Senior Compliance Officer Job at Brewin Dolphin (London)

Compliance Product Senior Officer - Senior Vice President

Serves as a senior function/business/product compliance risk officer for Indepen...

Location

France , Paris

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Expertise of Compliance laws, rules, regulations, risks and typologies
Excellent written, verbal and analytical skills
Ability to work collaboratively with regional and global partners in other functional units
Ability to navigate a complex organization
to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standard
Related certifications desirable
Bachelor’s degree
Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Job Responsibility

Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM
Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner
provide direction and guidance on the programs
Serving as a subject matter expert on Citi’s Compliance programs
Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk
Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product
Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
Participating in industry groups and trade association working groups or other forums
Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit

What we offer

Best-in-class benefits
Global benefits
Equal opportunity and affirmative action employer

Fulltime

Senior Corporate Compliance Officer

The Senior Corporate Compliance officer is primarily responsible for overseeing ...

Location

United Kingdom , London

Salary:

550.00 - 650.00 GBP / Hour

Jameson Legal

Expiration Date

Until further notice

Requirements

Comprehensive expertise & knowledge of Compliance domain/specialism
Comprehensive expertise & knowledge of Group Compliance functions good practice, policies & procedures
Comprehensive understanding of relevant laws and regulations, and the ability to interpret and apply them to complex business situations
Experience in a compliance related role focused around leading on governance and regulatory compliance
Excellent communication skills to effectively convey compliance requirements and policies
Ability to utilise compliance related platforms and tools to best manage compliance risk
Financial accounting and reporting knowledge
An understanding of Risk management
International governance and compliance experience
Working understanding of global built environment consultancy and broader construction industry

Job Responsibility

Providing a primary escalation point for all corporate compliance matters
Supporting the firm in its operational objectives, and to meet its obligations and standards globally
Ensuring and maintaining alignment of the firm’s policies & processes with local and global regulatory and legal frameworks
Maintaining the existing global compliance framework, and where required provide structured processes for supporting ethical and compliant behaviour throughout the organisation
Overseeing and managing global corporate compliance operations
Collaborating with relevant stakeholders to maintain regulatory and risk frameworks, controls, policies and procedures to enable effective and transparent decision-making and risk management
Providing direction, advice, and guidance to Senior Management, keeping abreast of regulatory changes and best practice
If required, assisting in resolving any contentious matters arising, including any disputes, complaints or investigations
Providing support to internal governance structures as they relate to Audit and Assurance in the testing for the effectiveness of compliance controls and procedures
Managing whistleblowing matters in line with the relevant local whistleblowing regulations

Fulltime

Senior Compliance Sanctions Officer

Serves as a senior compliance risk officer for Independent Compliance Risk Manag...

Location

Ireland , Dublin

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Expertise of Global Sanctions regulations, risks and typologies, including restrictive measures imposed by the OFAC, the OFSI and the European Commission
Broad knowledge of global capital markets products
Understanding of securities services and trading
Knowledge of securities settlements processes and transactions flows
Ability to clearly communicate with business heads providing credible challenge in difficult situations
Expertise of Compliance laws, rules, regulations, risks and typologies and interpretations of the regulations
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Highly motivated, strong attention to detail, team oriented, organized
Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

Job Responsibility

Provide sanctions guidance to Citi's Markets Businesses transacting in Global Capital Markets products
Provide sanctions oversight of in business controls and review in-flight and proposed transactions involving capital markets products
Executing and implementing firm-wide sanctions risk management policy as well as the strategic ICRM direction
maintaining the sanctions compliance program for the businesses (assessment of risks, development of policies, procedures, governance)
Designing and maintaining elements of the ICRM Sanctions Framework
Advising and overseeing adherence to procedures and processes for compliance by front line units meet required standards
Directing technology solutions that enable effective and efficient compliance risk management solutions
Supporting investigations and interactions with the U.S. Treasury Departments' Office of Foreign Assets Control (OFAC), competent authorities of the European Union (E.U.) Member States, the Office of Financial Sanctions Implementation of the HM Treasury (“OFSI”) and/or local government authorities
Monitoring adherence to Citi’s Global Sanctions Policy and relevant procedures to verify adherence to applicable requirements
Working closely with ICRM Compliance Assurance and Internal Audit in the evaluation of results and proposed remedial actions, identifying opportunities to conduct more targeted comprehensive reviews

What we offer

business casual workplace
hybrid working model
competitive base salary
additional benefits that support you (and your family) to be well, live well and save well

Fulltime

Compliance Testing Senior Officer - Equities & Spread Products

Serves as a senior compliance risk officer for Independent Compliance Risk Manag...

Location

United Kingdom , London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Extensive experience in Compliance Testing
Expertise in Equities and/or Spread Products
Expertise of Compliance laws, rules, regulations, risks and typologies
Extensive experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities for global businesses/programs
Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
Demonstrated career progression within highly respected diversified institutions with complex and diverse products and customers
Understanding of rules, laws, and regulations, and specific regulatory requirements impacting financial services
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions

Job Responsibility

Developing, implementing, and executing compliance testing, continuous testing, and reporting programs in accordance with the Compliance Independent Assessment (CIA) Plan
Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity in accordance with CIA Plan
Serving as a lead reviewer for complex reviews, analysing report findings, and communicating findings to corresponding control/process owners
Ensuring the timely delivery of high quality, value-added testing reports for a portfolio of business activities, which meet the requirements of the Boards of Citigroup and Citibank, their affiliates, and of Citi’s respective regulators, globally
Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities
Developing effective relationships within CIA function and with other stakeholders including Business process owners, Risk management and Internal Audit function
Identifying industry best practices and share insight with the CIA teams on a regular basis
Informing CIA management of significant compliance matters that require their attention or action

Fulltime

Senior Compliance Manager/Director of Compliance

This is a unique opportunity to help build out Verkada’s global regulatory compl...

Location

United States , San Mateo

Salary:

205000.00 - 275000.00 USD / Year

Verkada

Expiration Date

Until further notice

Requirements

Bachelor's degree from a four-year university (computer science/engineering degree or equivalent IT background strongly preferred)
8+ years of relevant compliance experience
Deep technical understanding of security engineering principles and architectures, specifically those related to cloud security, IoT, edge computing, AI/ML, and computer vision
Demonstrated experience managing compliance programs related to FTC regulations and consent decrees, and CCPA/CPRA risk assessment requirements
Ability to effectively and autonomously accomplish outcomes across cross-functional teams in ambiguous situations with minimal supervision
Proven understanding and experience with data privacy and security technologies/applications/tools
Significant experience with audits, risk, and compliance programs
Ability to multitask, prioritize work, and meet deadlines in a fast-paced environment
Focus on precision and accuracy, and the drive to clarify ambiguity

Job Responsibility

Act as the primary legal compliance partner for the Security team, translating legal and regulatory requirements (e.g., FTC, CCPA) into actionable security controls and procedures
Lead the internal audit function for regulatory security, privacy, and AI compliance, regularly assessing the effectiveness of security controls against legal obligations and providing detailed reports to the Chief Privacy Officer, Chief Information Security Officer, and other stakeholders in security and privacy governance leadership
Work with key privacy, security, and product leaders to develop and lead the company’s legal regulatory compliance program, ensuring ongoing compliance with Verkada’s evolving data privacy, security, risk and governance obligations
Develop and oversee the company's compliance framework with a focus on an ongoing FTC-mandated infosec program, as well as CCPA/CPRA risk requirements, ensuring all controls are documented, implemented, and tested
Implement and maintain tooling and processes in support of testing and continuous monitoring of legal and security controls across multiple domains: privacy, product, security, AI, IT, etc.
Participate in annual risk assessments with the security team, and assist them in preparing risk treatment plans, including escalation paths and remediation processes
Work closely with external auditors and assessors to educate them about and achieve continuous compliance over the control environment
oversee gathering and maintaining necessary evidence for the audit process
Create procedural documentation, including standard operating procedures and other process-related documentation
Communicate progress, escalations, and issue resolution to management and team stakeholders

What we offer

Healthcare programs that can be tailored to meet the personal health and financial well-being needs - Premiums are 100% covered for the employee under at least one plan and 80% for family premiums under all plans
Nationwide medical, vision and dental coverage
Health Saving Account (HSA) with annual employer contributions and Flexible Spending Account (FSA) with tax saving options
Expanded mental health support
Paid parental leave policy & fertility benefits
Time off to relax and recharge through our paid holidays, firmwide extended holidays, flexible PTO and personal sick time
Professional development stipend
Fertility Stipend
Wellness/fitness benefits
Healthy lunches provided daily

Fulltime

Surveillance Senior Officer

Serves as a compliance risk officer for Independent Compliance Risk Management (...

Location

United Kingdom , Belfast

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Expertise of Compliance laws, rules, regulations, risks and typologies
Ability to organize workflow, ideas and materials
Experience with drafting Business Requirement Documentation (BRD)
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Self-motivated and detail oriented
Advanced presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work collaboratively with regional and global partners in other functional units
ability to navigate a complex organization
to influence and lead people across cultures at a senior level

Job Responsibility

Creating, enhancing and implementing Employee Compliance controls by coordinating with Compliance Technology on the timely implementation of enhancements and proactively addressing potential issues
Gathering, reviewing, investigating and analyzing employee related information as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g., FINRA, SEC, CFTC). The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments
Overseeing the monitoring to adherence to ICRM’s Risk Policies and relevant procedures
preparing, editing and maintaining Compliance program related materials
interacting and working with other areas within Citi, as necessary
and keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
Interacting with global counterparts in regards to the governance of Employee Compliance controls portfolio
Driving the Program across the Franchise, interacting with Businesses, PFICRM, Country ICRM to address issues
Oversee the BAU process by partnering with clusters’ Execution teams

Fulltime

Business Risk Senior Officer

Join Citi's Markets Controls team to lead several critical control and governanc...

Location

United Kingdom , London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Extensive proven experience in risk and control analysis, evaluation, and management either in a first line of defence, compliance or internal audit role in Financial Services
Minimum 10 years relevant experience with ability to demonstrate deep technical knowledge of Markets sales and trading processes across multiple asset classes
Excellent relationship-building, senior stakeholder management, problem solving and communications skills (both written and verbal)
Proven track record of successful delivery to high quality standards with excellent attention to detail, an analytical mindset and drive for results
Self-starter with ability to manage and prioritize effectively and resolve conflicting priorities

Job Responsibility

Lead the design and implementation of the RCSA across multiple global businesses, including development and maintenance of standardised risk and control profiles to provide a comprehensive assessment of operational and compliance risks, tailored to specific asset classes where relevant
Accountable for engaging senior management in each global business to agree and refine applicability of standardised global risk and control profiles to their business, and for recommending changes to standardised risk and control profiles considering changes in the business operating environment including emerging risks
Establish and champion control expectations within core Markets sales and trading processes aligned to businesses own objectives and standards defined by 1LoD risk and control teams
Ensure that control expectations within core Markets sales and trading processes adhere to robust review and challenge by second and third lines of defence, and peer benchmarks
Provide subject matter expertise in all aspects of RCSA Program execution to Markets business senior management and stakeholders, including collaboration across the wider RCSA and Controls Monitoring, and Product Governance Teams
Lead responses to required and ad-hoc reviews and regulatory / supervisory examinations of accountable areas within the RCSA Program across all Markets businesses

What we offer

Generous holiday allowance starting at 27 days plus bank holidays
increasing with tenure
A discretional annual performance related bonus
Private medical insurance packages to suit your personal circumstances
Employee Assistance Program
Pension Plan
Paid Parental Leave
Special discounts for employees, family, and friends
Access to an array of learning and development resources

Fulltime

SVP, Risk Management Independent Assurance Senior Officer

The RMIA Senior Officer will provide oversight of L0/L1 Risk stripes’ (e.g.; Who...

Location

Canada , Mississauga

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

10+ years of experience in Risk Management
Knowledge of Internal Audit or Compliance methodologies and approaches
Bachelor’s degree or higher
Leadership – independently lead projects and assignments and manage all contacts involved to ensure successful delivery and completion
Program and project management – ability to work towards the greater goal, execute on, and closely monitoring details of sub-steps in the overall project and deliver on time
Demonstrate strong communication, interpersonal and negotiation skills – proven written and verbal communication is key given the various level of management interaction required
Evolving interpersonal skills, with the ability to build relationships and exert influence with and without direct authority
Strong Risk Management (various disciplines) and controls framework knowledge
working knowledge of Citi policies is preferred
Understanding of quality assurance/control practices and approaches

Job Responsibility

Provide oversight of Independent Assurance activities across Risk stripes, including tracking of annual coverage and adherence to RMIA Standard and Procedure
Perform review and challenge of coverage plan components and scope of reviews across Risk stripes, ensure effective testing of design and execution of risk controls
Conduct periodic quality assurance/control reviews across Risk Stipes
Perform annual testing and monitoring over select Risk-owned Tier 1 Regulations (e.g. Legal Lending Limits) and ensure that any identified deficiencies are appropriately remediated
Assist in quarterly and ad-hoc program level reporting, including metrics and trends, and provide periodic updates to Head of RMIA, governance groups, Internal Audit, and Regulators, as required
Establish relationships with key contacts across Risk stripes and lines of defense to enable success in program implementation and overall collaboration

Fulltime

Senior Compliance Officer

Brewin Dolphin

Location:
United Kingdom , London

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
March 19, 2026

Expiration:
March 20, 2026

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