Top Compliance Jobs in Glasgow

Leads global HAFS compliance assurance, risk-based control testing, remediation, finance process integration, and transformation across shared services and hotel entities. The role designs standardized controls and procedures, analyzes financial data, supports system implementations, prepares executive reporting, manages audit relationships, delivers training, and develops compliance team members. It requires extensive accounting, SOX, internal controls, finance transformation, stakeholder management, and people leadership experience in global or matrix environments.

Manage compliance controls covering information barriers, conflicts of interest, watch and restricted lists, wall crossings, research communications, and employee trade pre-clearance. Provide regulatory advice on UK and US securities laws, support surveillance, audits, policy updates, training, systems projects, and process improvements. Supervise sensitive research reviews and staff while coordinating with business units, lawyers, risk teams, and global compliance colleagues.

Manage financial-services compliance controls covering information barriers, conflicts of interest, Watch and Restricted Lists, wall crossings, research communications, and employee trade pre-clearance. Provide regulatory advice, supervise sensitive reviews, support surveillance and control enhancements, participate in audits and system projects, update policies, deliver training, and liaise with business and global compliance teams. The role includes VP-level supervision and shift-based EMEA coverage, including occasional weekend support.

Coordinates risk and compliance activities throughout the acquisition lifecycle, including due diligence, integration planning, mitigation tracking, regulatory filings, insurance onboarding, remediation, and implementation of policies and control frameworks. The role manages stakeholders, monitors milestones, escalates risks and dependencies, supports AML, sanctions, data protection, information security, and governance integration, and contributes to broader risk and compliance projects.

Supports Morgan Stanley’s Global Compliance audit team by executing audits, continuous monitoring, closure verification, and control testing. The role involves assessing compliance controls, identifying data patterns and anomalies, developing clear risk messages, collaborating with stakeholders, and managing multiple deliverables. Candidates should understand basic audit principles and communicate effectively. The position is based in Glasgow and requires UK work authorization without visa sponsorship.

Supports RiverStone’s financial crime framework across UK and Australian insurance businesses. Responsibilities include AML, sanctions, fraud, bribery and corruption risk assessments; screening and due diligence; investigations and referrals; control testing; governance reporting; policy maintenance; regulatory change monitoring; training; and M&A transaction support. The role requires practical compliance experience in regulated financial services, strong analytical and investigative skills, accurate recordkeeping, and the ability to manage regulatory requirements and multiple deadlines.

Reviews and approves financial promotions across channels, providing pragmatic regulatory advice on FCA rules, conduct risk, CAP and BCAP Codes, and Consumer Duty. The role manages complex and high-risk work, challenges stakeholders, delivers training, monitors regulatory developments, and improves promotional approval processes and guidance across the organization.

Lead Paddle’s global compliance and risk function, managing the compliance team and developing scalable monitoring, reporting, and enterprise risk frameworks. Ensure adherence to payments regulations, card scheme rules, consumer protection laws, data protection requirements, PSD2, and AML/KYC obligations. Oversee regulatory research, compliance reporting, incident investigations, and breach response while partnering with legal, product, operational, leadership, and regulatory stakeholders.

Supports FX risk and compliance operations by monitoring trading activity, investigating rule breaches, conducting KYC/AML and sanctions screening, maintaining policies and audit records, tracking FCA and ESMA developments, preparing management reports, and supporting GDPR compliance. Works with FX, Support, and Operations teams to resolve compliance issues and escalate documented findings.

Supports the Group Chief Compliance Officer in operating the compliance framework across regulated entities. Responsibilities include regulatory risk management, horizon scanning, governance, conduct risk, financial crime, third-party oversight, compliance monitoring, assurance, reporting, and strategic compliance initiatives. The role coordinates with local compliance teams, prepares senior-level reporting, supports regulatory engagement, and contributes to policy, technology, operational resilience, and M&A integration projects.

Leads UK regulatory compliance and privacy oversight, serving as the Data Protection Officer. Responsibilities include DPIAs, privacy risk assessments, breach governance, data subject rights, compliance monitoring, control reviews, audits, regulatory inquiries, management reporting, issue remediation, and translating requirements into governance standards. Partners with Legal, Product, Engineering, Operations, Risk, and Compliance teams to strengthen the UK compliance framework and oversee consumer protection, conduct risk, and vulnerable customer programs.

Leads compliance initiatives and audits of financial professional offices, evaluates regulatory adherence, documents findings, communicates deficiencies, supports remediation, trains team members, improves procedures, and provides compliance guidance. The role requires managing multiple audits, follow-ups, travel logistics, regulatory updates, and escalated issues while maintaining FINRA licensing and industry knowledge.

Own complex market abuse investigations from alert review through regulator-ready findings and stakeholder presentations. Review and recalibrate surveillance thresholds and models, integrate new products and data sources into surveillance platforms, conduct market abuse risk assessments, and support audit remediation. The role also contributes to conflicts of interest, information barriers, personal account dealing, and responsible use of AI and automation in regulated investigative work.

Participate in a 24-month rotational analyst program supporting BNY’s risk and compliance activities. Analyze information, identify trends, assess risk management practices, and assist with governance reviews, reporting, documentation, monitoring, and compliance efforts. Gain exposure to credit, market, liquidity, technology, operational, compliance, model, and enterprise risk while collaborating with global teams and developing analytical, communication, and risk management skills.

Supports enterprise risk and compliance activities through framework application, risk analysis, trend identification, governance reviews, reporting, documentation, and monitoring. The 24-month rotational program provides exposure to credit, market, liquidity, technology, operational, compliance, model, and enterprise risk while developing analytical, communication, judgment, and stakeholder collaboration skills.

Leads UK regulatory strategy, compliance frameworks, risk governance, and regulatory readiness for BJAK’s fintech-insurtech expansion. Serves as the primary FCA contact and establishes policies and controls covering AML, KYC, data privacy, consumer duty, distribution, claims, complaints, monitoring, audits, and testing. Partners with executive and cross-functional teams, oversees product and marketing compliance, conducts risk assessments, manages remediation, and builds compliance culture and training from the ground up.

Lead UK regulatory strategy, risk governance, and compliance operations for BJAK’s digital insurance platform. The role involves serving as the primary FCA contact, building compliance frameworks and controls, overseeing AML, KYC, privacy, consumer duty, distribution, claims, monitoring, testing, audits, complaints, and product compliance. The director will support market entry, advise cross-functional teams, deliver training, and establish a scalable compliance culture while pursuing SMF16 approval.

Lead UK compliance strategy and operations for BJAK’s digital insurance platform. Build regulatory frameworks, policies, controls, monitoring, testing, and reporting from scratch; oversee AML, KYC, data privacy, consumer duty, distribution, claims, product, marketing, pricing, complaints, and audit compliance. Serve as the primary FCA contact, support licensing and market entry, assess risks, manage remediation, advise cross-functional teams, and deliver compliance training. The role is hybrid in London, requiring office attendance at least three days weekly.

Lead UK regulatory strategy, risk governance, and compliance operations for BJAK’s fintech-insurance market entry and expansion. Build FCA-aligned compliance frameworks, policies, controls, monitoring, testing, reporting, and complaint processes from scratch. Oversee AML, KYC, data privacy, consumer duty, product and distribution compliance, pricing governance, and claims-related requirements. Act as the primary FCA contact, advise leadership and cross-functional teams, manage remediation, and develop company-wide compliance capability and training.

Lead UK regulatory strategy, risk governance, and compliance operations for BJAK’s market entry and expansion. Build compliance frameworks, policies, controls, monitoring, testing, and reporting covering AML, KYC, data privacy, consumer duty, distribution, claims, complaints, and product compliance. Serve as the primary FCA contact, oversee regulatory readiness, guide business strategy, manage remediation, and train cross-functional teams. The role requires building the compliance function from scratch in partnership with the CEO.

Lead UK compliance strategy and operations for BJAK’s digital insurance platform. Build regulatory frameworks, policies, controls, monitoring, testing, and reporting from scratch; oversee AML, KYC, data privacy, consumer duty, distribution, claims, product, marketing, pricing, complaints, and audit compliance. Act as the primary FCA contact, support licensing and market entry, advise cross-functional teams, conduct risk assessments, manage remediation, and deliver compliance training. The role is expected to hold the SMF16 Compliance Oversight function.

Senior compliance lead (SMF16) owning compliance across secured loans, mortgages, bridging and protection. Build and run a tech-enabled compliance framework, deliver Consumer Duty, investigate issues, coach first-line teams, use MI and AI to automate monitoring and reporting, and act as primary FCA contact.

Design, implement, and optimize AI-powered solutions to support financial compliance and controls. Monitor GAAP/IFRS adherence, automate controls and reporting, support internal/external audits, and manage complex accounting areas like revenue recognition and lease accounting while collaborating with finance, audit, and technology teams.