongoing reviews and obtain... this transformation by building the tools that thousands of developers use to create their own products. The Risk & Compliance Team...

be doing: Work closely with and assist OA department head in developing a risk and compliance strategy for the S&H archetype... that is aligned to WPP CSO and WPP IT strategies. Establish security, risk & compliance community across the range of S&H agencies...

with the second line monitoring and testing team to ensure effective oversight and assurance arrangements are in place.... For everyone, everywhere. More about . Job Description We're looking for a Senior Compliance Manager to help scale our investment product and support our Finance and Treasury...