168 Compliance Legal jobs

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 in the preparation of...

End Date Friday 16 June 2023 Salary Range £76,428 - £84,920 We support agile working – click here for more information on agile working options. Agile Working Options Hybrid Working Job Description Summary We currently have an excellent opportunity for a lawyer to join the Group Operations & Commercial Legal (GOCL) team on a permanent basis. Job Description A bit about the team: The Group Operations & Commercial Legal team sits within Group Legal to support large scale and complex commercial contracts. Our purpose is to deliver strategic legal advice which is central to the operations of the Group. We’re a collaborative, supportive and development-focused team. The team delivers legal support across the organisation working alongside the Group Chief Operating Office, Group Property and the Payments teams as well as customer facing business areas. The work is varied, fast paced and will provide great insight into the operations, technology...

At Coinbase, our mission is to increase economic freedom around the world , and we couldn’t do this without hiring the best people. We’re a group of hard-working overachievers who are deeply focused on building the future of finance and Web3 for our users across the globe, whether they’re trading, storing, staking or using crypto. Know those people who always lead the group project? That’s us. There are a few things we look for across all hires we make at Coinbase, regardless of role or team. First, we look for candidates who will thrive in a culture like ours, where we default to trust, embrace feedback, and disrupt ourselves. Second, we expect all employees to commit to our mission-focused approach to our work. Finally, we seek people who are excited to learn about and live crypto, because those are the folks who enjoy the intense moments in our sprint and recharge work culture. We’re a remote-first company looking to hire the absolute best talent all...

End Date Tuesday 06 June 2023 Salary Range £86,085 - £95,650 We support agile working – click here for more information on agile working options. Agile Working Options Flexible / Variable Hours, Hybrid Working Job Description Summary BCB & CIB Legal – E Lawyer Role in Banking Products Legal (12 month Secondment) Job Description At Lloyds Banking Group, we are driven by a clear purpose – to Help Britain Prosper! Our brands, our services and our businesses span every aspect of banking and finance. That gives us a big responsibility: to support the UK economy, with a clear mission to create a sustainable and inclusive future for people and businesses – shaping finance as a force for good. Banking Products Legal plays a critical role in supporting the bank's strategy for commercial customers. Banking Products Legal provides legal support for product development and innovation; change projects; rectifications and remediations; industry change...

私たちはロンドンに本社を構え、世界190か国以上の金融機関に金融データ（株価、ESGデータ、金融犯罪対策）を提供するグローバルなテックカンパニーです。近年は、データの提供に加えてAWSやMicrosoftと共同で「マーケットデータ×機械学習・クラウドソリューション」を活用した業務改善コンサルティングも行っています。 この度、法務スタッフを1名採用することとなりました。本件はダイバーシティー推進のため、障がいをお持ちの方を対象とした採用です。法務のご経験と英語力を活かし、海外とも関わりの多いグローバルな環境で一緒に働きませんか？ 主な職務内容 各種契約書審査補助業務（日・英同程度で発生します） 法務関連書類の翻訳補助（日↔英） 　- 契約書の電子化     - ファイル整理 その他法務補助業務     - 各種証明書の取得     - 印鑑管理補助     - 議事録の管理     - 個人情報の管理補助 コンプライアンス研修補助     - 研修のスケジューリング、会議室予約など事務的なサポート     - 海外の法務チームとの連携などの場面で、英語を活かせます 法務部門について 当社の法務部は法務部長、法務スタッフ２名の計３名体制です。主に日本を中心とした法務を担当していますが、日本にいながら香港やシンガポール、中国等の同僚とも日常的に連携しており、英語を活かせます。日本を含むアジア・パシフィック地域の法務部には15名（うち弁護士13名）。グローバルで多様性のあるチームで、法務のキャリアをスタートしませんか。 グローバル企業で法務経験を重ねた30代～50代のメンバーから学べます 国や部門を超えて協力しあう、オープンな社風。わからないことは気軽に質問できます グローバルプロジェクトなど、英語を活かせる場は多くあります ワークライフバランス良好、業務過多にならないように、部門全体で調整しています 働き方・環境 週3日出社、週2日在宅勤務のハイブリッドワーク（その日のスケジュールや業務の特性によって、柔軟に調整可能） 時差通勤可能 ノートパソコンを支給、在宅勤務日もオフィスと同じ業務が可能...

The Sales Specialist will initiate and build relationships with potential and existing clients. The focus will be on strategically identifying and developing new business. This is done by penetrating new markets and targeting new prospects while also growing sales with existing clients. The best fit for this role is an experienced sales hunter. Essential Duties & Responsibilities Create and maintain strong long-term relationships with clients, prospective clients, lead groups and other sources to increase customer awareness and generate new, repeat and referral business. Identify and initiate new sales opportunities through a strategic analysis of existing client accounts Develop a thorough understanding of client and prospective client businesses and industries Negotiate and influence to build consensus about Giact’s products across all levels of a client’s organization Create and present compelling value propositions that are aligned with client needs to sell new...

Role Purpose Provides compliance advisory, assurance and maintenance services to one or more LSEG regulated businesses/ legal entities. Role Responsibilities - Provides compliance advisory support to one or more LSEG regulated businesses/legal entities in order to assist them in securing regulatory non-objection for new products and initiatives and in complying with all applicable regulatory requirements - Keeps abreast of the impact of the latest regulatory developments on the regulated businesses/legal entities and provides advice on new regulations - Manages and maintains relationships with internal and external stakeholders and provides senior leaders with advice to resolve complex regulatory matters - Acts as the primary communication channel between the regulated businesses/legal entities and their regulator(s) - Maintains compliance procedures and designs compliance risk assessments for the businesses/legal entities - Manages the provision of compliance...

This role is part of the Benchmark & Index Solutions Compliance team (within the London Stock Exchange Group’s Data and Analytics division), focusing on, but not limited to the regulatory compliance with the UK/ EU Benchmark Regulation. The Compliance team advises the Business on the regulatory compliance matters related to the day-to-day Business operations and strategic Business initiatives across the different jurisdictions, oversees regulated index business activities of FTSE Russell and Refinitiv index administrators from the second line perspective, provides the relevant education and training, manages regulatory interactions, reports and notifications and assesses and responds to the ongoing regulatory changes. In doing so, it collaborates closely with other regional and global compliance teams within the London Stock Exchange Group. The Compliance Assistant Manager will be responsible for supporting the following activities: Regulatory interactions: Supporting the...

UnaVista offers services to customers in the EU as an authorised EMIR Trade Repository (TR) and Approved Reporting Mechanism (ARM) and Approved Publication Arrangement (APA). Reporting to the Director, Head of Compliance Post Trade Solutions, the role will focus on ensuring the compliance of the UnaVista TRADEcho BV services, acting as a contact point for regulators and supporting the business as it grows and adapts to regulatory change.  Enter the key responsibilities of the role: Responsible for monitoring UnaVista’s continuing adherence to applicable regulations and for the relationship with regulators (primarily ESMA). Including through monitoring the regulatory landscape, providing strategic information to the business and implementing compliance controls. Make reports to the UnaVista TRADEcho BV Board and engaging with senior management of UnaVista TRADEcho BV, and the wider business unit, and for representing UnaVista Compliance at internal committees.  Preparing...

Key Responsibilities  The selected candidate will have ownership for: Assisting/providing information for indirect tax filings and tax accounting figures of entities across the globe. Responding to tax compliance advisor queries e.g. analysing information in the GLs, providing descriptions of expenses, preparation of summaries, reconciliations, etc Preparing Tax accounts reconciliations/Blackline Reconciliation Assisting with the preparation and posting of tax journals Assisting with queries from various team including external Auditors. Candidate Profile The ideal candidate should possess the following: A high degree of organization and ability to thrive in a fast-paced environment Possessing a Finance/Accounting/commerce/ degree or professional qualification (CA/CIMA/ACCA) at the intermediary level. Minimum of 1 to 2 years’ experience in tax compliance work or overseas support services would be an added advantage. Hands on experience in Oracle....

Position Summary We are looking to recruit a Senior Legal Counsel with a proven record of client service and a practical, problem-solving approach to support our businesses across the EMEA region, to be based in London or one of our EMEA offices. The successful candidate needs to be a hands-on, commercial contracts lawyer who will provide specialist and strategic legal advice for all aspects of the Group’s Data & Analytics Division. Role Responsibilities Providing a wide range of legal advice and support to the sales, proposition 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, strategic partnerships, master agreements, and other complex commercial agreements. Advising on legal issues related to the collection, usage and licensing of content/data/news from multiple sources. Researching and...

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 commitment 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. Position Summary:   We have an exciting opportunity for a driven, client focused and personable Sales Professional to join our high performing team within the Data & Analytics Division of LSEG. W e are looking for someone who has a passion for sales and has a ”hunter” mentality. The Sales Specialist has responsibility for driving the 3rd Party Risk & Compliance...

The role requires the successful candidate to perform tasks as a contract negotiator or legal counsel, depending on his/her qualification, supporting the Refinitiv Data & Analytics business in Mainland China. The successful candidate will be part of a wider network of Refinitiv lawyers and compliance professionals in Asia and globally and will be encouraged to collaborate with lawyers and compliance professionals across the company. The successful candidate will be based in Beijing, China, in connection with the Refinitiv businesses with primary focus on matters arising from the region. The role will also be coordinating with other jurisdictions and assisting with ad hoc work across the region and globally. Major responsibilities: Duties include contract drafting, review, and negotiation, corporate counselling, risk management and legal compliance. • Review, draft, revise and negotiate a wide range of agreements with customers, vendors, resellers and other third parties,...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world? We are seeking a project manager to join our global compliance team to support the team in managing various compliance projects in order to improve our framework and ensure we stay in continuous compliance with regulations and internal policy requirements.   Responsibilities: Prepare and maintain project documents (e.g. kick-off, road map, status updates, RAID log, steering committees, gap analysis etc.) to ensure proper control framework Oversee engagement and deployment of vendor solutions globally and work with global compliance managers to set up new processes Coordinate with...

The Sales Specialist will initiate and build relationships with potential and existing clients. The focus will be on strategically identifying and developing new business. This is done by penetrating new markets and targeting new prospects while also growing sales with existing clients. The best fit for this role is an experienced sales hunter. Essential Duties & Responsibilities Create and maintain strong long-term relationships with clients, prospective clients, lead groups and other sources to increase customer awareness and generate new, repeat and referral business. Identify and initiate new sales opportunities through a strategic analysis of existing client accounts Develop a thorough understanding of client and prospective client businesses and industries Negotiate and influence to build consensus about Giact’s products across all levels of a client’s organization Create and present compelling value propositions that are aligned with client needs to sell new...

Position Summary We are looking to recruit a Senior Legal Counsel with a proven record of client service and a practical, problem-solving approach to support our businesses across the EMEA region, to be based in London or one of our EMEA offices. The successful candidate needs to be a hands-on, commercial contracts lawyer who will provide specialist and strategic legal advice for all aspects of the Group’s Data & Analytics Division. Role Responsibilities Providing a wide range of legal advice and support to the sales, proposition 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, strategic partnerships, master agreements, and other complex commercial agreements. Advising on legal issues related to the collection, usage and licensing of content/data/news from multiple sources. Researching and...

Job Description Senior Manager - Capital Markets Compliance, Securities Role Profile An exciting opportunity exists for an experienced Compliance Senior 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.  They will provide challenge to the business leads where necessary, ensuring appropriate processes and controls are maintained to meet regulatory requirements.  They will also lead a small team of Compliance professionals to ensure the delivery of high-quality compliance outcomes. The core focus of the role will be to support the London Stock Exchange (LSE) business, providing advice and guidance as the...

The Channel Partner Manager is a key and exciting role at the core of the LSEG Data, Indices & Analytics growth strategy. Our Partners help us innovate faster, build sales channels we might not reach on our own and co-generate ideas, solutions and technology that our customers demand. The Channel Partner team identifies, onboards and manages a growing partner ecosystem providing enhanced workflow solutions for our clients and drives sales growth for LSEG via these channels. We have a fantastic opportunity with the Data, Indices & Analytics (DI&A) division of LSEG (London Stock Exchange Group) for a Business Development Professional to join our growing and dynamic team who has a passion for developing and powering our Partner channels with the power of LSEG’s Data, Indices & Analytics behind them. Role summary You will be focused on driving growth for either our Customer & Third Party Risk (WorldCheck) business or our Financial Data business by...

We are seeking to recruit a Junior Compliance Officer . Your responsibilities Operating within the legal and compliance framework, ensuring compliance with all regulatory requirements under a Cat4A licence, Cat2 licence, Custody of Pension Schemes Regulations and respective MiFID, AIFMD, UCITS, FATCA, CRS, etc.: Preparing various regulatory submissions (MFSA, FIAU, CBM, IRD, etc.) Reporting to the Head, Legal and Compliance and Group Chief Legal Officer Assistance in the Risk Management framework Assistance in the implementation and maintenance of Group Policies and Procedures within SQFSM Assistance in monitoring and reporting on Compliance and AML within SQFSM Assistance in overseeing internal control in compliance with Group Policies and Guidelines- Assistance in complaint handling in compliance with Group Policies and Guidelines Handling Client on-boarding (Account Opening, AML & KYC Assistance in due diligence oversight of Fund Clients Assistance in...

Empower the Individual Through Crypto Gemini is a crypto exchange and custodian that allows customers to buy, sell, store, and earn more than 30 cryptocurrencies like bitcoin, bitcoin cash, ether, litecoin, and Zcash. Gemini is a New York trust company that is subject to the capital reserve requirements, cybersecurity requirements, and banking compliance standards set forth by the New York State Department of Financial Services and the New York Banking Law. Gemini was founded in 2014 by twin brothers Cameron and Tyler Winklevoss to empower the individual through crypto. Crypto is about giving you greater choice, independence, and opportunity. We are here to help you on your journey. We build crypto products that are simple, elegant, and secure. Whether you are an individual or an institution, we want to help you buy, sell, and store your bitcoin and cryptocurrency. Crypto is not just a technology, it's a movement. At Gemini, our mission is to empower the individual...