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Job description Connect to your Industry In a world that is constantly changing, organisations need to adapt quickly, this is your opportunity to join Deloitte's market-proven Non-financial Risk team and help our clients to better manage their risks on a day-to-day basis across the enterprise. You will develop an impressive range of commercial skills that will multiply your career options. Benefiting from early client exposure and collaborating with some of the top practitioners in the field, you will be involved in some of the largest, most complex and innovative advisory engagements in the UK and internationally. Our Non-financial Risk team offers unrivalled depth of experience in providing solutions based on our client needs. We design, implement and provide assurance over enterprise risk management approaches including risk strategies, operating models and risk management and appetite frameworks and associated processes. In addition, we help clients develop an effective risk culture to underpin their risk management activities. Our Financial Services clients are being driven by regulatory pressures, the need to do 'more with less' and increasingly a desire for a more integrated approach to risk management across the enterprise. They look to our professionals to help them achieve that aim, efficiently and with an unrelenting focus on their needs. Connect to your career at Deloitte Deloitte drives progress. Using our vast range of expertise, we help our clients' become leaders wherever they choose to compete. To do this, we invest in outstanding people. We build teams of future thinkers, with diverse talents and backgrounds, and empower them all to reach for and achieve more. What brings us all together at Deloitte? It's how we approach the thousands of decisions we make every day. How we behave, our beliefs and our attitudes. In other words: our values. Whatever we do, wherever we are in the world, we lead the way, serve with integrity, take care of each other, foster inclusion, and collaborate for measurable impact. These five shared values lead every decision we make and action we take, guiding us to deliver impact how and where it matters most. Connect to your opportunity We are looking for a candidate with a background in operational risk management, enterprise risk management and risk culture who can demonstrate a track record of subject area knowledge, relationship building and a desire to gain experience and progress their career. Your focus will be on providing innovative solutions to our clients across risk transformation and non-financial risks; and you will contribute to our ambitious growth plans for our team and propositions. Part of the role you will: <ul> <li> Work on variety of projects such as Risk Transformation supporting clients with the design and implementation of their Future Risk Operating Models and Vision; Risk Management Frameworks' design and implementation including, for example, Risk Strategies, Risk Appetite, Risk Governance, Risk Assessments and Risk Culture. </li> <li> Liaise with clients both face to face and remotely. </li> <li> Manage the planning and execution of projects part of Engagement Teams. </li> <li> Manage sometimes tight deadlines, often requiring prioritisation of numerous activities and requirements. </li> <li> Analyse and drive insights from client current state practices versus our market-leading benchmarking tools. </li> <li> Provide research and analysis related to Risk Culture, Operational Risk and other non-financial risk projects, business development and thought leadership where appropriate. </li> <li> Have an opportunity to work in multi-discipline teams; have a clear understanding of the firm's commitment to creating a more inclusive team culture where people are recognised for their contribution. </li> </ul> Connect to your skills and professional experience Essentials: <ul> <li> Experienced in Financial Services within Operational Risk Management, Risk Culture, and/or broader Enterprise Risk Management frameworks and operating models. </li> <li> Educated to a degree level or equivalent experience. </li> <li> Someone who can analyse complex information, draw insights and write high quality outputs including reports. </li> <li> Natural at taking initiative. Someone who can think creatively, generate innovative ideas, challenge the status quo and deliver effectively with what can often be ambiguous requirements. </li> <li> Able to connect with clients, industry experts and colleagues in the field to share insights and opportunities to drive personal and business growth via a diverse network. </li> <li> Open to travel to client sites as required by this position. </li> </ul>Desirables: <ul> <li> Familiar with insurance regulatory requirements including PRA and FCA. </li> </ul> Connect to your business - Strategy, Risk &amp; Transactions Advisory In an ever-evolving world, there are no certainties in business. Our teams help clients to navigate risks, process major transactions and deliver transformational change that will future-proof their business. Join us to make a positive difference. Regulatory &amp; Financial Risk We provide advisory services across the risk and regulatory landscape to help our clients move beyond simply meeting the minimum compliance standards, to strategically creating a responsible, sustainable future. This includes providing critical insight and advice on the future of regulation to assist our clients in anticipating change and responding with confidence. Personal independence Regulation and controls are standard practice in our industry and Deloitte is no exception. These controls provide important legal protection for both you and the firm. We are subject to a number of audit regulations, one of which requires that certain colleagues abide by specific personal independence constraints (e.g., in relation to any financial interests and employment relationships). This can mean that you and your "Immediate Family Members" are not permitted to hold certain financial interests (shares, funds, bonds etc.) with audit clients of the firm, and also prohibitions on certain employment relationships (e.g., you are not permitted to hold a secondary employment role with SEC audit clients of the firm whilst being employed by the firm). The recruitment team will provide further detail as you progress through the recruitment process or you can contact the Independence team upon request. Connect with your colleagues "At Deloitte you're given all the training, support and on the job experiences you need to equip you with the core skills and knowledge for your role. I've been supported in developing technical and leadership skills for example" - Gurpal, Risk &amp; Transactions Advisory Our hybrid working policy You'll be based in London with hybrid working. At Deloitte we understand the importance of balancing your career alongside your home life. That's why we'll support you to work flexibly through our hybrid working policy. Depending on the requirements of your role, you'll have the opportunity to work in your local office, virtual collaboration spaces, client sites and remotely. You'll get the chance to meet face to face when needed, while you collaborate and learn from colleagues, share your experiences, and build the relationships that will fuel your career and prioritise your wellbeing. Please check with your recruiter for the specific working requirements that may apply for your role. Our commitment to you Making an impact is more than just what we do: it's why we're here. So we work hard to create an environment where you can experience a purpose you believe in, the freedom to be you, and the capacity to go further than ever before. We want you. The true you. Your own strengths, perspective and personality. So we're nurturing a culture where everyone belongs, feels supported and heard, and is empowered to make a valuable, personal contribution. You can be sure we'll take your wellbeing seriously, too. Because it's only when you're comfortable and at your best that you can make the kind of impact you, and we, live for. Your expertise is our capability, so we'll make sure it never stops growing. Whether it's from the complex work you do, or the people you collaborate with, you'll learn every day. Through world-class development, you'll gain invaluable technical and personal skills. Whatever your level, you'll learn how to lead. Connect to your next step A career at Deloitte is an opportunity to develop in any direction you choose. Join us and you'll experience a purpose you can believe in and an impact you can see. You'll be free to bring your true self to work every day. And you'll never stop growing, whatever your level. Discover more reasons to connect with us, our people and purpose-driven culture at deloitte.co.uk/careers WPFULL SLSRTA BARISREG

Manager, Insurance Enterprise and Operational Risk Management and Risk Culture

LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It's how we've contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years! Through a comprehensive suite of trusted financial market infrastructure services - and our open-access model - we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity. LSEG is headquartered in the United Kingdom, with significant operations in 65 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG's ticker symbol is LSEG. The Role: We are seeking an experienced and self-motivated senior risk professional with extensive knowledge in operational risk and resilience, particularly within the EU and UK regulatory landscape to join LSEG Regulatory Reporting, part of the Markets division at LSEG. You will be adept in understanding and applying operational risk best practice, with a deep focus on strengthening operational risk frameworks and ensuring resilience. You must demonstrate a deep understanding of operational risk, with the ability to work closely with, and manage effectively, the senior leadership team. The successful candidate will have a proven ability to influence and advise senior management and boards on risk management priorities, strategy, and compliance. Key Responsibilities: Operational Risk &amp; Resilience Management: <ul><li>Lead the identification, assessment, and mitigation of operational risks across the organisation. Work closely with business departments to ensure risks are understood and handled effectively.</li><li>Ensure the organisation's resilience frameworks are in line with regulatory requirements (e.g., DORA, FCA's Operational Resilience framework).</li><li>Develop and lead risk management programs, including scenario testing and stress-testing exercises to assess the organisation's ability to withstand operational disruptions.</li><li>Coordinate the implementation of business continuity and disaster recovery plans, ensuring they are regularly tested and updated.</li><li>Lead third-party risk assessments and ensure that outsourced operations align with internal risk and resilience standards.</li><li>Experience in developing KRIs, KCIs and Risk MI</li></ul>Regulatory Knowledge &amp; Compliance: <ul><li>Keep the organisation compliant with key regulations, such as DORA (Digital Operational Resilience Act), the FCA's operational resilience framework, and SOC2 requirements.</li><li>Support the preparation for audits and regulatory inspections, ensuring that all required documentation and evidence are prepared in advance.</li></ul>Senior Management Communication: <ul><li>Present key operational risk updates to the Management Committee, Board, and senior colleagues, ensuring they understand potential risks and mitigation strategies.</li><li>Provide thought leadership and strategic insights on operational resilience and risk management to senior management.</li><li>Collaborate cross-functionally with other teams (e.g., IT, legal, compliance) to ensure all aspects of operational risk are being effectively handled.</li><li>Influence and advise senior management and boards on risk management priorities, strategy, and regulatory compliance.</li></ul>Continuous Improvement &amp; Scenario Testing: <ul><li>Lead scenario testing initiatives to assess the resilience of operational functions in the face of various disruptions (e.g., cyber incidents, market shocks, regulatory changes).</li><li>Identify areas for improvement and champion projects to enhance the organization's overall operational resilience.</li><li>Support the development and delivery of training programs to increase awareness of operational risk and resilience across the organization.</li></ul>Skills and Experience Required: Operational Risk Experience: <ul><li>Strong background in operational risk management, resilience, and controls in a senior role.</li><li>Experience working with regulatory frameworks such as DORA, FCA's operational resilience agenda, and SOC2 compliance.</li><li>Ability to identify and mitigate operational risks effectively, with a focus on maintaining business continuity.</li></ul>Senior-Level Communication &amp; Presentation Skills: <ul><li>Experience presenting complex operational risk data to senior management, the board, and external partners in a clear, actionable manner.</li><li>Ability to influence senior leaders on risk-related decisions and operational improvements.</li><li>Strong report-writing skills to deliver structured and impactful presentations.</li></ul>Scenario Testing &amp; Stress-Testing: <ul><li>Experience in conducting scenario testing and stress-testing exercises, assessing the impact of various risk events on operational functions.</li><li>Familiarity with the tools and techniques used to perform and analyse such tests.</li></ul>Regulatory Compliance &amp; Audit Preparation: <ul><li>Deep understanding of SOC2 requirements and the ability to drive compliance across operational processes.</li><li>Ability to prepare for and lead regulatory audits and inspections, ensuring all necessary documentation and action plans are in place.</li></ul>Key Competencies: <ul><li>Analytical Thinking: Strong ability to analyze operational risks and identify solutions that balance resilience with efficiency.</li><li>Problem-Solving: Ability to think creatively and address complex operational challenges.</li><li>Leadership: Experience managing teams, driving projects, and influencing senior leaders on risk-related issues.</li><li>Collaboration: Ability to work across departments and influence colleagues at all levels to improve operational risk management processes.</li><li>Attention to Detail: Strong focus on accuracy and thoroughness when designing controls and assessing risks.</li></ul>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 purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions. Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity. LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives. We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone's race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it's used for, and how it's obtained, your rights and how to contact us as a data subject. If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.

Senior Manager, Operational Risk (First Line)

<ul> <li>The role requires the ability to effectively collaborate with other members of Risk, Business Services (Operational Resilience, Change, and Third Party and Outsourcing (TP&amp;O)) to secure buy-in for oversight and monitoring, and implement improvements to systems, processes, and technology, as appropriate.</li> <li>To apply knowledge and insights concerning Non-Financial Risk, including Operational Resilience, Change and TP&amp;O, Operational Risk, IT and systems risk and Conduct Risk, and how this impacts our policyholders. </li> <li>To provide challenge to the first line, reviewing Management Information, testing and other documentation to ensure a high degree of accuracy and regulatory compliance.</li> <li>To deliver good outcomes for the business, policyholders, shareholders, and other stakeholders.</li> <li>Our Company values are expected to be reflected in the delivery and performance of every role.</li> </ul>Specific accountabilities assigned to the role of Non-Financial Risk Manager within Risk <ul> <li>Conduct thorough analysis of first line tests, papers and Management Information, particularly review of Third-Party assessments, Exit plans, Operational Resilience scenario tests, mapping and vulnerabilities.</li> <li>Responsible for the successful delivery of routine reporting for the NFR team, input into Risk and Control Self Assessments (RCSA) process, Own Risk and Solvency Assessment (ORSA) scenario process and event management as required.</li> <li>Collaborate with and support the rest of the team, both the Operational Risk Managers and the Non-Financial Risk Leads, to ensure good coverage of business as usual work load, and assist with specific deep dives, projects, new deals, or field work where necessary.</li> <li>Prepare comprehensive reports reflective of the intended audience that demonstrate sound analysis and recommendations for Operational Risk, Management Risk and Board Risk Committees.</li> <li>Effectively collaborates with both the Non-Financial Risk team, the wider Risk team and the first line.</li> <li>Takes ownership for their own learning and development in both technical (e.g. data analysis and critical judgement) and non-technical (self-insight and relationship management) skills of Non-Financial Risk Management.</li> <li>Keeps informed of industry trends, market developments, regulatory changes in the public and private sectors, as well as best practice related to Non-Financial Risk Management by attending industry seminars, reading and sharing relevant published articles.</li> </ul>Requirements Knowledge <ul> <li>Good technical knowledge of Operational Risk Frameworks</li> <li>Good technical knowledge of business processes, standards, policies and procedures</li> <li>Good knowledge of relevant legal and industry requirements</li> <li>Good knowledge of non-financial risks </li> <li>Good knowledge of Operational Resilience regulations</li> <li>Good knowledge of best practise for change. </li> </ul>Experience <ul> <li>Professional qualification useful but not essential</li> <li>Prior experience of a risk management role in a relevant financial services entity (insurance, asset management, banking)</li> <li>Familiarity with the UK regulatory environment </li> <li>Experience in developing good relationships with stakeholders</li> <li>Experience of delivering high standard good quality management information, documentation and reporting.</li> </ul>Benefits In addition to a competitive base salary and the opportunity to participate in our annual, performance-related bonus plan, upon joining us here at Pension Insurance Corporation, you will get access to some great benefits, including private medical insurance, 28 days' annual leave (excluding bank holidays), a generous pension scheme and much more.

Non-Financial Risk Manager

About Clear Street: Clear Street is modernising the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm, replacing the legacy infrastructure used across capital markets. We started from scratch by building a completely cloud-native clearing and custody system designed for today's complex, global market. Clear Street's proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimising risk, redundancy, and cost for clients. Our goal is to create a single source-of-truth platform for every asset class, in every country, and in any currency. By combining highly-skilled product and engineering talent with seasoned finance professionals, we are building the essentials to compete in today's fast-paced markets. The Role: The Compliance Manager will work with the Head of Compliance to develop and manage the CSUK regulatory control framework and function, ensuring compliance with all applicable laws and regulations including those covering conduct of business, SMCR, client assets, RTS 22, EMIR, SFTR, best execution and conflicts of interest. This role will encompass all aspects of the control framework, incorporating policy development, advisory, training, monitoring, investigations and reporting, and client, counterparty and regulatory engagement. The function holder will take a lead role in managing the software that is used as part of the control program, including vendor management and liaison. This is an excellent opportunity for those wanting to contribute within a fast-paced financial technology environment. The right candidate will have the opportunity to make a big impact through building and shaping this capability across the business. Responsibilities: <ul><li>Provide regulatory advice across a broad range of regulations and products, including CASS, EMIR and SFTR.</li><li>Contribute to the ongoing strengthening of the compliance control framework including establishing new controls and writing new policies and procedures.</li><li>Oversee core regulatory processes such as personal account dealing, conflicts clearance and employee onboarding / offboarding.</li><li>Conduct and / or oversee compliance risk assessments.</li><li>Help prepare and deliver the annual compliance plan.</li><li>Help prepare and deliver the annual compliance training program, deliver specialized content face to face as necessary.</li><li>Undertake compliance monitoring reviews and ensure that corrective action is taken where necessary.</li><li>Keep up to date with regulatory legislation, regulation and industry best practice and initiatives, and keep others abreast of relevant changes.</li><li>Contribute to the development and management of the suite of compliance policies and procedures in line with relevant legislative and regulatory requirements.</li><li>Conduct and / or oversee investigations into regulatory breaches and incidents. Ensure appropriate remedial action is taken where necessary.</li><li>Assist with regulatory examinations and audits.</li><li>Coordinate with regulators and auditors on regulatory matters.</li><li>Prepare and provide documentation to support the effectiveness of the regulatory risk management program.</li><li>Provide guidance on the regulatory implications of new business initiatives.</li><li>Promote a strong culture of compliance.</li><li>Ensure that regulatory returns are completed on a timely and accurate basis.</li></ul>Skills required: <ul><li>Ten years of experience in a compliance role within the wholesale financial services industry.</li><li>Strong understanding of UK and international regulatory legislation, regulation and best practice, including MIFID, MAR, EMIR, SFTR, FSMA, FCA rules, ESMA Guidelines, etc.</li><li>Detailed knowledge of the CDD requirements for onboarding complex and high-risk clients, including offshore entities, hedge funds, unregulated corporates, politically exposed persons and oligarchs.</li><li>Excellent analytical, problem-solving and decision-making skills.</li><li>Strong written and verbal communication skills.</li><li>Ability to prepare clear and concise management information reports.</li><li>Proficiency in Microsoft Office suite.</li><li>Confidence to deal with colleagues at all levels of the organisation and get buy-in in order to enhance processes and procedures. </li><li>Ability to speak a foreign language desirable.</li><li>Thorough knowledge of CASS, EMIR, SFTR.</li><li>LME experience preferred.</li><li>Futures and options experience preferred, both on and off exchange.</li><li>Educated to degree level.</li><li>(Preferred) Professional qualifications in compliance management preferred, such as CISI or ICA.</li></ul>We Offer: At Clear Street, we offer competitive compensation packages, company equity, pension, gender neutral parental leave, and full medical and dental insurance. Our belief has always been that we are better as a business when we are all together in person. As such, we are requiring employees to be in the office a minimum of three days per week. Our top priority is our people. We're continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse - in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer. #LI-Hybrid

Compliance Officer

Senior Compliance Manager Department: Risk &amp; Compliance Employment Type: Permanent - Full Time Location: London Compensation: GBP 75,000 - GBP 105,000 / year Description Senior Compliance Manager London Freetrade's mission is to become the default place to invest. Investing has been too complicated and expensive for too long, keeping millions from making the most of their savings. We're changing that. We're building our team and looking for people who are excited to reshape how our customers invest and grow their wealth. If you're driven by solving complex problems and building innovative products, you'll fit right in. 2025 is a big year for us. In January, we announced a game changing deal to become part of the IG Group. We'll continue to operate as an independent business while gaining access to the resources and support of an established leader in the space. This year, we're accelerating our roadmap and taking our products to the next level. We're building new features like mutual funds, bonds, and family investment tools. We're also exploring how we can leverage AI to deliver an even better experience for our customers. We are looking for an exceptional Compliance Senior Manager to join our team. In this role, you will work with colleagues in the UK and Budapest across a wide range of compliance activities, supporting our oversight of the business and helping to ensure that we deliver good outcomes to our customers. You will be part of a team that is always looking to improve the structure and processes within the business to become as efficient as possible as we support business growth and bring new products to market. You will... <ul><li>Help lead the delivery of Freetrade's Global Compliance programme, focusing on delivering regulatory and compliance advice across the organisation. </li><li>Take the lead on Compliance Advisory initiatives - working with our product team, engineers, operations and customer-facing teams to provide strong and pragmatic advice on business and customer issues, new products strategic initiatives and regulatory change.</li><li>Provide oversight and challenge to the business through engagement with other teams at all levels of the firm. </li><li>Oversee elements of the programme of Compliance reviews and controls testing.</li><li>Manage, support and coach other members of the Compliance team, help them build their careers and develop their technical and soft skills. </li><li>Oversee the delivery of key Compliance policies, processes and controls and proactively identify and implement enhancements to them. </li><li>Contribute to the production and delivery of internal and governance reports.</li></ul>You have... <ul><li>You have strong financial services industry experience - at least 7 years in Compliance at a retail-focused financial services company or working at a regulator or a large consultancy. </li><li>Ideally you have held a senior role in Compliance at a retail investment broker.</li><li>You have strong knowledge of UK financial services regulations, preferably as they apply to retail investments. Knowledge of Data Privacy rules would also be an advantage.</li><li>You are interested in financial services regulation and are passionate about delivering good outcomes to customers</li><li>You are a strong and supportive manager and can get the best out of your team. You are keen to share your knowledge and are open to giving (and receiving) continuous feedback.</li><li>You are a strong communicator who thrives working cross-functionally across the firm. </li><li>You can influence people of all grades to deliver the right outcomes for clients. </li><li>You are excited about what we're doing at Freetrade and where we're headed!</li></ul>Benefits &amp; Logistics Freetrade is the place to accelerate your career. Our benefits package and ways of working are designed to attract and retain the most talented people who are dedicated to making an impact at Freetrade. Here's what's on offer in 2025: Office first culture - we have beautiful office spaces in central London and Budapest where, four days a week, you collaborate with colleagues in person. One of our core behaviours is that we're a team that works better together. Values: At Freetrade we live and breathe our values: Honesty, Focus and Grit. Expect to be asked about these in your interview! Benefits In London: <ul><li>Competitive salary - carefully benchmarked.</li><li>Holidays - 25 days plus UK public holidays. Your birthday off, plus one extra day for every year at Freetrade.</li><li>Enhanced pension - We'll match your contributions up to 5%.</li><li>Group Life Insurance - Protect your loved ones with coverage at 5x your salary, ensuring financial security in any circumstance. </li><li>Private Health Insurance - Which includes access to high quality medical care, mental health support, dental and vision plans, Wellness programs and preventative care initiatives are also provided to ensure the wellbeing of your entire family.</li><li>Income Protection Cover - Safeguard your income with comprehensive coverage, ensuring financial stability in the event of illness or injury.</li><li>Enhanced parental leave - Time off when it matters most.</li><li>Flexibility for those who need it - We're office-first, but life happens. Whether you're a parent or have care responsibilities, we focus on output and trust you to manage your time.</li><li>Learning &amp; Development - We fund industry qualifications so you can grow as a financial services professional. </li><li>Cycle to Work scheme - Get a high quality bike and gear through our salary sacrifice scheme, spreading the cost with tax free monthly instalments. </li><li>Paid Sick Leave - Receive 10 days of fully paid sick leave each calendar year.</li></ul>Interview ProcessWe keep things simple and transparent. Our process typically includes: <ol><li>Initial interview - A chat with one of our Talent Specialists.</li><li>Hiring Manager interview - A deep dive into your skills and experience.</li><li>Task Presentation - Show us how you think and solve problems.</li><li>Executive interview - A conversation with our stakeholders, where we also assess cultural fit.</li></ol> We are an Equal Opportunity employer committed to a diverse and representative team. Whatever your race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability - we want to hear from you. We're very open about what we're working on, and the best places to learn more are our buzzing community forum and our blog. To find out more about how we look after your personal data when you apply for a job with us, please see our Recruitment Privacy Policy here. Please note we are not accepting agency CVs.

Senior Compliance Manager

Compliance Analyst - ABAC Programme What you will be doing: <ul><li>Execute the anti-corruption and fraud risk assessment and prevention programs (the "Program") for designated countries. </li><li>Assist the ACMP leader with maintaining and improving the Anti-Corruption Monitoring Program ("ACMP"). This includes executing Transaction testing to minimize false positives and better detect suspicious activities.</li><li>Execute the anti-corruption monitoring procedures, to ensure that standards and controls are functioning well and to identify and remediate compliance risks and issues. This includes verifying the effectiveness of established processes, procedures, and controls, identifying, and communicating the monitoring findings &amp; exceptions, and assisting with driving the remediation efforts over findings and issues.</li><li>Execute the quarterly FCPA certification activities to ensure that the FCPA Standards are followed.</li><li>Assist with the design, implementation and maintenance of automated workflows and dashboards.</li><li>Manage timely and quality anti-corruption monitoring and issue resolution, to ensure that standards and controls are functioning well and to identify and remediate compliance risks and issues. This includes collaborating with the Analysts to obtain status updates and regularize the follow-up mechanism. </li><li>Manage and improve the global ACMP, designed to identify problematic transactions or business practices, monitor emerging corruption risk areas and review whether controls are sufficient and operating as intended to mitigate corruption risk.</li><li>Develop and implement policies, procedures and controls to address anti-corruption and fraud risks.</li><li>Communicate the importance of anti-corruption and fraud prevention within the company.</li><li>Encourage a "speak up" culture.</li><li>Coordinate with other business and functions such as People Team, Internal Audit, Finance, Procurement etc. to ensure the Program is operationalized.</li><li>Coordinate in compliance investigations, internal audit, where required, in the areas of responsibilities. </li><li>Assist with the design, implementation and maintenance of automated workflows and dashboards.</li><li>Assist with maintaining and improving the Program and governance initiatives.</li><li>Participate on Local Best Practices Team meetings.</li><li>Perform other duties as assigned.</li></ul>What you will need: <ul><li>Chartered Accountant /Certified Fraud Examiner/Certified Internal Auditor/equivalent certificate preferred.</li><li>Required experience in applying FCPA standards</li><li>Experience in Transaction monitoring, financial investigation, Risk &amp; Compliance.</li></ul>Working at CBRE When you join CBRE you will have the support and resources of a global firm where an entrepreneurial mind-set is encouraged. You'll realize your potential with challenging work, fast-paced assignments, an environment of constant learning and commitment to results. To enable your success, we provide the best tools, training and leaders in the industry. Our collaborative culture is built on our RISE values and reflects the needs and perspectives of our clients and our people. Our work is guided by our North Star: Creating the real estate solutions of tomorrow, so businesses and people thrive. This informs everything we do-from diversity, equity, and inclusion to sustainability initiatives to workplace safety and wellbeing. At CBRE, we believe that the more perspectives we have, the more dimensions we see. We welcome people with different backgrounds and experiences across industries to apply for open positions even if you do not match every element of the required skills. To discover more about what it's like to work at CBRE, visit Life at CBRE About CBRE CBRE Group, Inc. (NYSE:CBRE), a Fortune 500 and S&amp;P 500 company headquartered in Dallas, is the world's largest commercial real estate services and investment firm (based on 2024 revenue). The company has more than 140,000 employees (including Turner &amp; Townsend employees) serving clients in more than 100 countries. CBRE serves a diverse range of clients with an integrated suite of services, including facilities, transaction and project management; property management; investment management; appraisal and valuation; property leasing; strategic consulting; property sales; mortgage services and development services. Please visit our website at <a href="http://www.cbre.com" target="_blank">www.cbre.com</a>. Equal Opportunities We are an equal opportunities employer and do not discriminate on the grounds of gender, sexual orientation, marital or civil partner status, pregnancy or maternity, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age. For information about accommodations we can make during the recruitment process, please visit: <a href="https://www.cbre.co.uk/careers/accommodations" target="_blank">https://www.cbre.co.uk/careers/accommodations</a> At CBRE, we are committed to fostering a culture where everyone feels they belong. We value diverse perspectives and experiences, and we welcome all applications.

Compliance Analyst - ABAC Programme

We are a leading international law and professional services firm providing legal, corporate and fiduciary services to global corporations, financial institutions, capital market participants and investment fund managers. With a global presence spanning the Americas, Europe, the Middle East and Asia, we advise on the laws of Bermuda, the British Virgin Islands, the Cayman Islands, Guernsey, Ireland and Jersey. We treat everyone as the intelligent professional they are. Our approach is to trust and empower our people to deliver consistently, and enable them to succeed. Diversity is our secret weapon - it's the sheer breadth of Walkers people that makes us who we are - gathered from across the globe and fluent in languages, jurisdictions and cultures that help us to mirror our clients and keep our own thinking in tune with the world in which we operate. Overview of role Office: London (hybrid) Hours: 9am - 5.30pm An opportunity has arisen for a Compliance Analyst to support the Europe region, supporting the London, Dublin, Jersey and Guernsey offices. The Compliance team's work is principally focused on anti-money laundering, counter terrorist financing and sanctions risk, though the scope of work is likely to expand to encompass regulatory risk and conflicts. The role will require knowledge of the applicable regulatory regimes covered by the global team, and may be required to support the other offices as required. Full training will be provided but the successful applicant will be expected to supplement this with independent reading of the regulations and remain up to date on regulatory changes. Duties, Responsibilities &amp; Person Specification <ul><li>As part of the new client/matter opening process, responsible for (a) analysing new clients and matters to assess AML/CTF risks and determine applicable Client Due Diligence ("CDD") requirements, (b) collecting and reviewing relevant CDD materials, and (c) approving (where appropriate) new client/matters which have satisfied applicable requirements, or otherwise escalating cases to the Senior Business Acceptance Manager as necessary;</li> <li>Provide practical and prompt advice and assistance to fee-earners and other professional staff in relation to applicable AML/CTF (including CDD) obligations;</li> <li>Conduct screening to identify politically exposed persons (PEPs), sanctions issues and other regulatory and reputational risks;</li> <li>Conduct and review risk assessments to ensure that the appropriate risk rating is assigned to new clients and matters and that proper escalation to senior management is triggered in high risk scenarios; </li> <li>Assist with the preparation of training materials and deliver training for compliance team members and for employees across the Americas region;</li> <li>Assist with preparations for regulatory inspections and submissions;</li> <li>Provide assistance with on-going monitoring procedures, including testing of reliance on third parties and other risk and compliance audits as necessary;</li> <li>Work closely with operational teams to ensure that the firm's AML/CTF obligations are met;</li> <li>Assist the Senior Business Acceptance Manager with local, regional and global compliance projects as required;</li> <li>Carry out any other duties commensurate with the purpose of the role, including the performance of duties outside working hours when required and work in a flexible manner.</li> </ul>Education, Skills &amp; Experience Graduate with experience in an international function with a focus on AML and other financial crime, preferably in a law firm environment. Walkers global is an equal opportunity employer. Equality and diversity are key to our global identity and an integral part of our goal to continue being an employer of choice. We are committed to a work environment that supports all individuals irrespective of gender, ethnicity, nationality, race, religion, marital status, age, disability, pregnancy, sexual orientation, gender identity or any other applicable legally protected characteristics. We make every effort to ensure that employment opportunities are open and accessible to all purely on the basis of personal ability.

Compliance Analyst (Europe)

We are a leading international law and professional services firm providing legal, corporate and fiduciary services to global corporations, financial institutions, capital market participants and investment fund managers. With a global presence spanning the Americas, Europe, the Middle East and Asia, we advise on the laws of Bermuda, the British Virgin Islands, the Cayman Islands, Guernsey, Ireland and Jersey. We treat everyone as the intelligent professional they are. Our approach is to trust and empower our people to deliver consistently, and enable them to succeed. Diversity is our secret weapon - it's the sheer breadth of Walkers people that makes us who we are - gathered from across the globe and fluent in languages, jurisdictions and cultures that help us to mirror our clients and keep our own thinking in tune with the world in which we operate. Overview of role This is an opportunity to join the firm's Regulatory Monitoring team in London to support Walkers Law Firm and Walkers Professional Services (WPS) across all regions the firm operates. Compliance Analysts core role is to complete risk assessments across the business and provide support and guidance to the business with any Compliance queries that arise. Our Regulatory Monitoring team is responsible for monitoring and managing the ongoing Compliance risks Walkers face. It is principally focused on anti-money laundering, counter terrorist financing ("CTF") and sanctions compliance for existing entities, including: <ul><li>Periodic and trigger based risk assessments of our clients (including enhanced monitoring over our high risk clients);</li> <li>Investigation and alert investigation process of our screening processes (covering sanctions, Politically Exposed Persons (PEP) and adverse media screening);</li> <li>Supporting WPS in performing KYC reviews and screening we conduct on behalf of our clients;</li> <li>Supporting Walkers law firm on the auto file closure process and ensuring effective matter management across the global law firm;</li> <li>Supporting with completion of regulatory returns as required for Walkers Group.</li> </ul>The role will require knowledge of the AML/CTF regimes across the Firm's ten offices and multiple business lines and in particular AML/CTF law and guidance in the Cayman Islands. Full training will be provided but the successful applicant will be expected to supplement this with independent reading of the regulations and remain up to date on regulatory changes. Duties, Responsibilities &amp; Person Specification <ul><li>The analyst will be responsible for conducting periodic and trigger based risk assessments of our clients which include (a) reviewing the due diligence of existing Walkers entities/clients and where appropriate, re-identifying their ownership and control to assess AML/CTF and sanctions risks and determine applicable Customer Due Diligence ("CDD") requirements, (b) collecting and reviewing relevant CDD materials, (c) determining the risk rating of clients and whether additional due diligence measures are required and (d) re-approving, where appropriate, existing relationships which satisfy applicable requirements, or otherwise escalating cases as necessary;</li> <li>Provide practical and prompt advice and assistance to fee-earners and other professional staff in relation to applicable AML/CTF (including CDD) obligations;</li> <li>Conduct screening to identify PEPs sanctions issues and other regulatory and reputational risks, including;</li> <li>Investigate any suspicious activity that arises through periodic and trigger based risk assessments and escalations from the business;</li> <li>Support WPS in performing KYC reviews and screening we conduct on behalf of our clients;</li> <li>Support Walkers law firm on the auto file closure process and ensuring effective matter management across the global law firm;</li> <li>Support with the completion of regulatory returns as required for Walkers Group;</li> <li>Provide assistance with on-going monitoring procedures, including testing of reliance on third parties and other risk and compliance audits as necessary;</li> <li>Work closely with operational teams to ensure that the firm's AML/CTF obligations are met;</li> <li>Providing support on regional and global compliance projects as required;</li> <li>Carry out any other duties commensurate with the purpose of the role, including the performance of duties outside normal working hours when required and work in a flexible manner.</li> </ul>Education, Skills &amp; Experience <ul><li>Graduate with experience in an international function with a focus on AML and other financial crime, preferably in a law firm or corporate services provider environment.</li> <li>KYC/CDD, AML, Screening or Legal Conflicts;</li> <li>Understanding of offshore structures, particularly in the context of funds and other investment vehicles;</li> <li>Excellent oral and written communication skills and ability to communicate with partners, employees and (where appropriate) with the firm's clients;</li> <li>Strong research, analytical skills and attention to detail;</li> <li>Ability to work independently and as part of a team;</li> <li>Client- focused and commercial aptitude;</li> <li>Ability to work under pressure and responsive to the expectations of partners and clients;</li> <li>Able to prioritise competing demands; excellent time management and organisational skills.</li> </ul>Walkers global is an equal opportunity employer. Equality and diversity are key to our global identity and an integral part of our goal to continue being an employer of choice. We are committed to a work environment that supports all individuals irrespective of gender, ethnicity, nationality, race, religion, marital status, age, disability, pregnancy, sexual orientation, gender identity or any other applicable legally protected characteristics. We make every effort to ensure that employment opportunities are open and accessible to all purely on the basis of personal ability.

Regulatory Monitoring Compliance Analyst

Bragg Gaming Group, a provider of gaming technology and content, dual-listed on US and Canadian stock exchanges, is looking for an accomplished Director of Compliance to lead our Regulatory, Licensing, and Government Affairs initiatives. This strategic, high-impact role where you will drive Bragg's compliance, licensing, and government affairs strategy, supporting our expansion and ensuring operational excellence across North America, LATAM, the EU, and other key markets. As a pivotal leader, you will develop and implement compliance strategies, foster trusted partnerships with regulatory bodies and government agencies, and proactively advise on legislative and regulatory developments. Reporting directly to the Chief Legal and Compliance Officer, you'll lead a dedicated team, positioning Bragg as a trusted and forward-thinking industry leader while driving initiatives that support our ambitious global growth goals. This is a hybrid role based in our London office. Your responsibilities: <ul><li>Lead and oversee Bragg's global compliance efforts, ensuring strict compliance with all regulatory requirements and supporting license application submissions, maintenance, and renewal across the US, Canada, Latam, Europe, and emerging markets.</li><li>Serve as a senior compliance advisor to the executive team, providing critical insights, analysis, and guidance on compliance, regulatory risks, and litigation affecting strategic business decisions.</li><li>Develop and execute the company's government affairs and lobbying strategy, fostering strong relationships with regulatory bodies, external partners, and legal advisors to support iGaming industry initiatives.</li><li>Act as primary regulatory liaison, advising cross-functional teams (Product, Technology, Finance, Sales) on compliance requirements and recommending optimal solutions for various operational environments.</li><li>Design and enforce compliance frameworks, policies, and controls that adhere to Bragg's standards and align with diverse jurisdictional regulations.</li><li>Conduct regulatory gap analyses and formulate action plans to mitigate compliance risks across multiple jurisdictions.</li><li>Scan the legal horizon and interpret emerging laws and regulations from a regulatory perspective, advising the business on potential impacts and compliance strategies.</li><li>Create and educate teams on a market access policy to enter new regulatory markets.</li><li>Promote cross-departmental collaboration (Product, Commercial, Account Management, Finance, Data Protection, Legal, and Sales) to seamlessly integrate compliance solutions into Bragg's business processes.</li><li>Ensure compliance review of incident investigations and audits, implementing corrective measures to uphold Bragg's operational integrity and corporate reputation.</li><li>Develop and deliver tailored compliance training to strengthen Bragg's compliance culture and enhance regulatory awareness throughout the organization.</li><li>Generate and review detailed reports for submission to regulatory agencies, ensuring compliance accuracy and timely submission.</li><li>Lead and manage a diverse compliance team, utilising strong mentorship and coaching skills to develop legal acumen and talent, foster collaboration, and inspire performance.</li></ul>What you bring to the team: <ul><li>Qualified lawyer or compliance professional with proven 8+ years of experience in global regulatory landscapes within the iGaming industry.</li><li>Proven expertise in global licensing strategies and cross-functional leadership.</li><li>Ability to communicate complex regulatory requirements effectively to technical, product, and business teams.</li><li>Strong organisational and project management skills to lead multiple projects and meet deadlines.</li></ul><ul><li> Fluency in written and verbal English.</li></ul>Bonus points if: <ul><li>Knowledge of one or more additional languages.</li><li>Experience in product iGaming regulations and standards.</li><li>Familiarity with AI applications in compliance.</li></ul>What's in it for you: <ul><li>Competitive compensation that reflects your expertise and leadership.</li><li>Hybrid work model with 30 days of annual leave.</li><li>Opportunities for career development and global exposure.</li><li>Comprehensive benefits package, including health, wellness, and retirement plans.</li><li>A dynamic, supportive work culture that values innovation and collaboration.</li></ul>Who are we? Bragg is a content-driven iGaming technology provider, serving online and land-based gaming operators with casino content, cutting-edge technology, and expert-managed services to deliver a full turnkey solution. We create high-performing, data-driven, and passionately crafted casino gaming titles built on Bragg remote games server technology. Our modern omnichannel Player Account Management platform powers multiple leading iCasino and sportsbook brands and is supported by powerful data analytics tools, as well as Fuze™ - an innovative player engagement toolset. Our way: <ul><li>We are highly business-oriented, with a strong focus on long-term relationships with our clients;</li><li>As a team of highly skilled experts, we appreciate genuine relationships and co-worker support;</li><li>We nurture honest relationships within teams, between teams, and with our business partners.</li></ul>Join Bragg Gaming Group to lead compliance, drive global licensing strategy, and contribute to our mission of responsible growth and regulatory excellence.

Head of Regulatory Compliance

The role holder will be responsible for providing input and guidance to staff in respect of personal conduct compliance under Code of Ethics supporting the European Compliance team. This is a role for an individual with working experience under Conduct compliance (including PA dealing, including attestation, G&amp;E, Outside Business Interests, and regulatory returns) and excellent interpretation, judgement, and organisation. Moreover, this individual will need excellent relationship management skills to manage multiple stakeholders globally. This role is also designed for an individual with a flexible approach to work who can support or lead other compliance projects and initiatives working closely with the broader Compliance team in Europe and other members of the organization globally. The role holder will be based in London, embracing proactive collaboration with colleagues across Europe and other global locations, as required. The Vanguard Europe Compliance team provides support, guidance and oversight on critical compliance topics that contribute to the success and growth of the firm through empowering Vanguard employees to act in accordance with the values and Code of Conduct, and to promote adherence to regulatory requirements and internal policies and procedures. Our ideal candidate will have at least 5 years of relevant experience within investment management and/or financial services firm and will have a track record of managing conduct compliance related activities effectively, providing subject matter expertise, key stakeholder management and driving culture of compliance. Core Responsibilities <ul><li>Facilitate and implement compliance processes in line with regulatory requirements. Oversee compliance programme, procedures and internal reviews in respect of conduct.</li><li>Manage team mailbox/correspondence and respond to queries from stakeholders.</li><li>Lead routine oversight of firm and staff's compliance with Code of Ethical Conduct (PA dealing, incl attestation, G&amp;E, Outside Business Interests).</li><li>Provide guidance, respond to queries and proactively recommend practices to reduce breaches or non-compliance.</li><li>Prepare action plans for resolution in the event of breaches, if required.</li><li>Maintain written procedures documenting compliance processes.</li><li>Building and maintaining strong working relationships with key stakeholders.</li><li>Produce relevant MI reporting.</li><li>Submission and oversight of regulatory filings via FCA Connect.</li><li>Support an onboarding of technology solution, if required.</li><li>Assist in supporting compliance with SMCR related activities, if required.</li><li>Support in co-ordinating regulatory engagement, if required. </li></ul> What it takes Experience in the UK regulatory environment at a financial services organisation, ideally an Asset Management firm. <ul><li>Ability to consume, interpret and explain relevant regulatory and internal Policies' requirements.</li><li>Broad interest and understanding of FCA rules.</li><li>Attention to detail and commitment to high quality and timely delivery.</li><li>Ability to work with a high degree of autonomy and show initiative.</li><li>Confident and credible dealing with stakeholders across all levels of seniority.</li><li>Ability to work on multiple tasks with competing deadlines and prioritize appropriately.</li><li>Excellent written and verbal presentation skills.</li><li>Analytical skills allied with creative thinking.</li><li>Excellent interpersonal and influencing skills.</li><li>Working knowledge of FCA Connect and RegData.</li></ul>How We Work Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

Core Compliance Analyst, Specialist

Compliance Analyst Department: Compliance Employment Type: Permanent - Full Time Location: London Description Are you an experienced Insurance Compliance professional looking for an exciting new challenge, where you can have your ideas heard and ultimately influence shaping the compliance framework of our incredible business? CFC is a specialist insurance provider and a pioneer in emerging risk. We have a track record of disrupting inefficient insurance markets, and we use proprietary technology to deliver high-quality products to market faster than the competition while making it easier for brokers to do business. What does that mean for a Compliance function? Our UK business has grown massively and the Compliance team is no exception. You'll be busy working on interesting, complex projects. The sort of business we are, and our strategic priorities make this an interesting role for Compliance professionals - at CFC anyone can forge their own path, and as a key area of growth, this opportunity is as exciting as it gets! About the role As a Compliance Analyst, you will play an important role in supporting the UK compliance function in delivering the CFC compliance plan, including the operation of an effective compliance programme and all of the compliance systems and controls applicable to CFC Underwriting. Your role will involve interaction with stakeholders across our entire business and is generalist in nature, so there will be plenty of opportunity to get involved in a broad range of compliance projects and emerging regulation. About you So what are we looking for? Well, this is an experienced role so we are looking for a proactive Compliance specialist with experience working within specialty Insurance. Other elements of expected knowledge and/or experience are: <ul><li>Good knowledge of Lloyd's and UK regulatory requirements; </li><li>Good knowledge of of UK regulatory frameworks, with an ability to swiftly understand new requirements and changes to the regulatory landscape.</li><li>London market insurance experience essential; experience with a Lloyd's managing agent would be super interesting to hear about too;</li><li>Experience working with delegated authorities, including a knowledge of how binding authority agreements work, would be highly regarded.</li></ul>Given this is a busy, business facing function, the type of professional we believe will excel in the role is likely to be an effective communicator with incredible attention to detail and an ability to work autonomously in ambiguous situations. Core Values Love what you do: We show up each day ready to take on the world. Our passion and intensity set us apart and makes the difference to our colleagues, customers, brokers and carriers. Challenge everything: We're never afraid to question the way that things are done and we constantly challenge ourselves and others to makes things better. Have fun, be good: Insurance is a serious business, but we don't take ourselves too seriously. We make it fun to work at CFC, we welcome all viewpoints, and we treat everyone how we would expect to be treated.

Compliance Analyst

The US Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC's global operations. The role requires a specialized understanding of US regulatory frameworks and the ability to apply them in an international context. This role will report directly to IMC's US Chief Compliance Officer, but will be based in IMC's newly opened London office. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team. Your Core Responsibilities: <ul><li>Partner with Compliance team to drive IMC's regulatory vision and compliance efforts.</li><li>Promote the Firm's Compliance culture, awareness of regulatory requirements, and best practices.</li><li>Act as the primary liaison between US Compliance teams and international business units.</li><li>Monitor trading activity using the Firm's in-house surveillance systems.</li><li>Maintain detailed, accurate, and organized documentation of the execution of the Firm's processes and procedures.</li><li>Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis.</li><li>Assist in onboarding new personnel and managing various SRO registration processes.</li><li>Provide specialized training for employees on US regulatory standards.</li><li>Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements.</li><li>Advise trading and technology personnel on potential US compliance risks.</li><li>Monitor for and assess new or proposed changes in US regulations and enforcement actions.</li><li>Align synergies with compliance teams in other regions where applicable.</li></ul>Your Skills and Experience: <ul><li>Bachelor's degree; Advanced degree preferred.</li><li>Proven experience (5+ years) in US regulatory compliance, with experience working in an international context preferred.</li><li>FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.</li><li>Strong interpersonal, organizational, problem-solving, and time-management skills.</li><li>Sophisticated analytical skills and ability to interpret complex regulatory frameworks.</li><li>High level of integrity and discretion when handling sensitive and confidential information.</li><li>Understanding of basic US financial industry business knowledge and interest in the US regulatory environment.</li><li>Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly.</li><li>Strong attention to detail; Eager to learn, ask questions, and admit mistakes.</li><li>Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers.</li><li>Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations.</li><li>Proactive and reliable, with the ability to work independently as well as with others in a small team.</li></ul>About Us IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we've been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.

Compliance Officer - US Regulatory Specialist

We are currently seeking two Asset Compliance Officers, specialising in fire, electrical, and asbestos compliance, to join us on a 12-month fixed-term contract. The main purpose of these roles is to support the Compliance Manager in monitoring and managing the delivery of our asset compliance services, ensuring that all statutory compliance obligations and requirements across the Group are met. This includes adherence to up-to-date legislation, health &amp; safety regulations, and best practices in relation to gas safety and servicing, electrical testing, fire risk assessments (FRA), water hygiene, lifts, asbestos, and other related services such as solar and renewable energy assets-ultimately contributing to customer safety, satisfaction, and value for money. The successful candidates will work effectively with key internal colleagues and external partners to help the Group meet all statutory and regulatory obligations. Our Compliance team currently includes three staff members, and these roles will be valuable additions to our growing and evolving team. Please note, this is a fixed-term contract opportunity. Key Responsibilities <ul> <li>Assist contractors, colleagues and tenants with queries and complaints relating to your contracts and to resolve them quickly and effectively</li> <li>Proactively maintain accurate records, including regular property and asset reconciliation with contractors, to ensure compliance is met</li> <li>Actively monitor and challenge the service provided by contractors and collect agreed performance information, presenting this in formats appropriate for the audience</li> <li>Arrange regular contract review meetings to enable contractor performance to be scrutinised. This will include financial and operational performance</li> <li>Ensure purchase/works orders are raised promptly and accurately to enable works to be carried out and budgets to be monitored</li> </ul>Requirements For this position, we have listed the requirements we believe are essential for this role: Experience <ul> <li>Ability to gather information, diagnose problems, draw logical conclusions and suggest practical solutions</li> <li>Ability to raise purchase/works orders promptly and accurately to enable works to be carried out and budgets to be monitored</li> <li>A strong understanding of financial controls</li> <li>Experience of supporting management or delivery of asset compliance contracts</li> <li>Ability to chair contractor meetings whilst taking minutes</li> </ul>Knowledge <ul> <li>Awareness of statutory and regulatory requirements relating to the compliance areas listed above</li> <li>A good understanding of contract management and valuations</li> <li>Have a good understanding of MS Office, particularly Microsoft Excel </li> </ul>Skills <ul> <li> Interpersonal skills to liaise with residents and provide responses to complaints</li> <li>Good verbal and written communication skills</li> <li>Be highly organised, methodical and analytical with exceptional attention to detail</li> <li>Experience of building and maintaining relationships with contractors, tenants and staff across different functions</li> </ul>Benefits The salary for this role is £41,093 per annum with up to 10% pension contribution. We also offer a fantastic additional benefits: <ul> <li>Flexible-working</li> <li>Life Assurance</li> <li>Employee Wellbeing App/ Mental Health Support</li> <li>Online GP Service</li> <li>Cycle to work</li> <li>Opportunities for self-development with over 60 courses available to self-enrol</li> <li>Opportunities to volunteer in our Charity Retail Stores or on our Befriending Programme</li> </ul>Together, we continue to build an inclusive culture that encourages, supports and celebrates the diverse voices of our employees. Everyone is welcome. Early application is encouraged as we will review applications throughout the advertising period and reserve the right to close the advert early.

Asset Compliance Officer - 12 Month FTC

We have an exciting opportunity for a Compliance Analyst to join our UK Compliance team. Reporting into a Compliance Manager, your position will involve supporting the Compliance advisory function in ensuring that the firm meets its regulatory objectives. Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week Key Responsibilities: <ul><li>Keep abreast of regulatory developments. Assess applicability, assist with proposing and project managing solutions through to implementation in a timely manner.</li><li>Assist with project work dependent on regulatory topics, commercial business projects or BAU.</li><li>Contribute to and/or manage responses to regulatory queries/requests, consultation papers as they apply and regulatory audits. Assist with the resolution of findings.</li><li>Work with the business units to develop a good understanding of their strategy, services and products, and promote a good compliance culture across the organisation.</li><li>Work collaboratively with Compliance colleagues sharing best practice and promoting open dialogue and communication. </li><li>Review/approve/oversee MiFID client categorisation (including elective professional client opt ups) and DFSA (Dubai) client categorisation.</li><li>Maintain adequate oversight and ensure regulatory reporting obligations are fulfilled.</li><li>Contribute to on-going work to ensure that the principles of Consumer Duty are being met, and that sufficient steps are taken to protect the best interests of our clients, including those with characteristics of vulnerability.</li><li>Assist with advice/guidance to the business and oversight of the handling of key areas of Compliance, including client money, financial promotions, and product governance etc., and ensure that employees are made aware of and understand their regulatory responsibilities.</li><li>Assist the department in maintaining adequate records.</li><li>Assist the Compliance Manager with bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues.</li><li>Assist in the support of the risk process within the region to identify, assess, treat, report; monitor risks promoting a strong risk culture.</li><li>Identify and escalate signs of regulatory breaches or compliance gaps. Pro-actively offer solutions in resolving breaches.</li><li>Assist in maintaining the regulatory correspondence register</li><li>Assist with providing sufficient management information to allow the Board and Management visibility of the firm's ongoing compliance.</li><li>Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training. </li><li>When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC Markets</li><li>Take all reasonable steps to ensure appropriate confidentiality.</li><li>Undertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role.</li></ul>KEY SKILLS AND EXPERIENCE <ul><li>Regulatory knowledge and understanding of the financial services industry.</li><li>Understanding some generalist Compliance skills including experience of performing thematic performance reviews, managing conflicts of interests, monitoring reviews etc</li><li>Analytical and enquiring nature, ability to solve problems</li><li>Strong communications skills - verbal and written; with ability to communicate effectively across the business.</li></ul>CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

Payroll Controls &amp; Compliance Specialist Contract: Office &amp; Production (Finance) Location: Surrey, KT13 0SL Hours of work: 37.5 Contract Type: Permanent The Payroll Controls &amp; Compliance Specialist will play a crucial role in supporting the Head of Payroll Operations and the Controls &amp; Compliance Team to ensure that robust controls are implemented and consistently applied across the business. This position is vital for maintaining compliance and aligning payroll processes with evolving legislative requirements. Job Description You will be responsible for keeping the payroll organization informed about new legislation changes and working closely with the Head of Payroll Operations to ensure that systems and processes are updated accordingly. In addition, the role involves monitoring and auditing payroll activities to ensure compliance, accuracy, and efficiency, identifying areas for improvement, and implementing solutions to enhance operational integrity. This is a detail-oriented position where your contributions will directly support the delivery of a compliant and efficient payroll function, helping the organisation maintain its commitment to excellence and regulatory adherence. Key Responsibilities <ul> <li>Work with the Controls &amp; Compliance Senior Specialists to support continuous Improvement and assist / maintain the Control &amp; Compliance activities for the entire UK Payroll and Pension services</li> <li>Ensure legislative compliance within ISS UK Payroll &amp; Pensions by ensuring updates and changes are incorporated into the business process, understood by all relevant teams and checked to ensure comply, in accordance with the developed strategies</li> <li>Ensure that the Payroll &amp; Pensions RACM (Risk and Controls Matrix) is maintained through internal audits of teams</li> <li>Be focal point for Internal and External Audit teams to ensure that Payroll &amp; Pensions are able to comply with audit requests accurately and timely</li> <li>Support the Head of Payroll Operations for Audit preparation and notification to the BAU Ops teams, to ensure audits are successfully managed</li> <li>Work alongside Payroll Training &amp; Compliance Lead in providing training guidance and training materials to both central and on-site teams</li> </ul>Professional and Personal Competencies/Qualifications <ul> <li> Payroll experience</li> <li>Advanced Excel knowledge</li> <li>CIPP (Preferred or by experience)</li> <li>Experience of Audits and Control environments</li> <li>Working in large organisations with a focus on managing controls and audit</li> <li>Experience of training others in control / compliance frameworks across payroll and finance (within payroll) processes to large teams</li> <li>Proficient in relevant IT platforms</li> <li>Experience in conducting internal audits of payroll</li> <li>Experience of working with outsourced payroll environments</li> <li>Strong awareness of GDPR and Data privacy requirements</li> </ul>The Company ISS is a world-leading workplace and facility management company, connecting people and places to make the world work better. Working with customers day by day, side by side, we understand every aspect of the user experience. Through a unique combination of intelligent solutions, high standards and people who care, to help our customers achieve their purpose, whether it's hospitals healing patients, businesses producing the next great innovation, or airports bringing passengers home to their families. ISS is committed to doing business the right way, taking its corporate responsibility very seriously. Our passion is people. We offer you a challenging and exciting career in an organisation with people at its heart. In ISS, everyone has the opportunity to develop, grow and make a difference. #ISSGreatPeople #ISSTalent #PeopleMakePlace ISS is proud to be a diverse and inclusive employer. ISS welcomes all applicants regardless of age, disability, gender identity or gender reassignment, marital or civil partnership status, pregnancy or maternity, race (which includes race, colour, nationality, ethnic or national origin and caste) religion or belief, sex, sexual orientation or educational background Our passion for inclusivity and diversity makes ISS a more creative, productive and happy place to work. If you have any further queries regarding this role, please contact the Resourcing Team by emailing <a href="mailto:resourcing.team@uk.issworld.com" target="_blank">resourcing.team@uk.issworld.com</a> Please click on the following link for more information on this role: Job Description If you are interested in learning about other opportunities at ISS, please join our Talent community by clicking on the following link: TalentPlace To find out more about what we do click here - <a href="https://www.uk.issworld.com/" target="_blank">https://www.uk.issworld.com/</a>

Payroll Controls & Compliance Specialist

SEI Investment (Europe) Limited ("SIEL") is a wholly owned subsidiary of SEI Investments Company ("SEI"), a multinational company headquartered in Oaks, Pennsylvania. SEI, as well as all of its subsidiaries is committed to the highest standards of workplace conduct and business ethics, as well as providing an environment that encourages high performance and staff development. The role will report directly into the MLRO. What we need: The Financial Crime Compliance Officer will be responsible for assisting the MLRO to implement, manage and co-ordinate an effective Financial Crime Compliance (FCC) framework for SEIL. <ul><li>Assist in the drafting, coordinating, monitoring and maintenance of SIEL's FCC policies and procedure</li><li>Provide subject matter expertise on financial crime compliance issues on day-to-day activities</li><li>Work closely with key stakeholders to ensure compliance risks are understood, managed, and mitigated across all business units</li><li>Review and investigate of internal suspicious activity reports and fraud activities</li><li>Provide Anti-Money Laundering oversight of products and processes through monitoring and periodic reviews to ensure compliance with regulatory requirements</li><li>Overseeing first line of defence activities</li><li>Prove training and guidance to the first line of defence on financial crime risks and control requirements</li><li>Preparation of management information, board reports, and other senior management reporting</li><li>Maintain a strong understanding of the Firm's business model and strategy</li><li>Assist in identifying and tracking new and updated requirements relating to financial crime, engaging collaboratively with the business in developing, implementing, and monitoring new procedures</li><li>Identify training needs; delivering FCC training to SIEL employees</li><li>Help identify opportunities for streamlining processes and implement efficiencies that will lead to enhanced client experience</li><li>Foster a strong culture of compliance by promoting awareness and understanding of financial crime issues at all levels of the Firm.</li></ul>What we would like: <ul><li>Experience of working in a second line of defence financial crime function (4 -5 years), preferably within Private Banking or Asset Management</li><li>Strong knowledge of financial crime legislation and regulation (ideally ICA Diploma or ACAMS qualified)</li><li>Proven experience in an assurance, compliance monitoring, providing assurance over financial crime risk management</li><li>Previous experience in undertaking customer screening, transaction monitoring, suspicious activity reporting and complex fraud investigations</li><li>Excellent analytical, research and critical thinking skills, with an ability to make informed judgements</li><li>Logical thinker with an attention to detail</li><li>Strong verbal and written communication skills</li><li>A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>Capable of prioritizing and multi-tasking in a dynamic, fast paced environment</li><li>High degree of personal and professional integrity.</li></ul>SEI's competitive advantage: To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about. We are a technology and asset management company delivering on our promise of building brave futures (SM)-for our clients, our communities, and ourselves. Come build your brave future at SEI. SEI is an Equal Opportunity Employer and so much more... After over 50 years, SEI remains a leading global provider of investment management, investment processing and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the City of London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuable asset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits, which include private medical care for you and your family, access to GPs online for appointments, enhanced family leave, volunteer days, access to thriving employee networks and not forgetting free fruit. SEI Investments (Europe) Ltd ('SIEL') is authorised and regulated by the Financial Conduct Authority (FRN 191713).

SIEL Financial Crime Compliance Officer

About the job Financial Crime Analyst Are you a data-driven problem solver with a passion for preventing fraud and financial crime? This role focuses on financial crime analysis, fraud detection, and the development of data-driven strategies to mitigate risk and protect genuine customers. Key Responsibilities: <ul><li>Analyze and enhance fraud detection tools to combat evolving threats.</li><li>Create and maintain fraud prevention rules, metrics, and reporting tools.</li><li>Support and deputize for the Financial Crime Manager.</li><li>Represent the team in projects and provide subject matter expertise.</li><li>Identify trends and opportunities for automation and process improvement.</li></ul>What Were Looking For: <ul><li>3+ years of financial crime experience in ecommerce, banking, or related fields.</li><li>Advanced Excel, VBA, and Power BI skills, with strong data analysis expertise.</li><li>Proven track record of delivering innovative solutions and actionable insights.</li><li>Excellent problem-solving and communication skills, with the ability to multitask.</li></ul>Join a team committed to staying ahead of financial crime trends through innovation and continuous improvement. Apply today!

Financial Crime Analyst

Compliance Manager Department: Compliance Employment Type: Permanent - Full Time Location: London Reporting To: Simon Jenvey Description As UK Compliance Manager you play a key role in delivering the Compliance Plan for our UK regulated entity, and effectively operating our compliance systems and controls. You will be responsible for implementing and monitoring our UK compliance policies and procedures across all areas of the UK business, advising CFC's internal stakeholders on all aspects of UK compliance and supporting our key external stakeholders, including our domestic regulators (both the FCA and Lloyd's). You will deliver exceptional service to CFC's underwriting teams and other business functions, as well as to our carriers and other business partners, including in respect of CFC Syndicate 1988. About the role Help manage the Group UK's compliance function, including the operational management of the UK Compliance team, currently two UK Compliance Managers, Compliance Analyst and Compliance Assistant. Your responsibilities will include but not be limited to: <ul><li>Ensure CFC Underwriting complies with all internal policies, all laws and regulations applicable to its activities, including activities authorised and regulated by the FCA.</li><li>Support with the turnkey managing agent of CFC Syndicate 1988 to ensure the Syndicate operates in accordance with FCA requirements and continues to meet at applicable Lloyd's regulatory and compliance requirements.</li><li>Understand and identify the domestic regulatory requirements applicable to CFC Underwriting, including both the FCA and Lloyd's, and advise internal stakeholders on the application of these requirements to our business.</li><li>Support the Compliance Monitoring Manager in the planning and roll-out of the Compliance Monitoring Programme.</li><li>Effectively operate our compliance systems and controls, including our financial crime and sanctions controls and conduct risk controls</li></ul>About you You are an excellent communicator both written and spoken, who is adept at working professionally with a wider variety of stakeholders, including up to board level. <ul><li>You are able to demonstrate technical compliance experience, ideally acquired working at a Lloyds managing agent or UK based company market insurer. </li><li>As well as the above you will have extensive technical knowledge of the FCA Handbook and or Lloyd's Principles, alongside the application of a principles based regulatory framework highly regarded.</li><li>London market insurance experience essential, either with a managing agent, insurer, broker or MGA</li></ul>Core Values N.A

Compliance Manager

Want to help us bring happiness to the world? Want to join an ambitious and fast growing global biscuits and confectionery business investing heavily in iconic global brands, infrastructure and people? Then this is the place for you. As proud bakers and chocolatiers and custodians of iconic global brands, we don't compromise on the quality of ingredients in our products or on the people we hire. We are looking for entrepreneurial spirits who share our passion for bringing happiness to our consumers and who embody our Winning Traits. To succeed at pladis you need to be purpose-led, resilient and positive to succeed here because we expect pace and agility, we insist on collaboration and demand accountability. If that is your thing, then pladis offers global ambition, a clear Vision and roadmap for success, challenge, and unrivalled opportunities to learn and make an impact Click "Apply" to get started. Why join our team? pladis is home to iconic brands Godiva, McVitie's and Ulker. These brands make sweet treats and savoury treats that consumers everywhere recognise and enjoy! As we start on our new journey, we will continue making the biscuits and confectionery people know and expect from these brands, and we will expand their portfolios too. Together we will build new and exciting products at pladis - new flavours, new concepts and new ways to share happiness! Our strength is not only in our products, it is also in our people and our values. Each business that has united to form pladis are loved for their heritage and values. We will retain the honesty, integrity and trust instilled in our brands by our ground-breaking founders as we embark on the next chapter of our success. What will this role achieve? This is a very exciting opportunity to support the Regulatory Compliance Manager to ensure the legal compliance of all pladis products sold within the UK, and Ireland. In a time pressured environment and often tight timescales, your goal will be to provide sound regulatory information and advice to support product launches and re-designs in a timely and efficient manner, ensuring compliance with local regulations and pladis policies. What will be your key results? <ul><li>Ensure regulatory compliance of pladis brands in accordance with sales market, with regard to product formulation, pack copy generation and artwork sign-off, in line with pladis policies.</li></ul><ul><li>Working closely with R&amp;D, convert recipe details into pack copy information to appropriate legal formats for intended sale market, using internal IT system.</li></ul><ul><li>Work closely with P2M and translation agencies to ensure timely preparation of information across multiple markets.</li></ul><ul><li>Review and sign-off artwork designs against relevant pack copy for legal compliance for market. Ensure multi-lingual labels are checked and approved by translation or food law agency.</li></ul><ul><li>Understand pladis allergen matrices and apply accordingly to ensure packs are labelled with the accurate allergen warnings.</li></ul><ul><li>Represent the Regulatory Affairs team where appropriate with project team meetings with a specific remit to advise on compliance implications.</li></ul>What do you need for this role? Crucial <ul><li>Qualifications: Degree in Food Science, Food Technology or other food science-based degree.</li></ul><ul><li>A knowledge/understanding of EU Food Legislation, guidelines and codes of practice.</li></ul><ul><li>Excellent attention to detail.</li></ul><ul><li>Good communication and influencing skills.</li></ul><ul><li>Proven project management and implementation skills will be essential, as well as the ability to work independently and as part of a cross-functional team.</li></ul><ul><li>High level of digital literacy &amp; proficiency in using web-based specification systems.</li></ul><ul><li>Strong numeracy skills.</li></ul><ul><li>Proactive demeanour.</li></ul><ul><li>Works autonomously, but also a good teammate.</li></ul>Please note: this role will require 1 day per week on site at our High Wycombe location Preferred <ul><li>Experience using SAP, Interspec and/or Hamilton Grant</li></ul><ul><li>General awareness of the biscuit industry</li></ul><ul><li>Knowledge of ingredients, process methods and factories producing biscuits</li></ul>Our winning traits and behaviours <ul><li>Purpose-Led - Energised by our promise to deliver happiness to the world with every bite.</li></ul><ul><li>Agile - Ever evolving, never satisfied and never standing still.</li></ul><ul><li>Collaborative - Willing to work collectively for mutual success.</li></ul><ul><li>Resilient - Quick to adapt to change, fast learner and persistent in the face of setbacks.</li></ul><ul><li>Positive - Self-motivated, optimistic, adventurous, and inspiring.</li></ul>Diversity and inclusivity is central to everything we do and is reflected across our business. pladis brings together brands and people from around the globe - and this diversity is our great strength. We're an equal opportunities employer and believe in encouraging an inclusive environment where we celebrate diversity of thinking and respect everyone's distinctive qualities and perspectives. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform key job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation pladis is an Equal Opportunity Employer, committed to hiring a diverse workforce. All openings will be filled based on qualifications without regard to race, color, sex, sexual orientation, gender identity, national origin, marital status, veteran status, disability, age, religion or any other classification protected by law. We operate a strict Preferred Supplier List. If you are a recruitment agency and wish to submit candidate to be considered for this vacancy, you must have agreed to, and signed, our terms of business. We will not accept CVs from any other sources other than those currently on our PSL. We will not pay a fee for any candidate that has not been represented by a provider on our PSL.

Regulatory Compliance Analyst

The Apex Group was established in Bermuda in 2003 and is now one of the world's largest fund administration and middle office solutions providers. Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion. That's why, at Apex Group, we will do more than simply 'empower' you. We will work to supercharge your unique skills and experience. Take the lead and we'll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities. For our business, for clients, and for you Compliance Manager - Depository and Custody Compliance Reporting directly to the UK Head of Depositary and Custody Compliance, you will help drive the compliance function, develop and implement a risk-based compliance management framework, assist with the management of compliance risk and oversee all regulatory compliance matters across the Depository and Custody businesses within the Apex UK Group of Companies. - Essential experience: UK depositary or custody FCA rules Key Responsibilities: <ul><li>Assist the UK Head of Depositary and Custody Compliance to: <ul><li>develop and implement the risk based compliance framework;</li><li>develop and implement the risk based compliance monitoring programme;</li><li>prepare and present reports on compliance and regulatory issues for senior management, including board reports and the collation of management information as required;</li><li>respond to enquiries and information requests from regulators, auditors or clients;</li></ul></li><li>Advise senior management on regulations and policies which affect the business;</li><li>Keep abreast of industry and regulatory developments, thematic reviews and enforcement actions;</li><li>Represent Compliance in various management and project meetings, committees and new business initiatives;</li><li>Support the wider Apex compliance team on Group initiatives and areas of common interest;</li><li>Establish and maintain good relationships with key stakeholders within the Apex Group and externally as applicable;</li><li>Liaise with external parties such as auditors, regulators, industry bodies and clients;</li><li>Create and maintain local compliance procedures and policies; and</li><li>Development and deliver appropriate compliance training to Board members and employees.</li><li>Preparing / review RegData / Connect reports for submission;</li><li>Assisting in business and client queries related to FATCA/CRS &amp; supporting with submissions.</li><li>Responding to ad-hoc requests received in the compliance inbox such as external due diligence questionnaires.</li><li>Manage and support team members and allocated staff.</li></ul>What you will get in return: <ul><li>A genuinely unique opportunity to be part of an expanding large global business;</li><li>Competitive remuneration commensurate with skills and experience;</li><li>Training and development opportunities</li></ul>Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.

Ideas | People | Trust We're BDO. An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today's changing world. We work with the companies that are Britain's economic engine - ambitious, entrepreneurially-spirited and high-growth businesses that fuel the economy - and directly advise the owners and management teams leading them. We'll broaden your horizons As a firm our focus on delivering quality audit work for the benefit of the public interest is our key priority. Our Audit teams are essential, not just to BDO, but to the whole economy. With specialist knowledge of sectors, markets and geographies; our auditors have the business understanding necessary to deliver the high quality and robust audits that companies and their stakeholders can trust. As part of our Audit team, you'll receive the support you need to reach your potential. From completing professional qualifications to developing new skills and exploring different learning opportunities, you'll join a friendly and diverse team whose work really matters. Use your skills to build a career in Audit at BDO. We'll help you succeed The work we do is underpinned by quality. We deliver audits which are trusted and transparent which can be relied upon by companies and their stakeholders. You'll be someone who is comfortable working pro-actively and, managing your own tasks, as well as confident collaborating with others and communicating regularly with Senior Managers, Directors, and BDO's Partners. You'll help deliver accurate and transparent reporting to all relevant stakeholders as you provide long term value. You'll be someone with: <ul><li>Qualified ACA/ACCA/ICAS Qualified or overseas equivalent.</li><li>Educated up to degree level or CTS.</li><li>Experience supervising and coaching junior members of staff on site.</li><li>Working knowledge of UK and International GAAS, IFRS, UK GAAP and Financial Reporting requirements.</li><li>Working knowledge of firm services, issues regarding advice, and regulation and compliance, including anti-money laundering.</li><li>Demonstrable knowledge of current economic and market trends.</li></ul>You'll be able to be yourself; we'll recognise and value you for who you are and celebrate and reward your contributions to our business. We're committed to agile working, and we offer everyone the opportunity to work in ways that suit them, their teams, and the task at hand. At BDO, we'll help you achieve your personal goals and career ambitions, and we have programmes, resources, and frameworks that provide clarity and structure around career development. We're in it together Mutual support and respect is one of BDO's core values and we're proud of our distinctive, people-centred culture. From informal success conversations to formal mentoring and coaching, we'll support you at every stage in your career, whatever your personal and professional needs. Our agile working framework helps us stay connected, bringing teams together where and when it counts so they can share ideas and help one another. At BDO, you'll always have access to the people and resources you need to do your best work. We know that collaboration is the key to creating value and satisfying experiences at work, so we've invested in state-of-the-art collaboration spaces in our offices. BDO's people represent a wealth of knowledge and expertise, and we'll encourage you to build your network, work alongside others, and share your skills and experiences. With a range of multidisciplinary events and dedicated resources, you'll never stop learning at BDO. We're looking forward to the future At BDO, we help entrepreneurial businesses to succeed, fuelling the UK economy. Our success is powered by our people, which is why we're always finding new ways to invest in you. Across the UK thousands of unique minds continue to come together to help companies we work with to achieve their ambitions. We've got a clear purpose, and we're confident in our future, because we're adapting and evolving to build on our strengths, ensuring we continue to find the right combination of global reach, integrity and expertise. We shape the future together with openness and clarity, because we believe in empowering people to think creatively about how we can do things better.

Audit Assistant Manager - International Programme

ABOUT US Since 2020, Pliant has been on a mission to rethink credit cards and empower companies to grow by providing a smart way to pay that scale with their business. With our app and API-based solutions, Pliant allows companies to issue physical and virtual credit cards, automate payment processes, track spending, and seamlessly integrate these data into their finance stack. Pliant is growing quickly. With our expansion into 25 international markets, we believe that people, passion, and diversity are the key ingredients to our future success. Our growing team of 100+ Plianteers come from 25 nationalities and work remotely or in a hybrid environment from our headquarters in the heart of Berlin. And we're looking for more talented and committed people to join us on our journey! ABOUT THE ROLE As a (Senior) Credit Risk Manager / Underwriter (m/f/d) you will be responsible for the underwriting credit risk exposures to our European and UK SME and corporate clients. In addition to case processing, you will support us in continuously improving our underwriting standards and systems. You will work closely with Goncalo, our Head of Credit Risk Management, and colleagues from the Sales, Legal, Operations, Product and Risk teams. This role will be based in the UK (hybrid) with some travel from time to time to our Headquarters in Berlin. WHAT YOU'LL DO <ul><li>Due diligence: Assess who our customers are, how and with whom they operate their business model, what their public and financial profiles are.</li><li>Underwriting: Analyze business and financial information of our customers (e.g., credit agency reports, financial statements, bank account statements), write up the key risks and mitigants and conclude. </li><li>Credit decision: Decide on limit requests of our customers within your delegated authority and help us building a performing loan book.</li><li>Risk ownership: You own multiple high-limit customers and groups of customers, know them inside out, follow their development over time, and monitor their risk profiles that you regularly present to the credit risk committee.</li><li>Innovation: You get to the heart of complex operational workflows and IT systems, understand how to systematize, and continuously improve them together with your colleagues.</li><li>Communication: You are a facilitator and ensure a smooth and fact-based information flow between your colleagues. In doing so, you support the development of a culture of open dialogue, which is focused on mutual respect and the joint achievement of excellent results.</li></ul>WHAT YOU'LL BRING <ul><li>3-6 years of operational experience in risk assessment for corporate customers or SMEs from a bank or fintech.</li><li>Strong knowledge of accounting principles and industry-specific financial analysis. Previous exposure to open banking data is a plus.</li><li>Analytical thinking, detail orientation and ability to quickly understand new problems and systems and work out solutions. </li><li>Experience with IT systems used for loan processing and credit decisioning.</li><li>Project management skills and demonstrated ability to design and steer complex projects end to end.</li><li>Determination and desire to work in a team to achieve high-quality results for our customers, even under stress.</li><li>Fluent English with very good writing skills. Other European languages are a plus.</li></ul>WHAT WE OFFER <ul><li>Opportunity to work on challenging projects with substantial responsibilities, enabling you to make a meaningful impact</li><li>Being part of a growing, dynamic, international team with flat hierarchies that that thrives on an exchange of knowledge and a drive for excellence</li><li>Competitive remuneration package</li><li>Flexibility and possibility to work remotely</li><li>Attractive benefits package including a monthly mobility allowance, a Wellhub membership, a company card with a monthly allowance for lunches, coffee, etc., and more.</li></ul>

(Senior) Credit Risk Manager / Underwriter (m/f/d)

Description eToro is the trading and investing platform that empowers users to invest, share and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest in a simple and transparent way. We have created an investment platform that is built around collaboration and investor education. On our platform, users can view other investors' portfolios and statistics and interact with them to exchange ideas, discuss strategies, and benefit from shared knowledge. We have over 38 million registered users from 75 countries, and our platform is available in 20 languages. We are a fast-growing business with over 1,500 employees across 13 offices around the globe, strategically positioned to serve the needs of users. You can find out more about eToro here. eToro Money is a part of the eToro Group and drives the neo-banking services for eToro customers, providing eToro Trading clients with a smarter and more cost-efficient way to manage their money, moving funds into and out of their trading account instantly and at better exchange rates than other available deposit and redemption methods. Job Description / Responsibilities To support eToro Money's rapid growth, we are looking for a hands-on candidate who will be responsible for providing Compliance oversight for our FCA-authorised and regulated entity, eToro Money UK. Additionally, the candidate will support the eToro Money program in general (globally) and will act as a senior domain expert for e-Money regulation subjects within eToro. You will specifically be responsible for: • The design and oversight of the regulatory compliance monitoring program. • Advising the Board and broader Group on complex regulatory issues. • Advising the Board on the regulatory landscape, including new and emerging developments. • Maintaining a positive and transparent relationship with the FCA. • Overseeing the drafting and ongoing maintenance of robust policies and procedures across the entire regulatory compliance domain. • Clients' funds safeguarding (including chairing of the Firm's Safeguarding Committee) • The submission of ad hoc &amp; routine reporting to the FCA, including formal notifications (where required). • The review and approval of financial promotions/marketing campaigns. • Supporting product development, including advising the Board on the use of the Firm's EMI license to develop products and services. • Giving general compliance opinions/support. • Participating in Board of Directors meetings. • Advising the eToro Group on the development of e-money services in other geographies. • Working on compliance projects with 3rd parties, such as VISA, Mastercard, and others. • Being a designated FCA-approved EMD Individual. • Managing a small team of compliance professionals. • Due diligence and oversight of the firm's third-party relationships, including Banking and other critical services. Requirements The person taking on this role will be someone who has worked with one of the larger banks, electronic money or payments institutions before and has a good understanding of what an optimal regulatory framework looks like in today's regulatory environment, particularly in the context of innovative business models. The preferred candidate is articulate, numerate and can grasp complex concepts with ease, all of which whilst working within a fast-paced and dynamic environment. Priorities often change at the last minute, and sometimes, information is required on short notice. You must be comfortable working in this kind of environment. In summary, the requirements are as follows: • Strong knowledge of EMI/PSP/card issuing activities. Must have worked in such environments previously. • A subject matter expert in Electronic Money Regulations, Payment Services Regulations, Money Laundering Regulations, and PSD2. • Previous experience (&gt;5 years) as a Head of Compliance or equivalent senior-level position. • Experienced in building working relationships with the FCA and FOS. • Possess a deep understanding of regulatory frameworks/systems. • As well as being a subject matter expert in Payments and Electronic Money - a good understanding of the rules and regulations on the trading platform would be a bonus. • In general, be able to command respect and be seen as a source of knowledge in his/her particular discipline. • Experienced in filing regulatory reports. • Organised and articulate. • Be capable of showing an impressive track record of having performed under similar situations in a fast-paced, multi-regulated, multi-asset environment. • Strong communication and presentation skills; must be comfortable communicating with senior management and external advisers. • University-level education. • Ability to work under pressure in a constantly changing environment. Why Join Us? We are an inclusive and social team based in fantastic offices in Canary Wharf and working in a hybrid home-office arrangement. We love what we do and are proud of our culture of flexibility and autonomy. Our benefits include BUPA medical cover, 6% pension contribution, daily lunch allowance, as well as additional leave days - our highly valued recharge days. We have lots of other cool perks like fantastic parties, eToro merchandise, birthday money and many other special touches to keep you happy!

Head of Compliance, eToro Money UK

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary Support the Head of Business Advisory Compliance in ensuring the Marex Group adheres to and operates within its regulatory requirements, remains within stated Marex risk appetites, maintains good conduct, drives a strong culture and positive customer outcomes. Specific focus on delivering second line oversight of the Listed Derivatives Business activities across the Marex Group including Metals, Commodities ('Agricultural'), Energy, Financial Futures &amp; Options and Listed derivatives Clearing and Direct Execution businesses ('the business groups') by providing advisory compliance support including leading on responses to listed derivative exchange regulatory enquiries. Participate in broader Group Compliance management initiatives and where required provide support on Compliance matters concerning Marex Group business activities. Responsibilities <ul><li>Act as the Compliance lead on listed derivative exchange related enquiries. Liaise with business groups to gather the relevant information and manage, investigate and draft responses to such exchange regulatory enquiries, including audit programmes. </li><li>Ensure the timely identification of regulatory change affecting the wider Marex businesses groups ensuring appropriate collaboration across all relevant Support Functions and the Business and assisting the Business with implementing the new regulation in a robust and controlled manner.</li><li>Performing the Compliance review of product/service related materials such as marketing materials, presentations and product brochures are in line with regulatory requirements</li><li>Deliver ongoing compliance support to relevant business groups including the provision of advice on the application of global compliance policies, exchange rules and regulations</li><li>Maintain regular ongoing daily engagement with the relevant Marex business groups including regular documented Business catchups with key business stakeholders</li><li>Supporting compliance team members on reviewing and advising on specific BAU transactions to include advice to business on the application of global compliance policies, exchange rules and regulations. </li><li>Identifying regulatory or reputational risks and escalating to management for resolution. </li><li>Supporting compliance team members on the delivery of timely compliance review and approval of new Business specific initiatives such as new transaction structures, new jurisdictions, new systems, etc and complete (where relevant) Business Change Approval Ctte ('BCAC') compliance assessments.</li><li>Working with Legal, Compliance colleagues and other support function staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters. </li><li>Providing SME support to Compliance Assurance colleagues by participating in the annual Compliance Risk Assessment process, and execution of assurance activities as they relate to the business groups. </li><li>Designing, driving and delivering specific desk based thematic reviews. </li><li>Acting as a challenge and control function to the Business on compliance related matters including the Business owned Risk &amp; Control Assessment </li><li>Participating in the development and delivery of annual regulatory training plan for the Business as well as ad hoc trainings, as needed. </li><li>Providing Compliance input to control and regulatory incidents, Internal audits and reviews within the Business. </li><li> Standard company responsibilities </li><li>Ensuring compliance with the company's regulatory requirements under the FCA.</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with the FCA's Code of Conduct.</li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required.</li><li>To escalate risk events immediately.</li><li>To provide input to risk management processes, as required.</li></ul>Skills and Experience <ul><li>Prior Compliance advisory experience from a bank, brokerage or listed derivative exchange, of at least 2 years</li><li>Some knowledge and understanding of regulatory frameworks. Those impacting listed derivatives an advantage. </li><li>Experience in leading and liaising with Exchanges and Regulators an advantage</li><li>Degree educated or equivalent and financial services industry qualifications preferable. </li></ul>Competencies <ul><li>Skilled at stakeholder management; ability to work closely with multiple internal stakeholders, able to build strong cooperative relationships at all levels.</li><li>Initiative and commitment to excellence - actively and enthusiastically attempt to influence, seek opportunities to originate action, encourage and develop new ideas.</li><li>Ability to think outside the box and provide creative solutions.</li><li>Be able to multi-task, prioritize and work to deadlines in a pressurised environment.</li><li>Strong conduct and culture lens with a focus on good customer outcomes.</li><li>Excellent verbal and written communication skills.</li><li>A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>Demonstrates curiosity</li><li>Resilient in a challenging, fast-paced environment</li><li>Ability to take responsibility in a fast pace and high-volume environment</li><li>Excels at building relationships, networking and influencing others</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

Compliance Officer - Advisory

Hello, we're Starling. We built a new kind of bank because we knew technology had the power to help people save, spend and manage their money in a new and transformative way. We're a fully licensed UK bank with the culture and spirit of a fast-moving, disruptive tech company. We're a bank, but better: fairer, easier to use and designed to demystify money for everyone. We employ more than 3,000 people across our London, Southampton, Cardiff and Manchester offices. We are now looking for a Senior Compliance Monitoring Officer - Treasury to join the team. The purpose of this role is to provide second line of defence (2LoD) regulatory compliance oversight over 1LoD (first line of defence) / business teams, with a focus on the 1LOD Treasury function, so that they meet their regulatory obligations and effectively manage their regulatory compliance and conduct related risks. Key responsibilities include: <ul> <li>Conduct Oversight reviews as part of a high performing Conduct &amp; Compliance Oversight team, the majority of which will be reviews on the Treasury function, ensuring the timely and accurate delivery of regulatory compliance and conduct related Oversight reviews and independent challenge is provided to Starling Bank's first line of defence (1LoD) / business teams. </li> <li>Conduct thematic monitoring reviews in line with the Compliance's Monitoring Plan (CMP).</li> <li>Proven ability to write up findings related to oversight reviews clearly and accurately.</li> <li>Responsible for ensuring that actions are tracked in the Bank's risk system and adequately reported (where appropriate) to the relevant committees.</li> <li>Build strong relationships with 1LoD to deliver a collaborative working environment between Compliance and the business. </li> <li>Support with the production of Compliance's monthly reporting pack. </li> <li>Support with the development / implementation of the requisite conduct risk and compliance frameworks and policies.</li> <li>Ability to support team members with the completion and delivery of compliance reviews and findings.</li> </ul>Requirements <ul> <li>Deep working knowledge of relevant laws, regulations, and industry best practices related to compliance, and financial services, in particular those related to a Treasury function - MiFiD, Reporting (EMIR, SFTR etc..), Market Abuse, Securitisation, CSDR, wholesale conduct etc. </li> <li>Excellent communication (written and verbal), relationship building and influencing skills, with the ability to communicate effectively to a variety of audiences, including senior management and committees</li> <li>Proven analytical skills and problem solving skills, with the ability to understand and interpret business knowledge. </li> <li>Detailed knowledge and experience of identifying key Conduct and Compliance risks. </li> <li>Sound judgement and decision making, planning and prioritisation skills, with the ability to see things through to resolution at all times. </li> <li>Proactive with regards to ownership and oversight of emerging and existing compliance and conduct issues and risks. </li> <li>Have a naturally curious and inquisitive approach to work, proactively questioning the status quo where appropriate. </li> <li>Be resilient and not shy away from having difficult conversations.</li> <li>Willingness to share knowledge with the team and collaborate across all product lines with all members of the team.</li> </ul>Benefits <ul> <li>25 days holiday (plus take your public holiday allowance whenever works best for you)</li> <li>An extra day's holiday for your birthday</li> <li>Annual leave is increased with length of service, and you can choose to buy or sell up to five extra days off</li> <li>16 hours paid volunteering time a year</li> <li>Salary sacrifice, company enhanced pension scheme</li> <li>Life insurance at 4x your salary &amp; group income protection</li> <li>Private Medical Insurance with VitalityHealth including mental health support and cancer care. Partner benefits include discounts with Waitrose, Mr&amp;Mrs Smith and Peloton</li> <li>Generous family-friendly policies</li> <li>Incentives refer a friend scheme</li> <li>Perkbox membership giving access to retail discounts, a wellness platform for physical and mental health, and weekly free and boosted perks</li> <li>Access to initiatives like Cycle to Work, Salary Sacrificed Gym partnerships and Electric Vehicle (EV) leasing</li> </ul>About Us You may be put off applying for a role because you don't tick every box. Forget that! While we can't accommodate every flexible working request, we're always open to discussion. So, if you're excited about working with us, but aren't sure if you're 100% there yet, get in touch anyway. We're on a mission to radically reshape banking - and that starts with our brilliant team. Whatever came before, we're proud to bring together people of all backgrounds and experiences who love working together to solve problems. Starling Bank is an equal opportunity employer, and we're proud of our ongoing efforts to foster diversity &amp; inclusion in the workplace. Individuals seeking employment at Starling Bank are considered without regard to race, religion, national origin, age, sex, gender, gender identity, gender expression, sexual orientation, marital status, medical condition, ancestry, physical or mental disability, military or veteran status, or any other characteristic protected by applicable law. When you provide us with this information, you are doing so at your own consent, with full knowledge that we will process this personal data in accordance with our Privacy Notice. By submitting your application, you agree that Starling Bank may collect your personal data for recruiting and related purposes. Our Privacy Notice explains what personal information we may process, where we may process your personal information, its purposes for processing your personal information, and the rights you can exercise over our use of your personal information.

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