855 senior compliance officer jobs found

Overview Class: Full-time AND Temporary   Legal Entity: StoneX Financial Pty Ltd   Organization: StoneX Financial Pty Ltd   Report to: Head of Compliance - Sydney, Australia      Company 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.   At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch...

WHO WE ARE: Optiver is a global market maker founded in Amsterdam, with offices in London, Chicago, Austin, New York, Sydney, Shanghai, Hong Kong, Singapore, Taipei and Mumbai. Established in 1986, today we are a leading liquidity provider, with close to 2,000 employees in offices around the world, united in our commitment to improve the market through competitive pricing, execution and risk management. By providing liquidity on multiple exchanges across the world in various financial instruments we participate in the safeguarding of healthy and efficient markets. We provide liquidity to financial markets using our own capital, at our own risk, trading a wide range of products: listed derivatives, cash equities, ETFs, bonds and foreign currencies. Optiver’s Sydney office is one of the primary players within Asian markets, trading a range of products. Established in 1996, we're an active participant on the Hong Kong, Korea, Singapore, Taiwan and Japan exchanges, and act as...

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. Senior Compliance Officer Our fast-paced Compliance Escalations team is looking for a Senior Compliance Officer with a strong understanding of integrity risks applicable to regulated financial institutions, particularly within the payments, financial services, or FinTech industries. A successful candidate excels at deconstructing complex...

Antwerp, Belgium We are expanding our Compliance team in Belgium and are looking for talented colleagues to join us. About the job  To support the Compliance department within the Belgian office we are seeking a dedicated Senior Compliance Officer. You will be part of a team of 3 other colleagues, including the Head of Compliance. The compliance function promotes integrity and adherence to legislation within organizations. As a compliance officer you focus on risk management, ethical issues, and encouraging responsible, ethical behavior. Compliance officers support management with an independent and critical perspective, contributing to a transparent and ethical culture. This multifaceted role requires not only knowledge of regulations and risk management but also strong skills in analysis, communication, and organization. Reporting directly to the Chief Compliance Officer in HQ, our team plays a crucial role in managing and mitigating compliance risks associated...

WHAT YOU'LL DO We are seeking a highly skilled and experienced Compliance Officer to join our China Compliance team. This role is critical in ensuring full compliance with regulatory requirements governing capital market operations. The ideal candidate will have a deep understanding of local market regulations and strong capabilities in provide timely, trusted compliance advice and support in a fast-paced environment. Key Responsibilities: Identify and assess compliance risks related to business and trading operations, with a focus on second-line oversight of capital markets activities. Act as a trusted advisor to internal stakeholders by providing regulatory advice and interpret applicable laws, regulations, and exchange rules. Monitor regulatory developments and clearly communicate changes, implications, and expectations to both on/offshore key stakeholders. Demonstrate strong understanding of trading behaviour and possess solid expertise in identifying potential...

Are you looking for a team where your contributions truly matter? Do you thrive in a collaborative environment where success is shared, and support is constant? If you see laws and regulations as tools for driving progress and enjoy exploring new possibilities, we’d love to hear from you. Join a team that works hard, has fun, and is committed to growing together. WHAT YOU'LL DO Develop and gain a deep understanding of Optiver’s trading operations from front to end, becoming the subject matter expert for the Compliance Department in relation to Optiver’s FICC business. Provide trading floor and regulatory advice to Optiver’s Commodities, Fixed Income, and FX traders. Draft policies and guidance on compliance matters applicable to the business. Design and deliver training to relevant trading desks. Review and assess business development initiatives and strategic projects accurately yet pragmatically to support controlled business growth. Review and assess changes in...

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 &...

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. Senior Compliance Monitoring Officer Our fast-paced Compliance team is looking for an experienced Senior Compliance Monitoring Officer with experience in performing compliance monitoring procedures in the payments and/or finance industry. The successful candidate must possess strong fundamentals in risk and control and would function as a...

Tradeweb Markets, a part of London Stock Exchange group is seeking a compliance professional with strong AML and KYC expertise to lead and help build our growing compliance operations team in India. This individual will serve as a key member of our global compliance function, supporting both onboarding and ongoing customer due diligence processes across all jurisdictions, while managing a team of compliance professionals based in India. The role reports into a senior compliance officer within the global AML programme. Description You will bring strong practical experience in AML/KYC and regulatory compliance, and be confident advising on due diligence processes, interpreting global AML requirements, and implementing internal policies and procedures. As the local team lead, you will be instrumental in developing and managing the India-based compliance team and ensuring the highest standards of quality and consistency in all aspects of AML/KYC operations. This is a hands-on role...

Saxo Bank Securities Ltd, Japan (“SBS”) is a licensed subsidiary of Saxo Bank A/S in Denmark and has operated in Japan since 2007. We provide access to global markets for our local customers and serve as a gateway to Japan markets for our global customers. Saxo enables individual and institutional clients to trade more than 40,000 instruments globally from one single margin account and provides institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies. Saxo‘s multi-asset platform provides access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD’s, Indices, etc. Our clients include Banks & Brokers, Fund Managers, Private Banks, Corporates, Investment Managers and Family Offices, HNW and retail clients. About the Role The Internal Control & Compliance Department is primarily responsible for compliance matters for Saxo Bank Securities Ltd. (“SBS”),...

The Senior Manager, Risk and Control /B usiness Controls Officer plays a critical role in enhancing the risk and control framework! This role is responsible for performing and maintaining a robust risk assessment process , ensuring effective remediation of self-identified issues and/or incidents, and providing risk and control subject matter expertise to key business collaborators . The individual will work closely with senior leadership, risk owners, and other control functions to drive a strong risk culture and continuous improvements in risk management and control effectiveness! This position primarily functions as a single contributor role , responsible for independently leading key risk and control activities for their assigned FTES Division/function . However, the individual may have management responsibilities when assigned, specifically in support of leading oversight over...

This is a fixed term contract for 12 months. The Senior Manager, Risk and Control /B usiness Controls Officer plays a critical role in enhancing the risk and control framework! This role is responsible for performing and maintaining a robust risk assessment process , ensuring effective remediation of self-identified issues and/or incidents, and providing risk and control subject matter expertise to key business collaborators. The individual will work closely with senior leadership, risk owners, and other control functions to drive a strong risk culture and continuous improvements in risk management and control effectiveness! This position primarily functions as a single contributor role , responsible for independently leading key risk and control activities for their assigned FTES Division/function . However, the individual may have management responsibilities when assigned, specifically...

End Date Saturday 24 May 2025 Salary Range £114,810 - £135,070 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 Economic Crime Location : Edinburgh, Bristol or Leeds Salary : circa £135,000 DOE 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 our above offices. About this opportunity: Insurance, Pensions & Investments (IP&I) aims to redefine the Insurance and Pensions market by developing innovative digital propositions that deliver exceptional customer experiences. To stay relevant in a competitive, volatile, and digitally driven environment, our business must evolve rapidly. Our Head of Economic Crime role offers a unique opportunity to drive significant growth and transformation...

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 Credit & Insurance Blackstone Credit & Insurance (“BXCI”) is one of the world’s leading credit investors. Our investments span the credit markets, including private investment grade, asset based lending, public investment grade and high...

About the Role: Grade Level (for internal use): 15 About the Role:    The Team:  This position reports directly to the Deputy General Counsel and Corporate Secretary, and will lead a team of three attorneys, including securities, executive compensation, and benefits counsels.   Responsibilities and Impact: The Associate General Counsel - Securities and Corporate Finance is responsible for supporting a business of approximate $12 billion in revenue and over 35,000 employees world-wide, taking significant responsibility for 1934 Act disclosure and compliance, NYSE/SEC compliance, and corporate finance transactions, including capital markets transactions, credit facilities and corporate banking matters.  The role will play a key role in the Company’s governance and disclosure process.   The Associate General Counsel - Securities and Corporate Finance will work in a dynamic, fast-paced, client-facing environment and will have the opportunity to partner...

Binance is a leading global blockchain ecosystem behind the world’s largest cryptocurrency exchange by trading volume and registered users. We are trusted by over 250 million people in 100+ countries for our industry-leading security, user fund transparency, trading engine speed, deep liquidity, and an unmatched portfolio of digital-asset products. Binance offerings range from trading and finance to education, research, payments, institutional services, Web3 features, and more. We leverage the power of digital assets and blockchain to build an inclusive financial ecosystem to advance the freedom of money and improve financial access for people around the world.   Responsibilties: Subject Matter Expert of financial crime compliance incl. risks, controls, industry best practice and regulatory requirements Manage committee meeting agendas, notes, submissions and action plans This team works closely with the Chief Compliance Officer (CCO) to prepare internal reporting and...

Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology....

🚀 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 ✨ 📍Dublin, Ireland |💰€ competitive salary, share options + benefits | Hear from...

Working as IT and Cybersecurity Officer, the successful candidate will be engaged in all areas of the business part of Euronext group and will mainly focus in IT and CyberSecurity across the Group. Non-IT perimeter is also to be considered, even though this is not the first dimension of the role, but can evolve in middle term. He/She will integrate a team of Risk and BCM expert and can leverage on their expertise and knowledge of the organisation. He/She will contribute in implementing the company’s policies and ensuring the consistency of the Risk Management Framework, such as: support in identifying and documenting with the business and the local coordinators (located in the operational teams, first line of defense) the various risks the company may face participate in risk review on strategic or important project, as well as on third party providers support on developing risk profiles and key risk indicators Preparing risk report support in promoting Risk across the...

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. About Tullett Prebon A world-leading intermediary in the wholesale financial and energy...

Join us as a Senior GL Accountant & Tax Officer Are you ready to shape the future of capital markets? We are looking for a Senior General Ledger Accountant & Tax Officer to join the Finance Team. The position will be based in Porto and you will report to the Finance Manager. The Senior General Ledger Accounting & Tax Officer, working alongside colleagues in Dublin, Milan, and Amsterdam, will be responsible for ensuring the accuracy and reliability of accounting activities. This includes preparing, processing, and controlling financial information in compliance with applicable regulations. Additionally, the role involves developing and implementing accounting policies and procedures. As a Senior General Ledger Accounting & Tax Officer , you will be responsible for the standard day-to-day local general ledger accounting activities as well as monthly, quarterly, and yearly tasks. These include variance analysis of profit and loss and balance sheet...

About the Role: Grade Level (for internal use): 10 The Role:  S&P Global Market Intelligence, the division of S&P Global (NYSE: SPGI) that provides essential intelligence for individuals, companies and governments to make decisions with confidence, is searching for a Financial Analyst to support the Technology Finance team. The Financial Analyst will be responsible for all aspects of monthly reporting and more complex analysis related to the Technology Function within S&P Global Market Intelligence and will report to Director of Finance. In addition, the Financial Analyst will be asked to assist with special projects related to reporting enhancements and automation on ad hoc basis. The Location:  The role will be based in the Philippines, but working hours will overlap the US Eastern Time Zone. The Impact: This position will ensure that all monthly Technology P&L reporting and analysis is delivered timely and accurately to facilitate decision making...

🚀 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 ✨ 📍Dublin, Ireland | 💰 competitive salary, share options + benefits | Hear from...