72 compliance-legal jobs found in London

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 looking for a Senior Product Manager to join our growing Know Your Customer (KYC) team. Our mission is to help customers onboard fast and safely to Binance, in a trustworthy and delightful way. You’ll transform ideas into strategy and product features, following our development processes to deliver the final product from start to finish. To succeed in this role, you should be a data driven, creative leader and problem-solver with a passion for the crypto industry. This person must be based in the UK.   Responsibilities: Own the product strategy and execution for products related...

We're looking for a hands-on, detail-oriented and enthusiastic Tax Compliance and Reporting Manager to support the Tax team at Monzo, and our wider finance team. You’ll be joining our Tax Team consisting of our Head of Tax, Senior Tax Manager and VAT Manager, and will be reporting into our Senior Tax Manager. You’ll be our Corporation Tax and Employment Taxes specialist, owning all Corporation Tax and Employment Tax related compliance and reporting, both in the UK and the US. The role  You’ll own our tax compliance and reporting processes and controls, including: Leading the fulfilment of all of our UK compliance obligations for Corporation Tax and Employment Taxes, including all tax payments and filings Owning our R&D tax credit claim process (with external advisor support) Owning our tax year end reporting processes, including the provision of the tax note for the annual report (with external advisor support) Ensuring we’re fully compliant with our...

Blockchain 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. At Blockchain.com, we aim to put our customers at the center of everything we do. The Customer Success team is at the forefront of delivering seamless support experiences and customer enablement to our rapidly growing, global customer base.  We are looking for a proactive, solutions oriented, analytical senior onboarding associate to join our fast growing front line retail KYC team. In this role, you will work closely with the client onboarding manager to supervise a large team of KYC analysts and support in constructively challenging the operations internal processes to drive continuous improvement in automation and efficiency. If you have experience in a fast-paced environment and are looking for an...

Monitor and report on key Programmes across Market Operations Help resolve key issues in projects/programmes affecting Market Operations Assist with the completion of the Market Operations BIA/BCP Assist with the co-ordination of audits across Market Operations Ensure compliance with all Divisional and Group Policies Establish forums to ensure compliance with all Divisional and Group Policies Implement the strategy for Market Operations reporting Build relationships and partner with key functions (Risk, Audit, Data Office) to represent Market Operations across COO, Capital Markets and the Group. Ensure effective controls and governance are in place, clearly documented & adhered to within Market Operations Assist with demonstrating the departments control and governance via metrics At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise of creating essential partnerships and open opportunities. Our...

AMBITIOUS? BRIGHT? RIGHT? GAM is one of the world’s leading independent, pure-play asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors. Our core investment business is complemented by private labelling services, which include fund administration and other support services to third-party institutions. 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...

At this role you will be responsible for delivering the compliance monitoring programme and providing confidence that these controls are functioning in an optimal way. Responsibilities: Completing reviews designed to assess controls across all areas of the business. Areas of focus include: client, employee, senior management and technological risks, financial crime and regulatory reporting. Prepare Monitoring reports for review by the OANDA Europe Limited’s Head of Compliance. Draft, review and implement monitoring and testing procedures. Recommend practical solutions/changes resulting from monitoring findings to enhance controls and process. Skillset required: Demonstrated experience in a generalist compliance role within the FX/CFD sector or relevant audit experience. Understanding of FCA rules and the wider regulatory landscape. Degree/relevant professional qualifications. Excellent written and verbal communication skills. Analytical with exceptional...

The Role: The Xtract legal team delivers sophisticated legal analysis of leveraged loan and high yield bond covenants in an understandable manner. Our legal analysis allows credit investors to spot risks and make more informed investment decisions. Writing new issuance reports on high yield bonds and leveraged loans, as well as special reports on special situations, distressed credits and covenant trends. Candidates should have at least 5 years of experience in a debt capital markets or debt finance group at a major law firm and have detailed experience of high yield bond and/or European leveraged loan covenants.   Key Responsibilities: Reviewing and analysing new leveraged loans/high yield bonds, writing reports and commentary on them for timely delivery to Xtract clients  Dealing with client questions, either on specific individual reports or on general covenants/market trends Required Skills, Qualifications, and Experience: Proven...

Role Purpose Supporting Investment Solutions Compliance team in delivering effective second line oversight of the Business, providing SME advice to the Business on Compliance related matters and in maintaining Compliance with the relevant regulations, including the UK Benchmark Regulation. Role Responsibilities   This role is part of the Investment 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 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...

The role holder will be part of the Compliance team and will be responsible for undertaking compliance monitoring and day-to-day compliance activities; helping to ensure that the Company complies with all regulatory requirements, including global tax compliance and financial crime legislation. The person will be reporting to the Head of Compliance. As a Compliance Assistant, you will: Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions; Review financial promotions, company’s and partner’s website and provide approval. Ensure staff in business departments are aware of, and adhere to, the Company’s policies on financial promotions; Ensure the application of the following processes:  AML/KYC processes; Sanction and PEP screening; Global tax compliance legislation (AEOI/FATCA); Review customer complaints, claims and litigation, investigate where appropriate, and work with staff in business...

The Role Debtwire, the leading financial newswire for the fixed income markets, is looking for a reporter to expand its legal coverage for its Debtwire CEEMEA product. Debtwire CEEMEA provides actionable intelligence for subscribers on situations across Central and Eastern Europe/CIS/Russia, Middle East and North Africa, plus sub-Saharan Africa. The role based in London is entirely focused on off-diary reporting and reporters are expected to use their own initiative to uncover leads from market sources. The position will offer the opportunity for foreign travel and moderating at conferences. Key Responsibilities •Working on the news desk, candidates will be expected to cover primarily distressed companies undergoing court-driven restructuring processes and to report on live hearings.  •The role will involve interacting with legal sources to verify information and source documents. •The successful candidate will also maintain the CEEMEA restructuring database by...

About the position: IBUK is a broker-dealer (authorised and regulated in the UK by the Financial Conduct Authority) and is part of the Interactive Brokers Group of companies (“IB”). IB is an online broker offering trading access for experienced traders to products traded on markets and exchanges throughout the world. IBUK is looking for a motivated, talented and dynamic legal counsel to assist IBUK’s Associate General Counsel in carrying out legal and regulatory work required to support IBUK’s and IB’s other European brokers (based in Ireland, Hungary and Switzerland) on current and future business initiatives. The successful candidate will join the European legal team whose members are based in the UK, Ireland, Hungary and Switzerland. This position will preferably sit in London but other office locations such as Dublin or Zug (Switzerland) can be considered. The successful candidate will report to IBUK’s Associate General Counsel. Responsibilities include but are not...

About the position: Interactive Brokers U.K. Limited (“IBUK”) is seeking a highly organised, self-starter capable of collaborating with Legal, Compliance and Business stakeholders in delivering IBUK’s risk-based compliance testing and monitoring and supporting the compliance framework. The  Compliance Analyst will be an integral part of Compliance team and will assist with the fulfilment of Compliance responsibilities concerning market conduct, consumer protection and will deliver periodic independent testing and monitoring of operations for adherence to compliance policies and procedures and regulatory requirements while assessing the adequacy and effectiveness of compliance controls.   This role provides an opportunity to make a visible contribution to the team’s efforts and to the department with exposure to risk and controls functions, compliance management and technology.  The successful candidate will be able to  learn and apply data analytics and business...

About: Interactive Brokers is looking for a driven and proactive Business Systems Analyst to work under the general supervision of the Head of New Accounts Projects. Key responsibilities will be to work on enhancements to improve business processes and systems used by the Global New Accounts function, plus the wider IBKR client onboarding application.  The successful candidate will have a global as well as local responsibility, working closely with the Process Engineering team and local business stakeholders (New Accounts, Compliance, Legal, Software Development and Customer Service) to understand business challenges and develop solutions to solve them.  Responsibilities: Act as an experienced Analyst to support the Project/Change Management function. Support the Regional New Accounts Project Lead. Build close working relationships with our operational departments. Provide technical and numerical analysis (data-driven SQL), evaluation, and troubleshooting of...

We’re looking for a  Senior Legal Counsel - Corporate  to join our team at Monzo and help us build one of the best, most innovative banks in the world.  This role will have day-to-day responsibility for legal matters associated with Monzo’s corporate activities in the UK. This role reports directly to Monzo’s Director of Corporate, Legal and is part of the Legal team in the Legal & Board Governance Collective at Monzo under the leadership of Monzo Group General Counsel and Company Secretary. In this role, you will be at the heart of the action significantly contributing to Monzo’s expanding corporate activities. You will play a key role in the next stage of Monzo’s growth and development. The role comes with a broad scope of responsibilities and will help drive high-profile corporate transactions. You’ll be at the core of multi-disciplinary teams (including members of our Finance, Tax, Risk, Regulatory, Reward,...

About Kraken As one of the largest and most trusted digital asset platforms globally, we are empowering people to experience the life-changing potential of crypto. Trusted by over 8 million consumer and pro traders, institutions, and authorities worldwide - our unique combination of products, services, and global expertise is helping tip the scales towards mass crypto adoption. But we’re only just getting started. We want to be pioneers in crypto and add value to the everyday lives of billions. Now is not the time to sit on the sidelines. Join us to bring crypto to the world. This role is based in London. The UK Head of Compliance & Risk will have responsibility for the regulatory compliance of Kraken with all applicable requirements under UK law. You will serve a lead role in a cross-functional team that ensures Kraken remains at all times in a good regulatory standing in the UK. The ideal candidate should have experience working in a fintech or exchange...

We are searching for  Compliance Monitoring Analyst  to help our team based in London. ABOUT ASSURE HEDGE With offices in London, Dublin, and Portugal, we are disrupting and transforming a significant part of one of the biggest markets in the world – foreign currency hedging.   We are innovating, modernising, and reinventing an antiquated marketplace for some of the essential financial risk management products that everyday businesses need to manage their currency risk exposure. Assure Hedge has a very important reason for its existence.   Assure Hedge is leading innovation and digitisation and in turn, is cultivating a completely transformative OTC hedging platform and marketplace for FX Brokers and financial institutions (London and Europe).   Our company is regulated as a MiFID firm  and as such can create the OTC hedging instrument as a principal. The firm is also authorised by the UK...

Ripple is growing and we are looking for a dynamic, growth-oriented leader to join the Global Business Development Team as Director of Business Development for EMEA based in London. Ripple is a crypto solutions leader that is transforming how the world moves, manages, and tokenizes value. We are working to bring the Internet of Value to life - and looking for talent to help drive this crypto-enabled future.  The EMEA BD team is responsible for identifying and exploring new business opportunities and securing key partner relationships. As a senior leader and member of the Global BD organization and manager of the EMEA RippleNet BD team, you will set team strategy, manage a team of high performing deal-makers, and source and secure alpha and beta customers and strategic relationships with payment companies, fin-techs, banks, corporates, crypto companies and digital assets infrastructure players to enable Ripple's vision and grow the business. The ideal candidate will be a...

About Kraken As one of the largest and most trusted digital asset platforms globally, we are empowering people to experience the life-changing potential of crypto. Trusted by over 8 million consumer and pro traders, institutions, and authorities worldwide - our unique combination of products, services, and global expertise is helping tip the scales towards mass crypto adoption. But we’re only just getting started. We want to be pioneers in crypto and add value to the everyday lives of billions. Now is not the time to sit on the sidelines. Join us to bring crypto to the world. About the role: As part of the expansion of the business we are seeking an Index & Compliance Analyst who will be responsible for ensuring that the firm’s products are administered  to the highest standards, fully compliant with UK BMR and audited as such. This will involve working closely with the firm’s management, product and technology development functions. This role would allow...

About Kraken As one of the largest and most trusted digital asset platforms globally, we are empowering people to experience the life-changing potential of crypto. Trusted by over 8 million consumer and pro traders, institutions, and authorities worldwide - our unique combination of products, services, and global expertise is helping tip the scales towards mass crypto adoption. But we’re only just getting started. We want to be pioneers in crypto and add value to the everyday lives of billions. Now is not the time to sit on the sidelines. Join us to bring crypto to the world. About the role This role is based in London. As the designated Compliance Officer, you will have responsibility for the regulatory compliance of Kraken with all applicable requirements under UK law. You will serve a lead role in a cross-functional team that ensures Kraken remains at all times in good regulatory standing in the UK. The ideal candidate should have experience working in a...

LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth. Our culture of connecting, creating opportunity and delivering excellence shapes how we think, how we do things and how we help our people fulfil their potential. We are looking for people with relevant industry or technical experience who have taken an extended career break of at least 18 months or more. It might be that you’ve taken time out for childcare or eldercare, have relocated, or for any other reason. You could also have been studying or working on a small-scale basis to fit around your other commitment or have not done any paid work for a few years.  ELIGIBILITY You must have the right to work in the UK. You must have been out of formal employment for at least 18 months (we cannot accept consulting CVs). ROLE DETAILS We are looking for a Financial Crime Subject...

Role Responsibilities Providing a wide range of legal advice and support to the technology and procurement teams. Reviewing, drafting, revising and negotiating a wide range of agreements with vendors, partners and other third parties, including data licenses, software and other intellectual property related licenses, SaaS, outsourcing, master agreements, term and conditions, non-disclosure agreements, and other commercial agreements. Advising and responding on legal issues related to the collection, usage and licensing of data/software services from multiple sources, disputes, regulatory issues, technology, vendors, intellectual property, privacy and cybersecurity matters, data misuse, and consumer complaints. Supporting the coordination of legal matters handled by outside counsel and managed legal service providers. Sharing responsibility for maintaining, updating and revising contract template agreements, processes and playbooks, supporting on special projects where...

Company & Team – “About Us” IHS Markit’s Platforms and Regulatory Compliance group offers best-in-class technology and incorporate industry best practices to manage risk, comply with regulations and aid the financial services industry with meeting their compliance obligations. Our risk and regulatory compliance management solutions create a single source of truth for clients, with information about customers and vendors that is accurate and up to date. We provide extensive risk and compliance management coverage, allowing firms to reduce costs, reuse information and streamline processes with improved technology. Our world-class outsourced and managed services alleviate the pressure on client internal teams, helps reduce client operational costs, accelerates workflows, mitigates risk and enhances reporting accuracy. The breadth and depth of our services enhance business-critical functions for the entire regulatory cycle —including counterparty outreach, account...