585 compliance officer jobs found

Join us as a Regulated Market Compliance Officer! Are you ready to shape the future of capital markets? We’re seeking a results-driven Regulated Market Compliance Officer to join our Risk & Compliance team in Paris, ideally from February-March 2025. You will report to Group Regulated Markets Compliance Manager. You will be a part of the Regulated Market Compliance and partly responsible for the Compliance program for the Euronext Group. This is executed with a team of Compliance officers in different jurisdictions. You stay abreast of changes in Regulation and advice business on key topics or issues. You play an important role in setting compliance standards and culture in the organization. Executing the Compliance program entails both monitoring and reviewing policies and documents. You are able to operate and communicate through different levels within the organization and also with different cultures.  You have a strong moral compass and know how to get a message...

About the Role: Grade Level (for internal use): 12 About 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. 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. Responsibilities and Impact: 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 facilitate compliance training programs. Contribute to compliance investigations and...

Who we are  We simplify wealth creation. Founded in 2014 in Vienna, Austria by Eric Demuth, Paul Klanschek and Christian Trummer, we’re here to help people trust themselves enough to build their financial freedom — for now and the future. Our user-friendly, trade-everything platform empowers both first-time investors and seasoned experts to invest in the cryptocurrencies, crypto indices, stocks*, precious metals and commodities* they want — with any sized budget, 24/7. Our global team works across different cultures and time zones, bringing our products to more than 4 million customers, making us one of Europe’s safest and most secure platforms that powers modern investing. Headquartered in Austria but operating across Europe, our products are built by fast-moving, talented, “roll-up-your-sleeves-and-make-it-happen” kind of people. It’s these diverse perspectives and innovative minds operating as ONE TEAM that keep Bitpanda at the cutting edge of our industry. So if you’re...

Nasdaq is a vibrant and entrepreneurial company where everyone is encouraged to take initiative, challenge the status quo, and take intelligent risks. We want everyone to feel welcome and bring their authentic self to work. Every day, we are building a culture where we all feel connected, supported, and empowered! We are now looking for a Compliance Officer to join our Nasdaq Nordic and Baltic Compliance team. As a Compliance Officer you will be part of the 2nd line Compliance Function focusing on compliance obligations for Nasdaq’s Nordic and Baltic regulated businesses and in particular for our Central Counterparty Clearing House, Nasdaq Clearing.  You will work in a cross jurisdictional team of driven and dedicated Compliance Officers reporting to the European Head of Compliance. The role and responsibilities: Working with management and operational teams to formalize and maintain policies and procedures to ensure that the business is compliant with applicable...

Flow Traders is looking for Compliance Officer - Trading Conduct and Ethics Analyst in our Amsterdam office. The ideal candidate is hands-on, proactive and has excellent communication skills. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial and innovative culture at the heart of its business. We value quick-witted, creative minds and challenge them to make full use of their capabilities     You’ll be responsible for overseeing and managing conflicts of interest, monitoring trader communications and ensuring adherence to market abuse regulations (MAR). Additionally, the role will involve the continuous monitoring and control of trading desks to prevent unethical behavior and ensure compliance with relevant regulations.  What you will do Conflict of Interest Management a. Identify, assess and manage potential conflict of interest across the organization b. Review policies and procedures to mitigate conflict of interest risk...

About Hex Trust Hex Trust is the leading digital asset custodian for the banking sector. Headquartered in Asia, the platform — Hex Safe - provides a compliance-focused custody infrastructure, deployment flexibility, and seamless integration with third-party service providers in the ecosystem. HT Markets is part of the same group and is building financing & market services to support client access to the DeFi & Digital Asset ecosystem. Position Summary The Compliance Officer will be the person responsible in the management of the daily activities of the Compliance department and maintenance of the company’s compliance and AML program in Dubai, with direct reporting to the Head of Legal and Compliance. Responsibilities Conduct AML/CFT review, analysis and risk monitoring on accounts and transaction flows Advise the business stakeholders on the existing and ongoing compliance obligations with respect to regulatory standards and expectations Work closely...

Overview Connecting clients to markets – and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.     Compliance Officer and Money Laundering Reporting Officer (MLRO)   Job purpose:    As the Compliance Officer and MLRO, you will be responsible for ensuring the company's compliance with all relevant regulations and laws, and providing advice and guidance to the management team on...

About the job  Within the Compliance team of our Dutch branch, we are looking for a Compliance Officer with a focus on Market Abuse, Product Governance, and Investor Protection (‘MiFID II’). Do you have at least 5 years of relevant work experience? Are you ready for a new step, in a dynamic medium-sized international investment bank? Then this could be the opportunity you are looking for Our Compliance department plays a central role from the second line. Our main objective is to make a sustainable contribution to the strategic objectives within Saxo’s risk appetite. We achieve this by helping the organization comply with laws and regulations, providing advice and recommendations and conducting investigations. We act as a sparring partner for the business and management and participate and contribute to a variety of projects.  As an investment platform, we are focused on different target customer groups across a wide range of investment products. We must monitor potential...

Group Overview 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 & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform. The Group operates from more than 60 offices in 27 countries.  We are 5,300 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 is seeking a Fixed Income Compliance Officer to provide...

Group Overview 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 & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform. The Group operates from more than 60 offices in 27 countries.  We are 5,300 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 is seeking an Equities Compliance Officer to provide...

We are currently seeking a dynamic and motivated individual for the position of Senior Compliance Officer to join our Firm's Compliance Department. Key Responsibilities/Duties Collaborate with the Head of Compliance to establish and refine policies and procedures, ensuring compliance with relevant laws and regulations. Effectively communicate policies and procedures to employees and provide necessary training. Monitor and enforce compliance with both internal policies and external regulations, conducting regular audits and assessments to identify non-compliance. Develop and implement corrective action plans to rectify compliance deficiencies and mitigate associated risks. Stay updated on changes in laws and regulations, conducting thorough investigations into compliance violations or allegations. Document findings, recommend compliance actions or corrective measures, and prepare reports for senior management and regulatory...

Overview Class: Full-time     Legal Entity: StoneX Securities Co. Ltd.   Organization: StoneX Securities Co. Ltd.    Reports to: Head of Compliance, Japan   Overview:   StoneX is an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service, and deep expertise   Business Segment Overview:   Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.    Responsibilities Position Purpose:   In order to support this exciting growth in the business, the Compliance...

Overview Permanent , Full-time, hybrid  #LI-Hybrid  #LI-SD1   Connecting clients to markets – and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.   Position purpose: To provide efficient and high-quality AML compliance support in various business areas of SFEG. You will advise both local management and, where appropriate, the Board of Directors upon action and strategies...

NAGA  is a leading FinTech company, founded in 2015. Our vision is to give all our clients the same opportunity to achieve financial freedom and claim their piece in the markets. Our mission is to make investing simple and accessible to all.   At  NAGA  we are always seeking talented individuals to join our family and pursue long-term careers. If you are a talented, dynamic, performance-driven and committed individual and would like to join us, apply for one of our open positions.   Our team is looking to hire an AML Compliance Officer  for our offices in Limassol.    Responsibilities Assist with the day-to-day compliance and AML/CFT operations in line with regulatory and legal requirements and the company’s policies and procedures; Performing risk assessments in relation to compliance and AML/CFT risks;         Prepare reports for external authorities and internal stakeholders;         Monitor adherence to domestic...

At  NAGA  we are always seeking talented individuals to join our family and pursue long-term careers. If you are a talented, dynamic, performance-driven and committed individual and would like to join us, apply for one of our open positions.   Our team is looking to hire an Assistant Compliance Officer for our offices in Nicosia. Key Responsibilities: General Compliance and Administration Support (filing, responding to emails, etc.) Assisting with the review and approval process for marketing materials to ensure compliance with regulatory standards Contribute to the implementation of the Compliance Monitoring Program Assist in managing the company’s complaints, ensuring timely and effective resolution Assist with the onboarding procedure of third parties Assist with the preparation of reports to Regulators when require Providing support to members of the compliance team to fulfil the group’s reporting obligations...

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. The purpose of this role is to provide second line of defence (2LoD) regulatory compliance advice and guidance, as well as oversight and challenge to the 1LoD (first line of defence) / business teams, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks (including the delivery of good customer outcomes). Provide support advice as part of a high performing Conduct & Compliance Advice team on a day-to-day basis, ensuring that timely and accurate...

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. The purpose of this role is to provide second line of defence (2LoD) regulatory compliance advice and guidance, as well as oversight and challenge to the 1LoD (first line of defence) / business teams, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks (including the delivery of good customer outcomes). Provide support advice as part of a high performing Conduct & Compliance Advice team on a day-to-day basis, ensuring that timely and accurate...

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. The purpose of this role is to provide second line of defence (2LoD) regulatory compliance advice and guidance, as well as oversight and challenge to the 1LoD (first line of defence) / business teams, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks (including the delivery of good customer outcomes). Provide product specific advice as part of a high performing Conduct & Compliance Advice team on a day-to-day basis, ensuring that timely and...

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. The purpose of this role is to provide second line of defence (2LoD) regulatory compliance advice and guidance, as well as oversight and challenge to the 1LoD (first line of defence) / business teams, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks (including the delivery of good customer outcomes). Provide product specific advice as part of a high performing Conduct & Compliance Advice team on a day-to-day basis, ensuring that timely and...

Key accountabilities Assisting with the implementation and maintenance of the Information Security Programme; Assisting with efforts to align internal security practices with industry best practices and security frameworks commensurate with strategy and the expectations of our clients and regulators; Stay abreast of the threat landscape specific to Euronext and adjust/draft solutions designs according to developments in this space; Timely and accurate reporting of the current state of all assigned projects/initiatives; Keeping track of policy and standards exceptions and the risks aligned to them; Keep abreast of new risks and trends in the threat landscape that may need to be addressed within information security policies, procedures and standards; Exhibit a broad knowledge of security compliance and auditing frameworks and apply those to formulate policies, procedures and standards; The delivery of ongoing security awareness and training through...

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...

This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition.  For our teams, we create an environment with opportunities for our people to succeed, backed by the culture and support to ensure they are enabled to truly own their careers. We are motivated individuals who tackle unique technical challenges at scale and solve them as a team. Together, we deliver innovative and ethical solutions that help businesses achieve their ambitions faster. We took an unobvious approach to starting a payments company, building a platform from scratch. Today, we're the payments platform of choice for the world's brightest companies. Our unobvious approach is a product of our diverse perspectives. This diversity, of backgrounds, cultures, and perspectives, is essential in helping us maintain our...

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 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, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks (including the delivery of good customer outcomes). Key responsibilities include: Conduct Oversight reviews as part of a high performing Conduct & Compliance...

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 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, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks (including the delivery of good customer outcomes). Key responsibilities include: Conduct Oversight reviews as part of a high performing Conduct & Compliance...