15 compliance legal jobs found

We believe that the way people interact with their finances will drastically improve in the next few years. We’re dedicated to empowering this transformation by building the tools and experiences that thousands of developers use to create their own products. Plaid powers the tools millions of people rely on to live a healthier financial life. We work with thousands of companies like Venmo, SoFi, several of the Fortune 500, and many of the largest banks to make it easy for people to connect their financial accounts to the apps and services they want to use. Plaid’s network covers 12,000 financial institutions across the US, Canada, UK and Europe. Founded in 2013, the company is headquartered in San Francisco with offices in New York, Washington D.C., London and Amsterdam. The team is responsible for the financial management, regulatory reporting, prudential oversight, and safeguarding of customer funds for Plaid’s UK and EU regulated entities. This includes accounting,...

Reporting to the Global Head of Collateral & Liquidity Management (CaLM ) . The Head of Product for CaLM will own and lead the product strategy in conjunction with the Global Head of CaLM and the respective COOs globally for both Ltd & SA.     The role will define the roadmap together with CaLM COO and Global Head . Be responsible for the investigation into new collateral & investments initiatives across different asset classes to ensure they are efficient, aligned to regulatory requirements, competitively placed, aligned with market trends and regulatory requirements and deliver commercial value. The incumbent will work across business, front office, risk, sales, legal, ops, tech and finance functions to innovate and scale collateral & liquidity capabilities, while handling risk appropriately .     Key responsibilities of the role:     The Head of Product is a member of the CaLM Leadership Team and...

Ready to be pushed beyond what you think you’re capable of? At Coinbase, our mission is to increase economic freedom in the world. It’s a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform — and with it, the future global financial system. To achieve our mission, we’re seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company’s hardest problems. Our work culture is intense and isn’t for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there’s no...

About the Role: Responsibilities and Impact: Manages internal audit function and directs development plans. Provides strategic insights to Senior leadership and serves as a strategic partner to senior management.  Ensures adherence to professional standards and conducts special investigations. Oversees the audit plan and facilitates annual risk assessment.  Directs documentation of business processes and internal control audits.  Develops and implements global processes, procedures, policies, and initiatives.  Acts as point of contact with management for enterprise-wide internal organisation.  Partners with other functions to enhance governance, safeguard assets, and drive control improvements. The function reports directly to the OSTTRA TopCo Board as well as to the Boards of entities that require entity specific audits such as OSTTRA India Services Private Limited, and those regulated under MiFID II (EU or UK) or...

Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram .   Responsibilities This role reports into the Senior Vice President of Tax in London Deals Work closely with and support deal teams with Tax DD and structuring work streams on transactions and restructuring of portfolio investments, including review...

About the Role: Grade Level (for internal use): 05 S&P Global Energy Commercial and CX Summer Internship Role: S&P Global Energy Summer Intern - (Commercial and CX Team) The Location: London The Role: S&P Global Energy are seeking candidates that will be involved in working directly with our Commercial and CX teams. Interns will be given the opportunity to shadow and assist team members across functions  such as Customer Success, New Business, Regional & Strategic Sales, Commercial Specialists, Marketing and Channel Partners.  Interns will gain exposure and be provided with foundational training covering commodities such as Oil, Natural Gas, Power, Petrochemicals, Shipping, Agriculture, Upstream Solution and Climate Solution. This will be through various deliverables including a group project; they will be able to build a foundational knowledge of the commodity markets, develop essential business-related skills while learning about...

About the Role: Grade Level (for internal use): 10 Job Title:  Manager-Managed Services Team Lead Location:  London Department:  Cappitech Consulting Reports To:  Functional Manager, Managed Services Team Job Summary:   Managed Services Team  Lead for Regulatory Operations in Transaction Reporting will oversee the transaction reporting process to ensure compliance with regulatory requirements. This role will involve managing a team, developing and implementing operational strategies, and collaborating with various stakeholders to enhance reporting efficiency and accuracy. As part of a high-impact program, the position offers a unique opportunity to shape and lead engagement models, drive automation and data quality initiatives, and serve as a key interface between internal teams and external stakeholders. With broad exposure across legal, compliance, technology, and client-facing functions, this role is ideal for someone looking to make a meaningful...

About the Role: Grade Level (for internal use): 11 The Role :   The Associate Director - CARM (Content Acquisition & Rights Management) will support the centralized function within S&P Global responsible for the licensing, distribution and management of 3rd party content and services globally. This role will establish and manage relationships with various 3rd party content and services providers including stock exchanges (primarily in the EMEA & Americas regions), and help implement internal controls to ensure that use of such content and services contracts meet the needs of our businesses and ensure S&P Global’s compliance with all terms and conditions. The successful candidate will be expected to establish and manage relationships with various 3rd party data sources and exchanges, be responsible for negotiating commercial and contractual terms related to the business’s internal use and external redistribution of data across various proprietary...

We are hiring a Private Markets Specialist to join the CMC CapX team. CMC CapX is at the core of CMC Markets’ pivot toward private markets, fintech, and emerging asset infrastructure. It combines deep capital‑raising experience with cutting-edge technology—particularly tokenisation—to expand access, enhance liquidity, and redefine how private companies and investors connect globally. Key Responsibilities: Secondary Market Advisory : Advise fund managers and limited partners on secondary market opportunities, including fund restructurings, GP-led secondaries, and LP stake sales. Develop tailored solutions for liquidity needs, portfolio optimization, or strategic exits. Transaction Structuring and Execution : Structure and execute secondary transactions, including pricing analysis, term sheet negotiation, and deal syndication. Lead due diligence processes, including asset valuation, market research, and financial modelling. Collaborate with legal and compliance...

End Date Monday 22 December 2025 Salary Range £76,194 - £89,640 We support flexible working – click here for more information on flexible working options Flexible Working Options Flexibility in when hours are worked, Hybrid Working, Job Share Job Description Summary JOB TITLE: Inclusion and Partnering Senior Manager SALARY: £76,194 - £89,640 LOCATION(S): Bristol, Leeds and Halifax HOURS: Full-time WORKING PATTERN: Our work style is hybrid, which involves spending at least two days per week, or 40% of our time, at one of our office sites. Job Description About this Opportunity An exciting opportunity has arisen to join the Group Inclusion Team, providing expertise for the inclusion of under-represented ethnic minority colleagues and communities, while driving a culture that benefits all colleagues. By embedding strategies that remove barriers and foster equity, this role not only champions ethnic minority inclusion but also strengthens the wider...

About the Role: Grade Level (for internal use): 09 S&P Global Energy Commercial and CX Graduate Program Role: Associate, Commercial and CX   The Location: London The S&P Global Energy Commercial and CX Graduate Program journey begins with an intensive 5-week onboarding in our London office. The 3-months thereafter will be part of the EMEA Customer Success Team, focusing on building a foundational knowledge of the commodity markets, developing essential business-related skills while learning about various S&P Global Energy data, research and analytical products. With Customer Success, you would be a primary contact for clients, providing solutions to their requests in a timely, professional and courteous manner and providing training on S&P Global Energy products through virtual and onsite visits. The program will consist of rotations to customer success, sales, channel management and marketing functions. This will enable...

About the Role: Grade Level (for internal use): 10 The Team Control Room operates within the Compliance Monitoring and Exams pillar of S&P Global's Ratings Risk and Controls department. Our team members demonstrate initiative by connecting their daily surveillance and monitoring work to our broader organizational priorities of mitigating compliance, regulatory and reputational risk. We apply standardized monitoring and surveillance protocols to prevent or manage conflicts of interest and help the Ratings Division protect confidential information collected or generated as part of its credit rating activities. Control Room actively contributes to preserving ethical firewalls designed to manage conflicts of interest between different groups within the firm. Team members take ownership of ensuring that communications across ethical firewalls are conducted in accordance with principles set forth in the firm's code of business ethics, policies and operating procedures....

About the Role: Grade Level (for internal use): 11 Cyber Incident Response Analyst The Role As a Cyber Incident Response Analyst, you will be part of the Cyber Defence team that develops and oversees the company's security program, ensuring S&P Global is protected from existing and emerging threats. In close partnership with Security Operations and Threat Intelligence, you will detect, analyze, and decisively respond to security incidents, enrich investigations with timely intelligence, and help drive proactive defences. While based in the UK, you will support response and intelligence needs globally. Candidates should have a genuine interest in cyber security and a strong grasp of attacker tactics, techniques, and procedures (TTPs). This role requires a detail-oriented, critical thinker who understands how adversaries exploit systems, networks, and people—and how to respond. Experience applying threat intelligence to investigations and to improve detections is...

The Role: We are seeking a Business Resilience & Regulatory Specialist to play a key role in ensuring compliance with the Digital Operational Resilience Act (DORA) and supporting the transition to business-as-usual (BAU) processes . This role is strategically critical in strengthening our operational resilience, ensuring regulatory compliance, and mitigating potential operational disruptions. The successful candidate will have a strong regulatory background and be pivotal in meeting program delivery requirements while coordinating with various stakeholders. Experience in managing key stakeholder relationships and a solid technical understanding are essential.   Responsibilties: Regulatory Compliance & Framework Development: Support the implementation of a comprehensive business resilience framework aligned with DORA and other regulatory requirements (e.g., NIST, ISO 22301, ISO 27001). Develop training materials, policies, controls, and...

Since being founded in 2018, Copper has been building the standard for institutional digital asset infrastructure with a focus on custody, collateral management, and prime services. Led by Amar Kuchinad, Copper's Global CEO, the firm provides a comprehensive suite of custody, trading and settlement solutions that reduce counterparty risk and bring greater capital and operational efficiency to digital asset markets. At the heart of Copper's offering is Multi-Party Computation (MPC) technology – the gold standard in secure custody. Copper’s multi-award winning custody system is unique in that it can be connected to centralised exchanges, DeFi applications and even staking pools without the assets leaving the custody. Built on top of this state-of-the-art custody, ClearLoop is the first solution in the market that overcomes a growing industry challenge; counterparty risk with exchanges. This solution underpins a full prime services offering, connecting global exchanges, and...