296 senior compliance specialist jobs found

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...

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...

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...

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...

With over 2,000 employees of more than 88 nationalities, Exness is the place for global teamwork, incredible leadership, a learning culture, and constant development. Unlimited by time zones, Exnessians from around the world have worked seamlessly together since 2008 to provide our traders with the best possible trading experience. Today, we stand proud with over 300,000 active traders and 2.5 trillion USD in monthly trading volume. Your role at Exness: You will be leading the regional compliance officers across the globe and supporting the compliance efforts of the company, reporting directly to the deputy head of compliance. You will collaborate with professionals with diverse skill sets to deliver impactful results on various projects and products. You will: Organize, plan, and carry out ongoing compliance audits, and monitoring. Identify key compliance risks and weaknesses and suggest related remediation activities. Monitor business activities, functions, and...

Role Profile Department Description Capital Markets Technology– LSE Plc – is the heart of the stock exchange. It provides core application development, engineering, service management and operations of all Equity technology platforms that underpin the London Stock Exchange and the services that it provides to its customers. We require an experienced solution architect to join the LSE Plc Architecture team to assist in the Architecture, design and governance of these applications. Team Description Responsible for engaging with, Department “Champions”, End Users, Delivery Partners & stakeholders in the delivery of complex Application solution architecture across the group. Skills will be based around application design standards cutting across both on-prem and cloud based development. Working directly with our Business Services to understand requirements and translate them into fit for purpose designs, both extending existing systems and assisting in the...

Responsibilities : Embeds record management best practices, policies, standards and control procedures across teams and associated Business Units, acting as a point of escalation for all related complex Records Management issues. Holds accountability for meeting the targets for the defined metrics and key performance indicators across Business Units, providing root cause analysis, reports and status updates to applicable stakeholders, closely working with the team to provide the necessary information. Acts as the point of contact for all change or regulatory related queries, working closely with Data Governance and Business Units, overseeing the completion of audits and striving to always ensure zero non-conformances. Identifies continuous improvement opportunities and creates plans on how to improve the Records Management practices, participating in budgeting decisions as required. Oversees and reviews work completed by team, provide training and support to increase...

The Senior Sales Specialist is accountable for executing Refinitiv`s strategy for growth and market differentiation. This role sits within the Enterprise Platform Proposition Sales Specialist Team will focus on Real-Time Data Feed s and Historical Data solutions primarily into Broker Dealers, Investment Banks, Hedge funds, and other Financial Institutions for Front, Middle and Back Office operations.  They work with and provide market insight to our Product Management, Sales Readiness and Account Management teams to support execution of this strategy. You will lead on deals aligned to this proposition and serve accounts within a defined territory. The role works closely with internal partners to proactively drive gross sales and revenue. Role Responsibilities   Structure, negotiate and close deals  Proactively identify pipeline opportunities, in coordination with Account Managers  Develop the sales strategy for their proposition within their territory...

Are you a passionate about working with potential customers to add value to their businesses? Do you love hunting for business in order to grow revenue and sales? If so, we'd love to hear from you! We have a great opportunity for a Sales Professional within the Regulatory Risk and Compliance space to join our growing and dynamic team who has a passion for sales and has a ”hunter” mentality. The Sales Specialist has responsibility for driving the Risk business development activity into the UK (existing customers and named prospects). You will be responsible for a gross recurring and outright sales revenue goal. The Customer & 3rd Party Risk Proposition Sales Specialist is responsible for growing the Refinitiv Risk business in a defined territory through prospecting for new clients and developing new business opportunities within existing customer accounts. The Sales Specialist must have domain knowledge of Governance, Risk and Compliance requirements and workflow. This...

The Sales Specialist is responsible for growing the Risk business in a defined territory through prospecting for new clients and developing new business opportunities within existing customer accounts. The Sales Specialist must have domain knowledge of Risk and Compliance requirements and workflow. This includes: AML/KYC Screening, EDD and Regulatory Content within the financial markets. The successful candidate must be able to effectively position and demonstrate the solutions in this area and through a consultative sales process. Role Responsibilities Structure, negotiate and close deals Proactively identify pipeline opportunities, working in tandem with the Account Managers Develop the sales strategy for their proposition within a given territory Provide insights and share thought leadership on their proposition with customers Deliver customer demonstrations on their specific propositions Qualifications and Experience Required As a subject matter...

The ‘Data and Analytic Operation Resilience’ team provide a 2LOD function to support the deployment and implementation of the Group Operational Resilience Framework across the D&A business. You will help assure that business units adhere to the Framework, by assessing services to identify Important Business Services, mapping and assessing those IBSs to identify vulnerabilities, tracking key resilience metrics in dashboards and supporting the business in generation of investment cases to remediate vulnerabilities in the IBS. Work with Operational Excellence and IBS Business Service Managers to assure process maps of IBS are up to date.    Work with Technology Architects to assure that technology application dependency maps and diagrams for IBS are accurate and up to date.    Work with Risk Dimension leads to keep D&A Divisional dimension risk and vulnerability assessment frameworks current and aligned with Group.    Work with the D&A Division Risk team to enhance and...

Role Purpose An experienced application support engineer is required to join the LSEG Capital Markets Technology team.  This is an opportunity to work with a global team of application support engineers operating a real time data distribution platform including data from the low latency FX platform. The team is responsible for production support of the product as well as integrating software changes into the enterprise environment as part of ongoing project work.  Data analysis of platform health and looking for opportunities to optimize systems. Role Responsibilities Proactive engagement with the development teams on features and bug reporting on the FX platform Deployment and maintenance of all applications of the FX platform Gain an in-depth knowledge of the unit’s processes and ensure compliance with these processes with solid focus on driving down incidents and problems while delivering changes Drive to fully automate operational processes through standard...

The Sales Specialist is responsible for growing the Risk business in a defined territory through prospecting for new clients and developing new business opportunities within existing customer accounts. The Sales Specialist must have domain knowledge of Risk and Compliance requirements and workflow. This includes: AML/KYC Screening, EDD and Regulatory Content within the financial markets. The successful candidate must be able to effectively position and demonstrate the solutions in this area and through a consultative sales process. Role Responsibilities Structure, negotiate and close deals Proactively identify pipeline opportunities, working in tandem with the Account Managers Develop the sales strategy for their proposition within a given territory Provide insights and share thought leadership on their proposition with customers Deliver customer demonstrations on their specific propositions Qualifications and Experience Required As a subject matter...

The ‘Data and Analytic Operation Resilience’ team provide a 2LOD function to support the deployment and implementation of the Group Operational Resilience Framework across the D&A business. You will help assure that business units adhere to the Framework, by assessing services to identify Important Business Services, mapping and assessing those IBSs to identify vulnerabilities, tracking key resilience metrics in dashboards and supporting the business in generation of investment cases to remediate vulnerabilities in the IBS. Work with Operational Excellence and IBS Business Service Managers to assure process maps of IBS are up to date.    Work with Technology Architects to assure that technology application dependency maps and diagrams for IBS are accurate and up to date.    Work with Risk Dimension leads to keep D&A Divisional dimension risk and vulnerability assessment frameworks current and aligned with Group.    Work with the D&A Division Risk team to enhance and...

Senior Architect reports to the Director of Architecture for Risk and News. Risk and News are responsible for the development of critical financial services such as World-Check & Screening, Due Diligence, and News service.   We are looking for a solution architect who has the technical expertise and leadership capability to influence technology strategy within the business.  MAIN RESPONSIBILITIES: Put together Logical, Physical, Implementation and Process architecture designs where required. Support application development teams in negotiating governance, privacy gates, compliance, and risk analysis.  Providing senior stakeholders with conceptual ideas of how solutions can be designed, at what cost and high-level timescales. Own, champion and oversee key quality of service requirements implementation for availability, recovery, reusability, performance, maintainability, security, capacity, and compatibility. Partner with Application and Cloud Architects to...

The role: Sales Specialist, Markit Digital Location: New York, NY Who is Markit Digital We design, develop, and host data rich, full featured, and high traffic web and mobile applications for financial institutions, brokerages, and media clients from all over the world. Our core focus is aggregating and delivering financial data and tools within our clients’ digital platforms. Markit Digital, an S&P Global Market Intelligence company, is hiring a sales specialist to drive our outbound sales efforts. You will have the opportunity to work in a professional environment with high profile companies in the finance industry. We are a small, tight-knit, high-energy group responsible for acquisition of new business and accounts, existing client support, and strategic opportunity development. We work closely in teams to promote an inclusive environment with tons of idea sharing. What you'll do at Markit Digital As a member of our Sales & Business Development...

S&P Global Market Intelligence The Role: Senior Specialist, Financial Analysis 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 Senior Specialist, Financial Analysis to support the Market Intelligence Divisional Finance, reporting team. The Senior Specialist, Financial Analysis will play a key role in supporting the monthly close and estimate process by aggregating required actual data, preparing and distributing reports, updating forecasts, and assisting with daily accounting and operational support. Additionally, the new Senior Specialist, Financial Analysis will provide support for the day-to-day management of financial operations involving expenses as well as assisting with special projects. The Impact: This position will work alongside the Finance Manager and Director to ensure all monthly...

The role: Corporate Actions - Sales Specialist S&P Global has a requirement for an experienced Sales Specialist to grow our business and user base within EMEA for its Managed Corporate Actions data service and Information Mosaic corporate actions processing solutions SaaS, IMActions, IMConnecting, IMAnalytics, and IMBridge.  The corporate actions sales team is a dedicated, revenue driven team responsible for client-facing activity including coordination of sales coverage to maximize cross-selling opportunities.  The role requires the candidate to have excellent written and verbal communication skills, strong organizational / coordination skills, broad experience in financial markets and corporate actions, generating new business and “hunter” style sales experience and the ability to manage complex relationships.  He/ She will be responsible for developing and maintaining close alliances with senior customer management personnel, offering recommendations through formal...

S&P Global Market Intelligence The Role: Corporate Actions Specialist, Equity Research and Fixed Income The Team: S&P Global’s Managed Corporate Actions (MCA) service is a best-in-class centralized source of validated corporate action announcements. The service provides a centralized source of validated corporate action data for nearly three million equities, fixed income, and structured securities across more than 170 countries and territories. As financial firms face a deluge of raw information on corporate actions, the risks and costs associated with acquiring and managing this data are higher than ever. An investment decision based on poor data quality, in terms of both accuracy and timeliness, can have enormous ramifications, with potential exposure running into the millions of dollars. The Managed Corporate Actions team validates data through an intricate and precise process of consolidating, researching, and validating announcement information. We...

S&P Global Market Intelligence The Role: Sales Specialist, Markit Digital The Team: The Markit Digital team designs, develops, and hosts data rich, full featured, and high traffic web and mobile applications for financial institutions, brokerages, and media clients from all over the world. Our core focus is aggregating and delivering financial data and tools within our clients’ digital platforms. Markit Digital, an S&P Global Market Intelligence company, is hiring a sales specialist to drive our outbound sales efforts in Asia. You will have the opportunity to work in a professional environment with high profile companies in the finance industry. We are a small, tight-knit, high-energy group responsible for acquisition of new business and accounts, existing client support, and strategic opportunity development. We work closely in teams to promote an inclusive environment with tons of idea sharing. The Impact: As a member of our Sales & Business...

📍London or Remote UK | 💰 circa £75k + Benefits | Blogs About us:  We’re here to make money work for everyone and we're doing things differently. For too long, banking has been obtuse, complex and opaque. We want to change that and build a bank with everyone, for everyone. Our amazing community suggests features, test the app and give us constant feedback so we can build something everyone loves. We're focused on solving problems, rather than selling financial products. We want to make the world a better place and change people's lives through Monzo. About our Legal Team: You’ll be joining a team of product lawyers to help Monzo build financial products in the right way. You’ll work closely with product managers, engineers and compliance advisors to help shape the way our customers experience Monzo. You’ll also be part of a wider team of lawyers and specialists in our Legal & Board Governance Collective. What you’ll be working on:...

LSEG is hiring Order Management Specialist to handle the quotes to cash process in the China market. This is a position that involves significant contact with internal customers, requires collaboration with other teams, and, at times, even interact directly with the client. The individual will need to meet defined key performance targets while adhering to departmental and compliance policies and processes. Responsibilities Manage the order process which includes entering orders into specialist systems. Work with internal and external customers to ensure the order is fulfilled according to agreed turnaround times and with vital accuracy. Handle the resolution of customer queries and issues through investigation, analysis, proposal of recommended solutions, and agreement on appropriate course of action. Raise any delays to internal groups including the senior members of the organization as appropriate. Collaborate with other team members to ensure all customer...

Department description : Capital Markets Operations provides a range of customer and operational services across the London Stock Exchange Group.  The core services provided by the department are: Technical Account Management, Technical onboarding, Software Certification, Client Support and Market Operations Services. Role Summary Are you a FIX protocol expert? Are you passionate about solving complex problems? Do you have strong analytical and logical thinking capabilities? Are you well organized, detail oriented with good time management skills? If the answer is yes, then we would like to speak with you about the FIX Onboarding Engineer role. We are looking for experienced and energetic FIX Onboarding Specialist's to join our Bangalore office and be part of a global FIX Onboarding team. The FIX Onboarding team is responsible for certification and onboarding of FIX clients and brokers on our industry leading multi asset class, multi broker execution managements system (REDI...

Senior Architect reports to the Director of Architecture for Risk and News. Risk and News are responsible for the development of critical financial services such as World-Check & Screening, Due Diligence, and News service.   We are looking for a solution architect who has the technical expertise and leadership capability to influence technology strategy within the business.  MAIN RESPONSIBILITIES: Put together Logical, Physical, Implementation and Process architecture designs where required. Support application development teams in negotiating governance, privacy gates, compliance, and risk analysis.  Providing senior stakeholders with conceptual ideas of how solutions can be designed, at what cost and high-level timescales. Own, champion and oversee key quality of service requirements implementation for availability, recovery, reusability, performance, maintainability, security, capacity, and compatibility. Partner with Application and Cloud Architects to...