74 compliance legal jobs found in London

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 .   Business Unit: Legal & Compliance Business Description: This role will work closely with the Global AML team and other members of the UK Financial Crime Team to support the maintenance and development of the Global AML program. Job Title:...

Role Profile An opportunity exists to join the Markets Compliance team as an Assistant Manager.  The team supports the securities and FX businesses of London Stock Exchange Group (LSEG), providing oversight, guidance, and challenge to ensure a robust compliance framework is maintained at all times.  The team establish and maintain compliance procedures, seek to educate staff to make sure we operate within regulatory frameworks, and develop relationships with regulators to provide a key two-way communication channel with the business. The successful candidate will provide guidance on the application of the rules and regulatory requirements that apply to the businesses that the team supports, in the context of business initiatives, new developments or regulatory change.  They will conduct periodic assurance reviews and provide challenge to the business leads, as required, ensuring appropriate processes and controls are maintained to meet the regulatory requirements.  They will...

End Date Friday 23 May 2025 Salary Range £0 - £0 We support flexible working – click here for more information on flexible working options Flexible Working Options Hybrid Working, Job Share Job Description Summary . Job Description JOB TITLE: Head of Business and Commercial Banking – Business Products, Conduct and Compliance Risk Specialist SALARY: £114,810 - £158,340 LOCATION(S): London, Edinburgh, Bristol or Birmingham 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 About this opportunity We’re on an exciting journey and there couldn’t be a better time to join us! We’ve put in place a fresh way we handle Non-Financial risk, empowering our people to take end-to-end accountability for being responsible for the risks that they face. We’re looking for a leader in our Business and Commercial Banking – Business Products...

Hello, we’re Starling. We built a new kind of bank because we knew technology had the power to help people save, spend and manage their money in a new and transformative way. We’re a fully licensed UK bank with the culture and spirit of a fast-moving, disruptive tech company. We’re a bank, but better: fairer, easier to use and designed to demystify money for everyone. We employ more than 3,000 people across our London, Southampton, Cardiff and Manchester offices. We are now looking for a Senior Compliance Monitoring Officer - Treasury to join the team. The purpose of this role is to provide second line of defence (2LoD) regulatory compliance oversight over  1LoD (first line of defence) / business teams, with a focus on the 1LOD Treasury function, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks. Key responsibilities include: Conduct Oversight reviews as part of a high performing Conduct &...

Blockchain.com is the world's leading software platform for digital assets. Offering the largest production blockchain platform in the world, we share the passion to code, create, and ultimately build an open, accessible and fair financial future, one piece of software at a time. We are hiring an Institutional Client Onboarding Associate to join Blockchain.com's Institutional Business Sales Team in London, UK.   You will be responsible for onboarding institutional clients and serve as a point of contact to coordinate all questions and requests from multiple internal stakeholders including legal, sales, compliance, and finance. You will collaborate closely with the current onboarding team as well as both the sales team to make the process as easy and fast as possible and the legal, compliance, and institutional product teams to gather all required information for them to make a decision. This will involve significant relationship management, managing a detail oriented...

About Us; LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It’s how we’ve contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years. Through a comprehensive suite of trusted financial market infrastructure services – and our open-access model – we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity. LSEG is headquartered in the United Kingdom, with significant operations in over 60 countries across EMEA, North America, Latin America and Asia Pacific. We...

ABOUT US: FTSE Russell is a global index leader providing innovative benchmarking, analytics and data solutions for investors worldwide. We calculate thousands of indexes that measure and benchmark markets and asset classes in more than 70 countries, covering 98% of the investable market globally. FTSE Russell index expertise and products are used extensively by institutional and retail investors globally. Approximately $15.9 trillion is benchmarked to our indexes. Leading asset owners, asset managers, ETF providers and investment banks choose FTSE Russell indexes to benchmark their investment performance and create ETFs, structured products and index-based derivatives. FTSE Russell is part of LSEG (London Stock Exchange Group) which is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience,...

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 innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy and Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform. Founded in London in 1866, the Group operates from more than 60 offices in 27 countries.  We are 5,200 people strong.  We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist. Role Overview TP ICAP’s Compliance Advisory function works in partnership with the...

About the Role: Grade Level (for internal use): 12 The Role:  S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones Indices (SPDJI) division, based in the UK. As a Compliance Director, you’ll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the indices division is effective and aligned with best practices. This role will report directly to the Head of Compliance, SPDJI. This is hybrid role with 2 days a week work from S&P Global London office. Responsibilities:  In this role, you will: Collaborate with divisional functions to implement relevant compliance policies and procedures, fostering a culture of adherence to laws and regulations. Provide oversight for the Division’s IOSCO assurance program. Offer advisory services on compliance matters and actively participate in relevant committees. Develop monitoring processes to ensure adherence to key policies and...

🚀 We’re on a mission to make money work for everyone. We’re waving goodbye to the complicated and confusing ways of traditional banking. After starting as a prepaid card, our product offering has grown a lot in the last 10 years in the UK. As well as  personal and business bank accounts, we offer joint accounts , accounts for 16-17 year olds , a free kids account and credit cards in the UK, with more exciting things to come beyond. Our UK customers can also save , invest and combine their pensions with us.  With our hot coral cards and get-paid-early feature, combined with financial education on social media and our award winning customer service, we have a long history of creating magical moments for our customers! We’re not about selling products - we want to solve problems and change lives through Monzo ❤️ Hear from our UK team about what it's like working at Monzo ✨ 📍London or Remote UK | 💰£93,500 - £126,500 (based on experience level) + stock...

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 .   Blackstone Private Wealth     Blackstone Private Wealth was established to answer the growing demand for Blackstone products from high-net worth investors. Partnering with many of the world’s largest private banks and wealth management firms as well as family...

We are currently looking to hire a Compliance Officer on an interim basis. Your position will involve supporting the MLRO of the German entity in ensuring that the firm meets its regulatory objectives, primarily in respect of client remediation and monitoring activities. Key Responsibilities: Assisting with the execution of Compliance Monitoring Programme (CMP), with a view on PAD (Personal Account Dealing) monitoring, transaction monitoring, AFC related controls Provide support in creating management information Assist with the ongoing client remediation projects Assist the MLRO with data analysis as required Support with ad-hoc projects Key Skills & Experience: Regulatory knowledge and understanding of the financial services industry. KYC experience is certainly a must, PAD experience would be beneficial but can be learned quickly. Compliance Monitoring would be beneficial Proven proficiency in Excel and strong analytical capabilities. Excellent...

Job Description Company Overview At Cboe Europe, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world. We’re building inclusive ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. Our Associate Resource Groups champion diversity, equity and inclusion, giving associates a safe space to network, share ideas and create opportunities. Sound like the place for...

🚀 We’re on a mission to make money work for everyone. We’re waving goodbye to the complicated and confusing ways of traditional banking. After starting as a prepaid card, our product offering has grown a lot in the last 10 years in the UK. As well as  personal and business bank accounts, we offer joint accounts , accounts for 16-17 year olds , a free kids account and credit cards in the UK, with more exciting things to come beyond. Our UK customers can also save , invest and combine their pensions with us.  With our hot coral cards and get-paid-early feature, combined with financial education on social media and our award winning customer service, we have a long history of creating magical moments for our customers! We’re not about selling products - we want to solve problems and change lives through Monzo ❤️ Hear from our UK team about what it's like working at Monzo ✨ 📍London | 💰 up to £210k  + Stock Options + Benefits | Hear from the team ✨...

🚀 We’re on a mission to make money work for everyone. We’re waving goodbye to the complicated and confusing ways of traditional banking. After starting as a prepaid card, our product offering has grown a lot in the last 10 years in the UK. As well as  personal and business bank accounts, we offer joint accounts , accounts for 16-17 year olds , a free kids account and credit cards in the UK, with more exciting things to come beyond. Our UK customers can also save , invest and combine their pensions with us.  With our hot coral cards and get-paid-early feature, combined with financial education on social media and our award winning customer service, we have a long history of creating magical moments for our customers! We’re not about selling products - we want to solve problems and change lives through Monzo ❤️ Hear from our UK team about what it's like working at Monzo ✨ London/Cardiff/UK Remote | 💰circa £100,000 +  Benefits | Hear from the...

We have an exciting opportunity for a Compliance Analyst to join our UK Compliance team. Reporting into a Compliance Manager, your position will involve supporting the Compliance advisory function in ensuring that the firm meets its regulatory objectives. Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week . Key Responsibilities: Keep abreast of regulatory developments. Assess applicability, assist with proposing and project managing solutions through to implementation in a timely manner. Assist with project work dependent on regulatory topics, commercial business projects or BAU. Contribute to and/or manage responses to regulatory queries/requests, consultation papers as they apply and regulatory audits. Assist with the resolution of findings. Work with the business units to develop a good understanding of their strategy, services and products, and promote a good compliance...

AMBITIOUS? BRIGHT? RIGHT? GAM is one of the world’s leading independent asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors. Together we share a common set of values rooted in teamwork, integrity, entrepreneurial flair and professional excellence. Our employees are our most valuable asset. Being able to offer an attractive work environment where talented minds from various backgrounds are keen to work is key to the long-term success of our company. We firmly believe in the importance of maintaining the open culture of a small company, aiming to avoid bureaucracy and encouraging a flexible, accessible and hands-on working style across the Group. In turn, our people reward us with their loyalty. Function: Legal and Compliance Department: Compliance - UK Purpose This is a key role within Compliance as this role focuses on providing...

Job Title: Head of Legal  Location: London/Hybrid (3 days in office per week).        Reports to: CEO About Elwood  Elwood Technologies is an FCA regulated firm that provides end-to-end institutional-grade digital asset Execution, Liquidity Access and Portfolio Monitoring & Risk Management Software. Built with institutions for institutions, Elwood’s EMS offers best available price execution, smart order routing and algorithmic tooling alongside a traditional finance grade Portfolio Management System. Built by industry experts with decades of combined experience in investment management and digital technology, we are now looking for a Head of Legal to contribute to the overall legal strategy and risk management of the organisation.  Overview: Elwood is seeking a dynamic Head of Legal to lead our legal function. This role is central to shaping Elwood’s legal and regulatory strategy, supporting business functions, and providing expert legal guidance across a...

Blockchain.com  is the world's leading software platform for digital assets. Offering the largest production blockchain platform in the world, we share the passion to code, create, and ultimately build an open, accessible and fair financial future, one piece of software at a time. As an Engineering Manager for the KYC & Eligibility team , you will lead a team responsible for customer onboarding and KYC processes for Blockchain.com , ensuring that customers can seamlessly and securely access our platform. This role requires a strong technical foundation, leadership capabilities, and a strategic mindset to optimize identity verification processes while balancing compliance requirements and user experience. You will work closely with third-party identity verification providers such as Sumsub, Veriff, and DXC , as well as collaborate with Compliance, Product, and Engineering teams to ensure a scalable, reliable, and efficient onboarding system . WHAT YOU WILL DO...

Blockchain.com is the world's leading software platform for digital assets. Offering the largest production blockchain platform in the world, we share the passion to code, create, and ultimately build an open, accessible and fair financial future, one piece of software at a time. As a Financial Crime Compliance Manager and Cayman Islands MLRO , you will be responsible for a number of elements of the Blockchain.com compliance program. This scope includes risk assessment, policy development and regulatory requirement analysis for the Group in addition to acting as the Money Laundering Reporting Officer for the Blockchain.com Cayman Islands entity.  WHAT YOU WILL DO Develop, implement, and maintain internal AML/CTF policies and procedures. Act as the main point of contact with the Cayman Islands Monetary Authority and other regulatory bodies, auditors, and law enforcement agencies regarding AML/CTF matters as appropriate. Regularly review and update AML/CTF processes...

About the Role: Grade Level (for internal use): 13 The Team: Join a dynamic in-house legal team within S&P Global Ratings, renowned for its collaborative and supportive culture. Our team is dedicated to providing exceptional legal counsel that supports our Ratings analysts across all practices, but primarily on structured finance and project finance transactions across Europe. We value partnership, professional growth, and a commitment to excellence in all our endeavors. Responsibilities and Impact: Conduct comprehensive reviews of transaction-level legal structures and related legal opinions, ensuring adherence to S&P Global Ratings’ legal criteria. Provide expert legal counseling to Ratings analysts on emerging legal issues in structured and project finance. Analyze and interpret relevant laws and regulations, keeping analysts informed on legal developments that impact their analysis. Counsel Compliance, Risk, and other control functions on compliance...

About the Role: Grade Level (for internal use): 12 The Role:  MI Compliance Director and Money Laundering Reporting Officer – S&P Global Market Intelligence Division Location: London, UK - Hybrid Grade: 12 The Team:  The Compliance team dedicated to the S&P Global Market Intelligence division serves in an advisory capacity to the organization on the design and execution of strategy, making risk–based decisions, and evaluating opportunities while ensuring adherence to S&P Global’s policies and procedures. The Role:  The successful candidate will be responsible for fulfilling the SMF 16 (Compliance Officer) & 17(Money Laundering Reporting Officer) roles on behalf of our Public Credit Markets business. Individuals holding SMFs are responsible for key areas and decisions, and will be responsible for ensuring the division is appropriately adhering to applicable regulatory requirements. The SMF 16 role is responsible for...

About Clear Street: Clear Street is modernising the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm, replacing the legacy infrastructure used across capital markets. We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Clear Street’s proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimising risk, redundancy, and cost for clients. Our goal is to create a single source-of-truth platform for every asset class, in every country, and in any currency. By combining highly-skilled product and engineering talent with seasoned finance professionals, we are building the essentials to compete in today’s fast-paced markets. The Role: The Compliance Manager will work with the Head of Compliance to develop and manage the CSUK regulatory control framework and function, ensuring compliance with all applicable...

About Clear Street: Clear Street is modernising the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets. We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Clear Street’s proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimising risk, redundancy, and cost for clients. Our goal is to create a single source-of-truth platform for every asset class, in every country, and in any currency. By combining highly-skilled product and engineering talent with seasoned finance professionals, we are building the essentials to compete in today’s fast-paced markets. The Role: We are looking to hire a Senior Legal Counsel for our UK and European business. This will be an opportunity for a highly experienced individual to establish this function...