216 Compliance Legal jobs

The Role: The Senior Analyst within Ratings Compliance & Control is responsible for planning and conducting compliance reviews and monitoring to assess S&P Global Ratings’ compliance with regulations, Codes of Conduct and compliance policies and procedures.   Responsibilities: Conduct periodic and targeted reviews and monitoring of the credit ratings process, research publications,  communications with the public, and internal communications. Carry out testing in accordance with established procedures and methodology, as well as develop and execute new and customized risk-based testing approaches and scripts to reach conclusions on compliance with regulations and policies and effectiveness of controls. Document test procedures, analysis, and conclusions in workpapers. Explain and support results of reviews internally to stakeholders, including senior business leadership and compliance management, and effectively negotiate remediations that mitigate regulatory...

S&P Global Ratings Legal Advisor Summary: Prepares legal advice and conducts regulatory research, analyzes, summarizes and prepares regulatory filings and memoranda, updates and maintains legal files and correspondence.  Assists in providing advice and counsel involving legal and regulatory issues of varying levels of complexity.  Supports the company in legal disputes, lawsuits, regulatory and governmental matters, and analytical processes and business transactions. Provides legal support in contractual matters to Sales Team Key Responsibilities: From 2 to 4 years of experience Provides support to regulatory unit. May be responsible for securing, preparing, drafting, and processing legal and regulatory documents. Assists in the registration of models and criteria. Maintains templates, information databases and internal documents library. Provides support for resolution of day to day matters including general legal research, regulatory responses, regulatory...

Job Profile Summary: Provides leadership and technical guidance in the areas of compliance, control, policy and process adherence, including identification and documentation of required actions/policies, conformance tests and ongoing monitoring issues to various departments. Role Responsibilities and Key Accountabilities: - Manages a team of Compliance Specialists, defining team operating standards and ensuring essential procedures are followed - Works with colleagues to develop and implement processes and procedures to assure compliance, improve efficiency and ensure risk is managed appropriately - Ensures adherence to reporting and regulatory requirements - Ensures processes are followed in a timely manner and in line with agreed terms - Works with various stakeholders to ensure compliance goals, KPIs and SLAs are met - Suggests and implements improvements to current practice - Drives motivation activities and development of the team - Responsible for team performance reviews,...

The Securities Information Center (SIC) maintains the Lost and Stolen Securities Program (LSSP) on behalf of the U.S. Securities and Exchange Commission (SEC).  SIC is looking for a candidate to oversee day-to-day operations of the LSSP system, including risk and compliance, vulnerability assessment and remediation, change impact assessment, and coordination of third-party information security reviews.  The candidate will work closely with internal teams to coordinate resource availability to maintain stable, secure operating environment. Location: St. Louis, MO Key responsibilities: Oversee LSSP system environments to meet contractual uptime and data retention requirements. Monitor system availability and reporting, assess impact of system alerts, and participate in resolution efforts. Document, coordinate, and participate in semi-annual business continuity exercises. Lead Incident Management efforts to perform root cause analysis, identify steps to restore service,...

The Securities Information Center (SIC) maintains the Lost and Stolen Securities Program (LSSP) on behalf of the U.S. Securities and Exchange Commission (SEC).  SIC is looking for a candidate to oversee day-to-day operations of the LSSP system, including risk and compliance, vulnerability assessment and remediation, change impact assessment, and coordination of third-party information security reviews.  The candidate will work closely with internal teams to coordinate resource availability to maintain stable, secure operating environment. Location: Boston, MA Key responsibilities: Oversee LSSP system environments to meet contractual uptime and data retention requirements. Monitor system availability and reporting, assess impact of system alerts, and participate in resolution efforts. Document, coordinate, and participate in semi-annual business continuity exercises. Lead Incident Management efforts to perform root cause analysis, identify steps to restore service,...

Position Summary We are looking to recruit a Legal Counsel with a proven record of client service and a practical, problem-solving approach to support our businesses across EMEA, based in South Africa.  The successful candidate needs to be a hands-on, commercial contracts lawyer and will provide specialist and strategic legal advice for all aspects of the Group’s Data & Analytics Division. Fluency in English is essential. French and German language skills are advantageous. Role Responsibilities Providing a wide range of legal advice and support to the sales and leadership teams in EMEA. Reviewing, drafting, revising and negotiating agreements with customers, vendors, partners and other third parties, including data licenses, software and intellectual property licenses, master agreements, terms and conditions, non-disclosure agreements, customer software licenses and other complex commercial agreements. Advising on legal issues related to the collection,...

Job Profile Summary Provides leadership and technical guidance in the areas of compliance, control, policy and process adherence, including identification and documentation of required actions/policies, conformance tests and ongoing monitoring issues to various departments. Role Responsibilities and Key Accountabilities - Provides leadership and guidance for compliance with Finance Control legislation, also internal processes, policies and procedures - Provides guidance to other departments on the identification and documentation of required actions/policies, conformance tests and ongoing monitoring issues - Assesses risks and develops control processes ensuring Finance Control framework conformance and certification - Continuously evaluates the scope and effectiveness of compliance programs and projects - Monitors strategies to remedy control and process deficiencies; reports on status and clearance gaps to executive team - Coordinates work with internal and external...

Role Profile An opportunity exists for an experienced Compliance manager to join the Capital Markets Compliance team (CMC).  CMC supports the Securities Trading businesses of London Stock Exchange Group (LSEG), providing oversight, guidance and challenge to ensure a robust compliance framework is maintained. The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses that CMC 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 where necessary, ensuring appropriate processes and controls are maintained to meet the regulatory requirements.  They will also manage the relationship with the regulatory supervisors that have oversight of the Group’s authorised entities. The core focus of the role will be in supporting the London Stock Exchange plc (LSE) business.  LSE...

Role Profile An opportunity exists to join the Capital Markets Compliance team (CMC) as a Senior Associate.  CMC 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.  CMC establish and maintain compliance procedures, seek to educate staff to make sure we operate within regulatory frameworks, and manage relationships with regulators to provide a key two-way communication channel with the business. The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses that CMC 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 where necessary, ensuring appropriate processes and controls are maintained to meet the regulatory requirements....

Who we are  Bitpanda simplifies wealth creation. Founded in 2014 in Vienna, Austria by Eric Demuth, Paul Klanschek and Christian Trummer, Bitpanda exists to help people trust themselves enough to build financial freedom for their 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 — all possible with any sized budget , 24/7. With more than 700 team members and steadily approaching 4 million customers, our company is one of Europe's most successful fintechs. Headquartered in Austria but operating across all of Europe, our products are built by fast-moving, talented, “roll-up-your-sleeves-and-make-it-happen” kind of people who represent more than 50 nationalities. If you’re someone who thinks big, moves fast and wants to make an impact right from day one, then get ready to join our industry-changing team. Let’s go!...

Who we are  Bitpanda simplifies wealth creation. Founded in 2014 in Vienna, Austria by Eric Demuth, Paul Klanschek and Christian Trummer, Bitpanda exists to help people trust themselves enough to build financial freedom for their 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 — all possible with any sized budget , 24/7. With more than 700 team members and steadily approaching 4 million customers, our company is one of Europe's most successful fintechs. Headquartered in Austria but operating across all of Europe, our products are built by fast-moving, talented, “roll-up-your-sleeves-and-make-it-happen” kind of people who represent more than 50 nationalities. If you’re someone who thinks big, moves fast and wants to make an impact right from day one, then get ready to join our industry-changing team. Let’s go!...

Who we are  Bitpanda simplifies wealth creation. Founded in 2014 in Vienna, Austria by Eric Demuth, Paul Klanschek and Christian Trummer, Bitpanda exists to help people trust themselves enough to build financial freedom for their 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 — all possible with any sized budget , 24/7. With more than 700 team members and steadily approaching 4 million customers, our company is one of Europe's most successful fintechs. Headquartered in Austria but operating across all of Europe, our products are built by fast-moving, talented, “roll-up-your-sleeves-and-make-it-happen” kind of people who represent more than 50 nationalities. If you’re someone who thinks big, moves fast and wants to make an impact right from day one, then get ready to join our industry-changing team. Let’s go!...

Who we are  Bitpanda simplifies wealth creation. Founded in 2014 in Vienna, Austria by Eric Demuth, Paul Klanschek and Christian Trummer, Bitpanda exists to help people trust themselves enough to build financial freedom for their 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 — all possible with any sized budget , 24/7. With more than 700 team members and steadily approaching 4 million customers, our company is one of Europe's most successful fintechs. Headquartered in Austria but operating across all of Europe, our products are built by fast-moving, talented, “roll-up-your-sleeves-and-make-it-happen” kind of people who represent more than 50 nationalities. If you’re someone who thinks big, moves fast and wants to make an impact right from day one, then get ready to join our industry-changing team. Let’s go!...

About Revolut People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that. With an arsenal of awesome products that span spending, saving, travel, transfers, investing, exchanging and more, our super app has helped 25+ million customers get more from their money. And we're not done yet. As we continue our lightning-fast growth, we believe that two things are essential to continuing our success: our people and our culture. So far, we have 5000+ people working around the world, from our great offices or remotely, on our mission. And we're looking for more. We want brilliant people that love building great products, love redefining success, and love turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Financial Crime Product teams are at the forefront of Revolut’s efforts to keep customers and their money safe. Working within Revolut’s...

About Revolut People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that. With an arsenal of awesome products that span spending, saving, travel, transfers, investing, exchanging and more, our super app has helped 25+ million customers get more from their money. And we're not done yet. As we continue our lightning-fast growth, we believe that two things are essential to continuing our success: our people and our culture. So far, we have 5000+ people working around the world, from our great offices or remotely, on our mission. And we're looking for more. We want brilliant people that love building great products, love redefining success, and love turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Our Compliance team is a true gem \uD83D\uDC8E They make sure our products and processes meet all the requirements. What does this mean?...

About Revolut People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that. With an arsenal of awesome products that span spending, saving, travel, transfers, investing, exchanging and more, our super app has helped 25+ million customers get more from their money. And we're not done yet. As we continue our lightning-fast growth, we believe that two things are essential to continuing our success: our people and our culture. So far, we have 5000+ people working around the world, from our great offices or remotely, on our mission. And we're looking for more. We want brilliant people that love building great products, love redefining success, and love turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Financial Crime Product teams are at the forefront of Revolut’s efforts to keep customers and their money safe. Working within Revolut’s...

  Who We Are: OKX is a world-leading digital asset trading platform, providing advanced financial services to traders globally by using blockchain technology. OKX provides hundreds of token & futures trading pairs to help traders to optimize their strategy. We are also one of the top digital asset trading platforms by trading volume, serving millions of users in over 100 countries. OKX derivatives remains a top-notch venue globally and has a daily volume of approximately $10 billion and is widely recognized as the golden standard in the industry. We believe the blockchain technology will eliminate barriers to transactions, increase the efficiency of transactions across society, and eventually have a significant impact on the global economy. We strive to make innovative achievements that change the world and never stop to improve on our customer experience.   About the Team The Compliance function at OKX is responsible for the overall compliance culture at the...

Executive, KYC Operations  Position Summary This role is within our Corporate Operations team, specializing in Know Your Client (KYC) as part of Anti Money Laundering. The KYC Operations function is specialist in, but not limited to, onboarding and customer risk assessments, generating MI reports, SLA and KPI execution, quality control and quality assurance execution. KYC Operations will also be responsible for Operational training design and delivery. Role Responsibilities Follows procedures to ensure alerts are responded to in a timely manner (focus is on alerts in a single area). Escalates unresolved queries to the next level of support and ensures proper recording, documentation, and closure of alerts.  Preferred Skills and Experience Minimum 2 or more years of experience in KYC/AML Perform data gathering and analysis for new client onboarding, periodic reviews, for all new clients Review all trigger events related to existing...

Job Profile Summary: Supports a team of Compliance Specialists to ensure that processes and transactions are completed accurately and efficiently, drives improvement and transformation activities for the benfit of Financial Services Organisation and wider business Role Responsibilities and Key Accountabilities: Directs the day to day work activities for Compliance Specialists, including training new joiners Sets priorities to ensure task completion and contributes to the motivation and development of the team; Sets priorities to meet deadlines; develops plans to meet short-term objectives Executes, coordinates and assists with all necessary control operation and audit activities to deliver accurate and effective execution of control framework information Processes and files control evidences and ensure that appropriate records are accurately maintained Acts as an escalation point for queries or disputes Applies a wide range of policies or standards in straightforward...

Job Profile Summary: Supports the Financial Services Operations goal to provide best in class service by taking responsibility for the quality of compliance with internal and external rules and regulations to minimise risks. Role Responsibilities and Key Accountabilities: Executes, coordinates and assists with all necessary control operation and audit activities to deliver accurate and effective execution of control framework Processes and files control evidences and ensure that appropriate records are accurately maintained Manages the status of control related activities and identifies inconsistencies Ensures adherence to reporting and regulatory requirements Ensures processes are followed in a timely manner and in line with agreed terms Sets priorities to meet deadlines; develops plans to meet short-term objectives Applies a wide range of policies or standards in straightforward situations Organises and attends internal meetings and supports...