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133 Financial Services / Investment jobs in City Of London

Conduct & Compliance Asso...

Salary Not Specified

Natwest, City of London

  • Full time
  • Permanent

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Posted 1 day ago, 23 Apr

Apprentice Accountant

£18,000 a year

M J BUSHELL LTD, Brentwood

  • Full time
  • Permanent
  • Apprenticeship programme

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Posted 1 day ago, 23 Apr

Quantitative Analyst

Salary Not Specified

Forvis Mazars, Farringdon Within, City and County of the City of London

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Posted 3 days ago, 21 Apr

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Leveraged Finance Analyst...

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Macquarie Group Limited, City of Westminster

  • Full time
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Posted 1 week ago, 16 Apr

Front Office Portfolio De...

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Royal Bank of Canada, City of Westminster

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Posted 1 week ago, 16 Apr

Trainee Accountant

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London Borough Of Merton, City of Westminster

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Posted 1 week ago, 16 Apr

Fund & Investment Operati...

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Vanguard, City of Westminster

  • Full time
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Posted 1 week ago, 16 Apr

Financial Reporting Manag...

£71000-£85000

Monzo Bank Limited, City of Westminster

  • Full time
  • Temporary

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Posted 1 week ago, 16 Apr

Associate (11866)

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Investec, Cheap, City and County of the City of London

  • Full time
  • Permanent

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Posted 1 week ago, 16 Apr

Group Risk Oversight Mana...

£85000-£100000

Monzo Bank Limited, Plumstead Common, Greenwich

  • Full time
  • Permanent

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Posted 1 week ago, 16 Apr

Compliance Associate

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Cambridge Associates, City of Westminster

  • Full time
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Posted 1 week ago, 16 Apr

Finance Internal Control ...

£71000-£80000

Monzo Bank Limited, City of Westminster

  • Full time
  • Temporary

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Posted 1 week ago, 15 Apr

Director, Middle Market D...

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Mitsubishi UFJ Financial Group, City of Westminster

  • Full time
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Posted 1 week ago, 15 Apr

Director, Relationship Ma...

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Mitsubishi UFJ Financial Group, City of Westminster

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Posted 1 week ago, 15 Apr

Vice President / Director...

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Mitsubishi UFJ Financial Group, City of Westminster

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Posted 1 week ago, 15 Apr

Electronic Agency Sales

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UBS, City of Westminster

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Posted 1 week ago, 15 Apr

Vice President - Healthca...

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Lloyds Banking Group, City of Westminster

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  • Temporary

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Posted 1 week ago, 15 Apr

Technical Manager DC Pens...

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Willis Towers Watson, Redhill, Surrey

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Posted 1 week ago, 15 Apr

FP&A OPEX Analyst

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Apple Inc., City of Westminster

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Posted 1 week ago, 15 Apr

Model Risk Officer

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Appcast, City of Westminster

  • Full time
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Posted 1 week ago, 15 Apr
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Conduct & Compliance Associate, NatWest Markets

Salary Not Specified

Natwest, City of London

  • Full time
  • Permanent
Apply on Company Website
Search for similar jobs

Posted 1 day ago, 23 Apr

Job ref: 22822_R-00243904

Full Job Description

Join us as a Conduct & Compliance Associate in NatWest Markets

  • We’ll look to you to lead regulatory compliance and conduct insight, oversight and challenge
  • You’ll be providing expert support, advice, MI and escalation to leaders and the business on risk management
  • This is an opportunity to gain exposure as you own stakeholder relationships to make sure there’s an early understanding and buy-in of conduct risk appetite activity

What you'll do

As a Compliance Lead, you’ll be supporting executives in making sure that the business strategy for NatWest Markets Sales & Trading is consistent with and supports an effective regulatory framework. You’ll also be supporting executives on regulatory engagement with the FCA in relation to relevant matters relating to customer franchises and business units.

On top of this, you’ll be:

  • Mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm
  • Providing critical analysis and independent challenge, on the function’s strategy, and approach to defining and measuring the conduct risk appetite
  • Interrogating and assessing function structures and providing strategic regulatory advice through a focus on customer outcomes and regulatory expectations
  • Providing technical advice on the interpretation of regulatory rules applicable to the function and their impact on the operating model

The skills you'll need

To succeed in this role, you’ll need strong financial services experience, preferably in banking and regulated firms in the conduct risk environment. In addition, you’ll need broad technical knowledge of products, services and regulations relevant to a large retail and wholesale bank.

You’ll also demonstrate:

  • Knowledge and experience of providing regulatory and technical support and advice to senior management
  • The ability to analyse, understand and draw sound conclusions from a wide range of sources and information including MI
  • A track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline
  • Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills
  • The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated

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About this company

Natwest

View full company profile
We’re a business that understands when our customers and people succeed, our communities succeed, and our economy thrives. As part of our purpose, we’re looking at how we can drive change for our communities in enterprise, learning and climate. As one of the leading supporters of UK business, we’re prioritising enterprise as a force of change. We’re focusing on the people and communities who have traditionally faced the highest barriers to entry and figuring out ways to remove these. Learning is also key to our continued growth as a company in an ever changing and increasingly digital world. By setting a dynamic and leading learning culture, our people prosper, and our customers are given the tools to continue to improve their financial capability and confidence. One of the biggest challenges we all face in our future is climate change. That’s why we’ve put it right at the core of our purpose. We want to champion climate solutions with financing and entrepreneurial support, fully embed climate into our culture and decision making, and be climate positive by 2025. We’re committed to using our purpose to break down barriers, drive change and ultimately create a great place to work.
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