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Purpose: A key member of the program management team, the Contracts Compliance Manager operates within a highly collaborative, cross-functional organization overseeing the contract administration and coordination of the program, ensuring project compliance. This position requires a self-starter with excellent communication skills, capable of interfacing with various functional departments, such as operations, procurement, and finance, while supporting, executing, and coordinating concurrent activities with time critical schedules and deadlines Essential Duties and Responsibilities: <ul><li>Ensures contractual compliance while monitoring the administration of the prime contract including the review of contract modifications and entering executed documentation into the internal contract management system.</li><li>Serves as a central point of contact for the project management, contract management and local Government contracting teams (i.e. - ACO/CORs) in support of data calls, letters of technical direction, and all other applicable focus areas of contract administration.</li><li>Maintains day-to-day work history so that it can be retrieved as necessary.</li><li>Aids project management and CONUS contracts leadership on contract administration matters, working within the parameters of the prime contract.</li><li>Supports the review of bids and/or change order proposals for conformity to contract requirements and may establish guidelines for project scheduling and/or identify changes in the scope of work.</li><li>Works closely with management at the project and/or group level to coordinate work changes that could influence the prime contract.</li><li>Ensures compliance with Company policies on contracts and procurement.</li><li>Provides interpretation of contracts, organizes, or processes correspondence with contracting parties and monitors fulfillment of contractual obligations (i.e., CDRL submissions).</li><li>Demonstrates the ability to formulate and compile a variety of related Contract packages with responsibility for administering these packages during execution, including formation of the necessary documentation for adequate Contract control.</li><li>Ensures strict compliance to safety practices and support the Safety Policies and Procedures.</li><li>Instills a safety-first mentality within respective work areas and a culture that achieves low accident rates and minimal lost-time injuries.</li><li>Adheres to ISO Policies, Procedures, and Work Instructions in support of Quality Management System.</li><li>Performs all other position related duties as assigned or requested.</li></ul>Minimum Position Knowledge, Skills &amp; Abilities: Education: <ul><li>Bachelor's degree in business, law, or a related field.</li></ul>Experience: <ul><li>4+ years of experience in government contract administration or 7+ years of work experience in government contract administration, law, or procurement. </li></ul>Specialized Knowledge, Skills &amp; Abilities: <ul><li>Experience in Government contract administration/management, procurement practice, cost accounting, financial management, and operations especially in challenging operating environments such as OCONUS locations. </li><li>Knowledge of FAR and DFAR.</li><li>Excellent communication and negotiation skills. </li><li>Good oral and written communication skills; working knowledge of word-processing and integrated software applications; organizational skills and ability to perform detail-oriented work are required.</li></ul>Preferred Qualifications: <ul><li>International driver's license prior to deployment preferred.</li></ul>Certification, License &amp; Clearance: <ul><li>Valid US Driver's license required.</li><li>US Citizenship required.</li><li>Must have the ability to obtain and maintain a CAC, if required.</li></ul>Facility credentials/authorization required: Must be able to obtain and maintain facility and credential /authorization: Note- US Citizenship is required for facility credential/authorization at this work location. Work Environment, Physical Demands, and Mental Demands: <ul><li>Ability to perform job duties efficiently and effectively.</li><li>Must be able to lift 50lbs.</li><li>Must be able to work in extreme environmental conditions including dust and high temperatures.</li><li>Must be able to endure long hours, exposure to weather and hazardous conditions.</li><li>When performing work, responsible for adhering to environmental, safety, and health standards related to the activity, including the wearing of all Personal Protective Equipment (PPE). </li></ul>Other Responsibilities: Safety - Amentum enforces a safety culture whereby all employees have the responsibility for continuously developing and maintaining a safe work environment. As appropriate, each employee is responsible for completing all training requirements and fulfilling all self-aid/buddy aid responsibilities, participating in emergency response tasks, and serving on safety committees and teams. Quality - Quality is the foundation for the management of our business and the keystone of our goal of customer satisfaction. It is our policy to consistently provide services that meet customer expectations. Accordingly, each employee must conform to the Amentum Quality Policy and carry out job activities in compliance with applicable Amentum Quality System documents and customer contracts. Each employee must read and understand his/her Quality Management and Customer Satisfaction responsibilities. Procedure Compliance - Each employee must read, understand, and implement the general and specific operational, safety, quality and environmental requirements of all plans, procedures and policies pertaining to his/her job. Disclaimer: This position description indicates the general nature and level of work expected. It is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities required. Employee may be asked to perform other duties as required. Amentum is proud to be an Equal Opportunity Employer. Our hiring practices provide equal opportunity for employment without regard to race, religion, color, sex, gender, national origin, age, United States military veteran's status, ancestry, sexual orientation, gender identity, marital status, family structure, medical condition including genetic characteristics or information, veteran status, or mental or physical disability so long as the essential functions of the job can be performed with or without reasonable accommodation, or any other protected category under federal, state, or local law. Learn more about your rights under Federal EEO laws and supplemental language at EEO including Disability/Protected Veterans and Labor Laws Posters.

Contracts Compliance Manager

Company Description Job Description Hours: Full-Time - 35 Hours Work Location: 30-30 Thomson Avenue, NY, 11101 The NYC Department of Design and Construction, Office of Diversity, and Industry Relations (ODIR) seeks a Minority and Women-Owned Business Enterprise (M/WBE) Outreach and Compliance Analyst. ODIR develops and implements innovative solutions that promote economic development and contracting opportunities for Minority and Women Owned Enterprises (M/WBEs). Additionally, ODIR is charged with monitoring agency contracts for compliance with New York City Local Law I (LLI) and Local Law 129 (LLI29). The selected candidate will be responsible for assisting in establishing a sustainable strategy that will increase M/WBE utilization and foster agency relationship with the M/WBE community; serving as a single point of contact for interaction with all stakeholders; acting as a liaison between the agency and M/WBE firms; identifying obstacles to M/WBE contracting. The M/WBE Outreach and Compliance Analyst will coordinate and attend networking and outreach events; maintain diverse supplier databases and relevant contract data elements; work closely with Department of Small Business Services to advance M/WBE procurement policies; develop outreach programs designed to attract M/WBE contractors and subcontractors to projects; and facilitate meetings with vendors and construction managers to discuss and identify vendor opportunities. In addition, the candidate will set M/WBE utilization goals during the early stages of procurement, on a contract-by-contract basis, by taking into consideration the project scope and the availability certified M/WBEs capable of performing the work; be responsible for monitoring contracts for compliance with the goals throughout the life of the contract at 25%, 50% and 75% project completion. Review and approve all Requests for Approval of Subcontractors (RFAS), as well as vendor requests for contract modification. Assist with special projects and additional tasks as needed. Authorization to work in the United States is required for this position. NYC Department of Design and Construction does not provide sponsorship for international employees for visa applications, extensions or status changes, including STEM/OPT visas. Applicants are responsible for ensuring that they meet all qualifying requirements for this position, at the time of application. All applicants, including City Employees: Please go to NYC Government Jobs / Explore Careers / City of New York, go to Search for Open Jobs, and type in the Job ID # listed above. Submit job application as prompted. Do not apply via Employee Self-Service (ESS), e-mail, mail, or fax your resume to DDC directly. Qualifications 1. A baccalaureate degree from an accredited college and two years of experience in community work or community centered activities in an area related to the duties described above; or 2. High school graduation or equivalent and six years of experience in community work or community centered activities in an area related to the duties as described above; or 3. Education and/or experience which is equivalent to "1" or "2" above. However, all candidates must have at least one year of experience as described in "1" above. Additional Information The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.

M/WBE Outreach and Compliance Analyst

The vacancy We're the Pension Protection Fund (PPF). We protect millions of people in the UK who belong to defined benefit pension schemes. When these schemes fail, we're ready to help. We do this by paying our members, by charging a levy and by investing sustainably. Our work has a real impact on people's lives, so we strive to do it well, with integrity and their future in mind. We're equivalent in size to a top 5 UK pension scheme and have developed a highly sophisticated, best-in-class investment strategy. Our culture combines private sector standards with a public service ethos. We're looking for a Credit Risk Manager to join our 2nd Line of Defence function that is responsible for the design, development and implementation of an independent credit risk framework. The Credit Risk Manager's role is to support the underwriting process and day-to-day counterparty credit risk management of a portfolio of vanilla and complex lending transaction, providing independent credit risk opinions and rating recommendations to rating/investment committees, senior risk officers, and front office management. Our ideal applicant will have extensive experience in Credit Risk Management, with a focus on Corporate Credit risk and/or Structured Finance, they will be able to demonstrate experienced in drafting Credit Risk reports for presentation at Rating Committees. Interpersonal skills are essential for this role, including effective relationship management, delivering a successful business partnering approach, and strong communication skills, with the ability to interpret complex information to a varied audience. The PPF is a diverse and inclusive place to work, we are open to applicants from all backgrounds, including returners to the workplace. We would encourage applicants to apply for the role if they are looking for a supportive workplace where we will support you to be the best version of yourself. Sound like you? Apply now. In return for your skills, experience and commitment we'll give you a challenging role within a business where you'll get the support you need to develop your career. We'll also give you lots of opportunities for personal development and skills training. Our Croydon office is just across the road from East Croydon station, which is around 15 minutes from Victoria or London Bridge, 10 minutes from Clapham Junction or half an hour from St Pancras. We're proud to be a Disability Confident Leader, the highest accreditation under the Disability Confident Scheme. If you have a disability and meet the essential criteria for this role you will be guaranteed an interview. We embrace diverse talent welcoming people with different beliefs, backgrounds and ways of working. Whatever your background, and however you identify, you'll be welcome here. We're happy to talk about flexible working No agencies please Who we are We're a statutory public corporation led by our board and accountable to Parliament through the Secretary of State for the Department for Work and Pensions. It's our duty to protect people with an eligible defined benefit pension when an employer becomes insolvent. We're proud of the work we do. Without us, many people would face significant financial hardship. We're also proud of our people, all of whom are committed to our mission and to serving over 230,000 members. Life at the PPF Careers (General) Click here for video Careers in Investment Department Click here for video Some of our Benefits Defined benefit or defined contribution pension Private medical insurance Health cash plan Corporate discretionary bonus scheme Cycle to work scheme EASIT rail travel discount Flexible / hybrid working Volunteer days Gallery Previous Next

Credit Risk Manager

Job description At KPMG, our values define who we are and the way we do business. As a leading professional services firm, we know that our strength and capability come from our people - their different perspectives, experiences and backgrounds. From our inclusive leadership strategy to our diversity and inclusion targets - we're making bold changes to who we are and what we do. Be part of it. The Team We are currently recruiting a manager to join our successful Family Office &amp; Private Client Compliance team in Edinburgh. As a national practice our FO&amp;PC team consists of 162 team members across the UK, led by 5 Partners, 3 Associate Partners and 12 Directors. We work with a variety of high net worth individuals - from stakeholders in privately owned and entrepreneurial businesses, executives of multi-national firms, landed estates and senior members of private equity firms; who may be tax resident and/or domiciled in a range of jurisdictions. We also specialise in providing advice to Trusts and Estates, and Partnerships. If you are a highly motivated qualified tax adviser/ accountant (ATT, CTA or ACA/ACCA) with experience of working in personal tax, then we'd love to hear from you. We recognise that there are also highly motivated individuals who are qualified though experience and may not be exam qualified and we are open to considering such individuals also. The Role The is primarily a compliance role and it entails managing relationships with our compliance clients, from high net worth individuals and entrepreneurial clients to Trusts, and providing high quality compliance services on a wide range of personal tax matters. More specifically, some of the responsibilities will include:- - Ensuring the delivery of a high quality compliance service to our clients; including the review of complex and varied tax returns, capital gains calculations, land and property accounts and complex residence and remittance issues. Reviewing Trust accounts, tax computations and tax returns and maintaining strong relationships with Trustees. -Managing a diverse portfolio of varied clients and being able to identify advisory opportunities - Managing the compliance process and adhering to and developing best practice procedures to ensure deadlines are met and risk managed appropriately. - Managing work in progress and ensuring prompt billing and cash collection. Qualifications, Skills &amp; Experience Candidates interested in this role should have the following skills and qualifications: - Qualified accountant or tax advisor with experience working in a personal tax focussed environment with exposure to a varied client base. - Academically strong results in career to date coupled with a keen and insightful understanding of the issues facing private clients. - An ability to work as part of a team as well as on their own initiative. - A commitment to clients, colleagues and KPMG. - High level of analytical skills and a commercial approach to resolving issues and providing advice. - Strong interpersonal skills are required in addition to strong oral and written communication skills. In particular, the role will suit either a high performing Manager keen to work with an exciting client base and keen to progress, or a recently qualified individual looking to gain exposure to a dynamic and entrepreneurial team. We are also open to applicants from individuals with other relevant tax or accountancy experience that hold a suitable qualification and can demonstrate exceptional client service and a desire to develop in a new area of tax We recognise that as individuals, we each have particular needs and that one size doesn't fit all, when it comes to how, when and where you work. That's why we're proud to offer our colleagues flexible working options. We believe in putting you at the centre of your career - KPMG will offer the training, development and stimulating work environment to help you get to where your career ambitions are. That's why we introduced 'Our Deal' - it's our way of saying 'thank you' for bringing your best to work. As part of 'Our Deal', you'll benefit from a range of rewards from secondment opportunities and preferential banking services to a day off on your birthday and have open, honest conversations about your career development.

Private Client Tax - Compliance Manager - (Edinburgh)

By Joining Citi, you will become part of a global organisation whose mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. Team/Role Overview The European Market Infrastructure Regulation (EMIR) Regulatory Reporting Team provide oversight and controls for EMIR Reporting. The roles involve reviewing the trade submissions to the Trade Repository and ensuring completeness and accuracy of the reports. What you'll do <ul><li>Establishes and oversees the application of operational risk policies, technology and tools, and governance processes to create lasting solutions for minimizing losses from failed internal processes, inadequate controls, and emerging risks.</li><li>Assesses risks and drive actions to address the root causes that persistently lead to operational risk losses by challenging both historical and proposed practices.</li><li>Governance and oversight may include (not limited to) technology operational risk, risk for example.</li><li>Establishes and maintains a robust control environment and culture within the Citi businesses worldwide.</li><li>Assists management in achieving and maintaining strategic objectives, promotes efficiency, reduces the risk of loss and helps ensure compliance with corporate polices, procedures, laws and regulatory requirements.</li><li>Assists in assessing current status of all regulation related controls.</li><li>Recommends control enhancements as needed.</li><li>Identifies best practices to be shared with global Citi businesses.</li><li>Develops and maintains tracking metrics for management reporting and escalation.</li><li>Establishes a rapport with Business Managers, Compliance, Internal Audit and Legal.</li><li>Develops a broad and detailed understanding of the organization's landscape, culture and technology.</li><li>Understands the various businesses and the applicable regulations which govern.</li><li>Can exercise independence of judgement and autonomy.</li><li>Acts as SME to senior stakeholders and /or other team members.</li><li>Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.</li></ul>What we'll need from you <ul><li>Knowledge of EMIR regulatory reporting.</li><li>Co-ordination of BAU activities, monitoring and facilitating the implementation of BAU controls.</li><li>Point of Escalation for BAU activities.</li><li>Self-motivated, detail oriented well organised with strong verbal and written communication skills.</li><li>Ensuring all MIS is accurate and produced in a timely manner.</li><li>Ability to create and deliver presentations to senior levels of management.</li><li>Demonstrated experience in the successful implementation of projects, operational process change and improvement, preferably within capital markets operations.</li><li>Proficient in MS office.</li><li>Experience in collecting, defining and documenting business and technology requirements, test plans and other project management artefacts.</li><li>Experience in working across technology and business projects and managing inter-dependencies between the two.</li><li>Proven problem-solving and decision-making skills.</li><li>Pro-active, resilient, and tenacious.</li><li>Ability to work under pressure and manage to tight deadlines or unexpected changes in expectations or requirements.</li><li>Bachelor's/University degree, Master's degree preferred.</li></ul>What we can offer you We work hard to have a positive financial and social impact on the communities we serve. In turn, we put our employees first and provide the best-in-class benefits they need to be well, live well and save well. By joining Citi Belfast, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as: <ul><li>Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenure</li><li>A discretional annual performance related bonus</li><li>Private medical insurance packages to suit your personal circumstances</li><li>Employee Assistance Program</li><li>Pension Plan</li><li>Paid Parental Leave</li><li>Special discounts for employees, family, and friends</li><li>Access to an array of learning and development resources</li></ul>Alongside these benefits Citi is committed to ensuring our workplace is where everyone feels comfortable coming to work as their whole self every day. We want the best talent around the world to be energized to join us, motivated to stay, and empowered to thrive. Sounds like Citi has everything you need? Then apply to discover the true extent of your capabilities. Job Family Group: Risk Management Job Family: Operational Risk Time Type: Full time Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting

Operational Risk Senior Manager

Job Posting: JR100423 Compliance Analyst (Open) Department: UBalt Office of the Bursar, PM Position Type: Regular Open Date: 09-26-2024 Close Date: $60,000-$70,000 Job Description: Serving in the Office of the Bursar, this professional position provides auditing, analysis, and compliance work relative to student accounts and the student finance systems. The position serves as the compliance analyst responsible for the review and improvement of Federal, State, Board of Regents and UBalt policies and associated business processes. The position develops best practices and performs due diligence reconciliations and quality assurance analysis on student accounts and associated technologies. This position is responsible for the formal documenting, continuous monitoring, training, and process improvement for key administrative tasks performed by the unit staff with a goal of improving the student experience and mitigate operational and audit exceptions and findings. This position performs qualitative and quantitative analysis, using data from systems to improve business processes and in support of data driven decisions. Serves as the operations back-up to the Assistant Bursar. Responsibilities: Analyst functions Current Student Finance system and tools, to include the current Enterprise Resource Planning tool - Oracle PeopleSoft, the State of Maryland General Accounting Division R*stars system, CashNet tools (administration, e-bill, e-refund, e-payment, e-market, and payment plans), ImageNow and KeyPad cashiering. Perform data analysis for leadership to support data driven decisions and develop metrics for reporting. Mine the data output from the student finance systems to develop strong forecasting for: <ul><li>Student Account Receivables (AR) for financial clearance and defaulted payment plan. Perform ongoing forecasts, by student segment, and recommend communications/outreach activities to reduce the receivables and increase student enrollments.</li><li>Delinquent Student AR pre-CCU due diligence and submissions.</li><li>Student refunds via direct deposit and check requests.</li><li>Monthly Bookstore credits, new student seat deposits (freshman and law) and graduation fee payments. </li><li>Develop and maintain annual communication plan and templates for outbound automated communications.</li><li>Provide continuous enhancements to unit web pages.</li></ul>Follow up effort for the above is performed by the transactional owner within the Office of the Bursar. Compliance subject matter expert <ul><li>Responsible subject matter expert on Federal, State, Board of Regents and UBalt policies, procedures, and business processes. This includes legislation under consideration and policy changes. Evaluates financial impact of proposed legislation</li><li>Monitors, and reviews compliance and/or regulatory changes and suggests system modifications and business process improvements. </li><li>Ensures unit business processes are current with FERPA, Red Flags, PCI, GBLA and GDPR rules and regulations. </li><li>Recommends process changes and report findings to Bursar.</li><li>Tests for compliance through reconciliation and analysis.</li><li>Identify compliance training needs, either via the UBalt tool or develop needed training for impacted team members and/or colleagues.</li></ul>Application Administration, System Documentation, Training, and Development: <ul><li>Administer unit systems in support of effective, reliable, and sustainable operations. Serve as the super user for the Student Finance tool and backup business owner. Designs, develops, and implements specific initiatives to improve security and features within the systems, towards overall effectiveness and efficiency. </li><li>Perform routine application administration tasks on these systems following The University of Baltimore standards and procedures for functionality. Support systems including user account maintenance, security, and the creation and maintenance of fields, views, reports, dashboards, campaigns, workflows and other objects and functions. Develop the Office of the Bursar team to enable them to research system errors. Provides tier 2 support for escalated system tickets. Oversee testing in support of successful error free implementations.</li><li>Monitor online forums and email lists for changes and advancements in the systems, and advocate with system and business owners for their implementation and adoption. Apply vendor and industry standard best practices. Research add-on application packages and develops support analysis for acquisition of applicable programs.</li><li>Serve as an operational backup to the Assistant Bursar and Bursar in their absence. Examples of operational tasks are manual postings, import external files, generating data queries, cashiering manager approvals, and Maryland General Accounting Division submissions for student refunds. </li><li>Updates and maintains testing plans and end user documentation. </li></ul>Minimum Qualifications: <ul><li>Education: Bachelor's degree in accounting, business, finance, or a related field/discipline. </li><li>Experience: 3 years' experience in Accounts Receivable, Accounting, Customer Services, Student Services and/or related experience. Experience handling student or customer payment, accounts and/or collections with a professional customer focus. A general working knowledge of an ERP system or environment and intermediate skill level using Microsoft Excel. </li></ul>Preferred Qualifications: <ul><li>Education: Master's Degree or Business-related certificate</li><li>Experience: Experience with the Oracle PeopleSoft Campus Solutions student finance module in a public 4-year higher education institution. Experience documenting business and reconciliation processes. </li></ul>Required Knowledge, Skills, and Abilities: <ul><li>A strong working knowledge of the policies and procedures pertaining to student account receivables in a public university, including an understanding of accounting and auditing principles related to accounts receivable, cash handling and revenue. </li><li>Knowledge of federal, state, institutional and Board of Regents polices and regulations as it pertains to compliance, due diligence, and auditing of delinquent accounts. </li><li>A clear competency of Payment Card Industry data security standards, the Family Education Rights and Privacy Act (FERPA) related to confidentiality of student documents and FTC red flag rules to prevent identify theft. </li><li>An aptitude to evaluate and recommend process and procedure improvement which maximize operational resources. </li><li>Ability to establish and achieve goals, priorities, and timelines for self. </li><li>Ability to perform professionally, employing inherent customer service strategies, exercising judgment, discretion, diplomacy, and confidentiality. </li><li>Daily, this position is required to exercise initiative, make sound business recommendations related to state and federal polices and University and University System of Maryland (USM) policies and procedures. </li><li>This position works independently performing high touch customer service under limited supervision. </li></ul>We offer a competitive benefits package, including health, life, prescription, and dental plans, tuition remission benefits, paid leave (22 days of annual, 15 days of sick, 3 days of personal, and 14-15 holidays) and retirement plans with employer contributions. You can see more details on our benefits here. Additional Job Information: The University of Baltimore ("UBalt" or "University") does not discriminate on the basis of sex, gender, race, religion, age, disability, national origin, ethnicity, sexual orientation, gender identity, or other legally protected characteristics in its programs, activities or employment practices. UBalt is an Equal Opportunity/Affirmative Action/ADA Compliant Employer &amp; Title IX Institution.

Compliance Analyst

<ul> <li> Email </li> </ul>Our Commodities and Global Markets businesses provide risk management, lending and financing, and physical execution and logistics services across the energy, metals, and agricultural sectors globally. The division also offers commodity-based index products to institutional investors. As part of the Compliance Division within our Risk Management Group, this highly visible role acts to support this business area and provide compliance advice and support. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility As a Senior Manager you will actively participate in monitoring for regulatory changes on the horizon and implementation and ongoing guidance in respect of rules and regulations impacting the global Commodities and Global Markets business. You will also play a pivotal role in providing regulatory and compliance guidance to the equity derivatives and trading team. Specifically, you will work on key workstreams and cross-border issues, including set up of a new US entity and hold regulator engagement, drafting of compliance policies, ongoing Compliance program implementation and Chief Compliance Officer support. What you offer Press space or enter keys to toggle section visibility <ul><li>8-12 years' legal or regulatory experience across financial markets regulatory obligations applicable to physical and cash-settled derivatives, exchange-traded products, and financing/lending products </li><li>Significant experience in over the counter (OTC) derivative obligations, including U.S. Securities and Exchange Commission (SEC) security-based swap dealer and Commodities Futures Trading Division (CFTC) swap dealer obligations </li><li>Experienced in advocacy within industry forums, such as ISDA, FIA and SIFMA, and engagement with financial markets regulators and self regulatory organisations</li><li>Excellent relationship and communications skills, with ability to help drive regulatory compliant and commercially viable solutions </li><li>Ability to draft and maintain fit-for-purpose compliance policies, procedures, and controls, perform targeted compliance testing, and manage regulatory filings</li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About the Risk Management Group Press space or enter keys to toggle section visibility Our Risk Management Group works as an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. We are a global team that aims to manage the risks of today and anticipate the risks of tomorrow. Our divisions include compliance, credit, financial crime risk, internal audit, market risk, operational risk, aggregate risk and prudential, and central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

Regulatory Compliance Senior Manager | Commodities and Global Markets

Network Health's success is rooted in its mission to create healthy and strong Wisconsin communities. It drives the decisions we make, including the people we choose to join our growing team. Network Health is seeking a Compliance Officer to serve as the Chief Compliance and Privacy Officer (CO) for the organization. This critical team member is responsible for the corporate integrity, compliance and privacy programs. The CO is responsible for planning, implementation, design and evaluation of the compliance, privacy programs in accordance with applicable regulations as well as collaborating with Internal Audit to develop and implement a comprehensive risk-based audit plan reflecting a thorough understanding of industry risks and with consideration of all the organization's lines of business. The CO is also accountable for project resourcing, budgeting, planning and execution to set and achieve corporate goals based on strategy, issues, risks and dependencies. This position serves as the organization's Section 1557 Coordinator, retaining ultimate oversight for ensuring Network Health's compliance under Section 1557 of the Affordable Care Act. Duties: <ul><li>Develops, implements, monitors and evaluates the corporate privacy and compliance programs.</li><li>Nurtures and promotes culture of compliance throughout the organization.</li><li>Develops and maintains compliant Business Associate Agreements, to ensure all privacy concerns, requirements, and responsibilities of Network Health's Business Associates are addressed within the agreement, in collaboration with legal counsel, when necessary.</li><li>Oversees and advises organization and Board of Directors on anticipated regulatory changes and potential impacts.</li><li>Establishes, maintains and monitors a system for uniform responses to alleged violations of rules, regulations, policies, procedures, and the Network Health's Code of Conduct and recommends corrective action to senior management and/or Human Resources.</li><li>Oversees compliance with privacy practices and consistent application of the employee sanctions policy for failure to comply with privacy/compliance policies for all employees, extended workforce, and for all business associates, in cooperation with human resources, administration and legal counsel, as applicable.</li><li>Establishes and administers a process for receiving, documenting, tracking, investigating, and taking action on all incidents concerning the organization's compliance and privacy policies and procedures in coordination and collaboration with other similar functions, including ERM, IS Security and legal counsel, as applicable.</li><li>Lead organization efforts for external regulatory audits (including those by CMS and OCI), as well as any required remediation and/or corrective action plans.</li><li>Maintains an effective working relationship with all regulators to ensure the organizations needs are met and to drive company strategy forward.</li><li>Develops and communicates annual compliance work plan and effectiveness assessments and makes periodic reports of progress toward plans.</li><li>Ensures policies, procedures, and practices are designed to promote compliance with the requirements set forth by regulators, including oversight of all FDRs and sanction screening processes and continually refining regulatory support processes and champions review of division processes, workflows, desk level procedures and activities.</li><li>Responsible for development, maintenance and ongoing improvements of general compliance and privacy training and education for the organization.</li><li>Oversees the Network Health Privacy and Compliance Committee, a subcommittee of the Board of Directors.</li><li>Oversees and leads the execution of a risk-based internal audit plan in conjunction with internal audit using department metrics and reports to manage audits and ensures the delivery of relevant, factual, clear and timely reports of audit results to senior leadership and the audit committee.</li><li>Responsible for anticipating and identifying key sources of information to analyze problems clearly, identify root cause of problems, trends, and opportunities and determine creative solutions.</li><li>As Section 1557 Coordinator:<ul><li>Oversees effective implementation of Network Health's language access, effective communication and reasonable modification procedures.</li><li>Receives, reviews and processes grievances related to prohibited actions under Section 1557.</li><li>Coordinates Network Health's recordkeeping requirements under Section 1557</li><li>Coordinates Section 1557 training for employees</li></ul></li></ul>Requirements: <ul><li>Bachelor's degree in Business, Organizational Development or a relation field required.</li><li>Master's Degree in a related field is preferred</li><li>10 years of experience in healthcare, health insurance and/or compliance.</li><li>5+ years' leadership experience including directing teams in planning, launching and managing cross department projects.</li><li>5+ years' experience in leadership development</li><li>Certification in Health Care Compliance (CHC) is required OR must be obtained within 24 months of employment.</li></ul>Skills: <ul><li>Demonstrated strategic skill set: able to synthesize and translate inputs, business performance metrics and strategic directives into projects and action plans.</li><li>Ability to mitigate risks proactively and resolve issues, escalating to the board of directors when appropriate.</li><li>Ability to work through legal contracts to reduce risk and ensure compliance with applicable State and Federal regulations.</li><li>Ability to understand complicated regulatory challenges and supply concise and relevant answers.</li><li>Ability to make informed and researched based strategic and regulatory recommendations with an understanding the impact to the company's resources and bottom-line.</li><li>Detail-oriented with the ability to manage projects from inception through execution.</li><li>Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures, government regulations and legal documents.</li></ul>We are a recent Best Places to Work award winner from the Milwaukee Business Journal. To learn more about us and the benefits we offer, please visit <a href="http://www.networkhealth.com/careers" target="_blank">www.networkhealth.com/careers</a>. We are proud to be an Equal Opportunity Employer who values and maintains an environment that attracts, recruits, engages and retains a diverse workforce.

Compliance Officer

Compliance support/analyst (Information Assurance) We are seeking a motivated and detail-oriented Compliance Support/Analyst to assist with the ongoing management and monitoring of compliance activities. Reporting to the Information Assurance and Security Lead, you will help ensure that we adhere to relevant regulations, standards, and internal policies, supporting the business in maintaining a robust and compliant environment. This is an excellent opportunity for someone looking to develop their career in compliance and information security, gaining exposure to a range of industry standards, including GDPR, ISO 27001, and other applicable regulatory frameworks. Key Responsibilities <ul> <li>Support with maintaining, updating, and reviewing compliance-related documentation, including policies, procedures, and guidelines, ensuring they are up to date and in line with regulatory changes.</li> <li>Assist with the preparation of reports and documentation for audits, regulatory reviews, and management reporting, ensuring accuracy and timeliness.</li> <li>Support the conduct of risk assessments and gap analyses to identify potential vulnerabilities, non-compliance issues, or opportunities for improvement.</li> <li>Assist with both internal and external audits, helping to gather and organise evidence, track audit findings, and manage remediation plans.</li> <li>Work closely with cross-functional teams, including IT, legal, and operations, to support the implementation of compliance initiatives and address regulatory requirements.</li> </ul>Key Skills and Competencies <ul> <li>Ability to review and interpret data, regulations, and policies to support decision-making and compliance activities.</li> <li>Strong focus on accuracy and quality when handling compliance documentation and reports.</li> <li>Excellent written and verbal communication skills, with the ability to effectively communicate complex compliance requirements to non-experts.</li> <li>Aptitude for identifying issues, proposing solutions, and following through with action plans.</li> <li>Able to collaborate effectively with a variety of internal stakeholders and support a culture of compliance across the organisation.</li> </ul>Essential Requirements <ul> <li>Good working knowledge of information security/compliance standards and frameworks such as ISO 27001, Cyber Essentials Plus and GDPR.</li> <li>Some experience in compliance, information security, or risk management roles.</li> <li>Previous experience in audit support would be desirable</li> </ul>

Data Compliance Analyst

Overview This position supports the Bank's Fair and Responsible Banking ("FRB") Program. The Senior Compliance Risk Analyst will support the Unfair, Deceptive or Abusive Acts or Practices (UDAAP and UDAP) program through providing assistance in maintaining Trustmark's Satisfactory or better regulatory ratings that applies to the FRB Program which includes compliance with Fair and Responsible banking laws including the Equal Credit Opportunity Act (ECOA), Fair Housing Act (FHA), Unfair, Deceptive or Abusive Acts or Practices (UDAAP), and Americans with Disabilities Act (ADA) regulations by aiding in identifying and mitigating potential fair and responsible banking risks. The position will be responsible for conducting UDAAP compliance risk testing activities, advertising and marketing reviews, complaint management, and vendor management reviews throughout the Bank for risks related to Consumer Banking/Lending activities to identify potential areas of concern to improve Trustmark's internal controls and reduce risk exposure. Responsibilities <ul><li>Monitor the Bank's compliance with UDAAP laws and Sale Practices by conducting compliance testing and data analytics to analyze lending and non-lending activities to identify risks. </li><li>Review marketing materials and other external-facing communication for potential UDAAP and Fair Lending issues. </li><li>Monitor complaints and analyze complaint data for trends to assess potential UDAAP risk. </li><li>Assist in the UDAAP risk assessments, including evaluation of inherent risk as well as the sufficiency of business unit controls to detect and prevent UDAAP risk.</li><li>As a subject matter expert, provide guidance to business units on UDAAP regulations by keeping abreast of developing trends and changes in regulations relating to UDAAP, including: TILA, TISA, ECOA, FDCPA, FCRA, FHA, HMDA, ECOA, CRA and other regulations as applicable.</li><li>Ensure compliance with applicable federal, state, and local laws and regulations. Complete all required training. Maintain knowledge of and adhere to Trustmark's internal compliance policies and procedures. Take responsibility to stay abreast of changing regulations and policies. </li><li>Assist in delivering periodic reporting to applicable committees and working groups, and the development of enhanced reporting.</li><li>Assist in updating the UDAAP training and determining the bank's annual UDAAP training needs.</li><li>Assist in the development of the Enterprise ADA program, policy, and training. As well as acting as liaison to the first line of defense and the development of second line of defense control monitoring. </li><li>Supports the Fair and Responsible Banking Department as needed.</li><li>Perform additional duties as assigned.</li></ul>Qualifications <ul><li>Bachelor's degree in Law, Economics, Finance, Public Administration or Business-Related Field, or a combination of education and experience. </li><li>5 years of experience in financial institution, auditing firm, or consulting firm in a compliance, audit, risk management, or analytical role, preferably in a banking institution</li><li>Excellent verbal and written communications skills, and ability to interface with senior management</li><li>Proficient in time management, planning, and prioritization</li><li>Ability to work in fast-paced, changing environment and meet deadlines with strict timeframes</li><li>Highly motivated with the ability to be proactive, take initiative, carefully monitor, follow through, and complete projects/responsibilities in a professional and timely fashion</li><li>Intermediate knowledge of fair and responsible lending/banking and ability to apply these principles</li><li>Thorough knowledge of banking operations</li><li>Excellent verbal and written communications skills, and ability to interface with senior management</li><li>Hiighly proficient in time management, planning, and prioritization</li><li>Ability to work in fast-paced, changing environment and meet deadlines with strict timeframes</li><li>Ability to work on and track multiple tasks and priorities</li><li>Highly motivated with the ability to be proactive, take initiative, carefully monitor, follow through, and complete projects/responsibilities in a professional and timely fashion</li><li>Strong interpersonal and communication skills, including the ability to interact freely and comfortable with staff and management at all levels</li><li>Ability to exercise sound judgment and work independently</li><li>Knowledge of consumer protection laws and regulations impacting financial institutions with demonstrated proficiency in applying these principles</li><li>Ability to manage and provide compliance related oversight to multiple business lines</li><li>Strong knowledge of Microsoft applications, primarily Excel, Teams, PowerPoint, Outlook, Access, SharePoint, Word and other database analysis and reporting tools</li><li>Demonstrated skills in critical thinking, attention to detail, interpersonal, problem solving, and analytical skills</li></ul><ul><li>UDAAP, ADA, Advertising/Marketing, and Compliant Management compliance experience preferred</li><li>Strong project management skills are a preferably a plus</li><li>Process development experience preferred</li><li>Master's in Law, Economics, Finance, Public Administration, Or Business-Related Field preferred</li><li>Certified Regulatory Compliance Manager (CRCM) and/or professional certifications preferred but not required </li></ul>

Senior FRB Compliance Analyst

Prism Plastics, Inc. Come join a team where People make the difference! As a part of Marmon Holdings, Inc., a highly decentralized organization, we rely heavily on people with the aptitude, attitude, and entrepreneurial spirit to drive our success, and we're committed to attracting and retaining top talent. <ul><li>Manage all external registration requirements and communication with external bodies on all matters relating to registration.</li><li>Facilitate systems, reporting and goal measurement to ensure achievement of customer requirements and support continued business partnerships.</li><li>Support effective implementation of the Advanced Product Quality Planning (APQP) phases, including development and maintenance of FMEAs and PPAP submissions for all locations.</li><li>Lead and mentor operations on the corporate corrective action requirements to ensure timely and effective resolution of internal nonconformance, customer complaints &amp; supplier nonconformance.</li><li>Provide leadership in continuous improvement efforts in cross functional teams for quality, engineering, and production to reduce process variation and eliminate waste.</li><li>Lead and support the development and maintenance of quality standards and requirements for products and supporting systems.</li><li>Responsible for process effectiveness and the integrity of the quality system processes (i.e., quality management system operating procedures, document and record control requirements, site training, and corrective and preventive action process).</li><li>Manage and lead the plant lead auditors for quality system audits and process audits, ensuring all customers product/system requirements are obtained, understood, communicated, and effectively implemented.</li></ul>Work Experience requirements: <ul><li>A minimum of 5 years of work experience - developing and implementing corporate quality management systems, metrics, and operational/process risk assessments in the automotive industry</li><li>Strategic audit planning and execution including customer specific supplier requirements</li><li>Coordinator of 3rd party corporate management system audits</li><li>Proven leadership and experience coordinating cross-functional management for business operating system implementation and improvement</li></ul>Following receipt of a conditional offer of employment, candidates will be required to complete additional job-related screening processes as permitted or required by applicable law. We are an equal opportunity employer, and all applicants will be considered for employment without attention to their membership in any protected class. If you require any reasonable accommodation to complete your application or any part of the recruiting process, please email your request to <a href="mailto:careers@marmon.com" target="_blank">careers@marmon.com</a>, and please be sure to include the title and the location of the position for which you are applying.

Corporate Quality & Compliance Manager

Centene is transforming the health of our communities one person at a time. As an Executive on our team, you could be the one who changes everything for our 28 million members. Position Purpose: This position will be a member of Medicare &amp; Compliance Senior Leadership, chairs Centene's Medicare Compliance Committee, attends meetings of the Enterprise Compliance Committee (ECC), and does not have financial, operational, or other non-compliance duties. This position is expected to promote an appropriate "Tone at the Top" of the organization with a commitment to service leadership. <ul><li>Leading the Medicare Compliance team with a collaborative mindset and demonstrated commitment to excellence</li><li>Developing a best-in-class Medicare Compliance Program that exceeds stakeholder expectations</li><li>Ensuring that Medicare Compliance reports are provided regularly to the CRECO, the Medicare Compliance Committee, the Medicare Senior Leadership team and the A&amp;CC of the Board</li><li>Through appropriate designees, ensuring that colleagues receive timely and practical advice regarding new guidance from federal and state regulators ensuring that all Medicare Compliance policies and procedures are reviewed annually and revised, as necessary, to reflect relevant legal, regulatory, and administrative developments and to address any compliance concerns or gaps that have been identified</li><li>Creating and coordinating, by appropriate delegation as warranted, education training program to ensure that the Board, officers, employees, First Tier Downstream and Related Entities (FDRs), and other individuals and entities are knowledgeable about the Enterprise Ethics and Compliance Program, Centene's Business Ethics and Code of Conduct (Code), the Company's compliance policies and procedures and applicable statutory, regulatory, and administrative requirements</li><li>Facilitating a quarterly Medicare Compliance Risk Assessment and developing an annual Compliance work plan</li><li>Chairing the quarterly Medicare Compliance Committee and ensuring appropriate reporting is provided to the Committee</li><li>Developing and implementing methods and programs that encourage managers and employees to report, without fear of retaliation, good faith concerns regarding Medicare non-compliance and potential instances of fraud, waste and abuse (FWA)</li><li>Responding to reports of potential FWA, including the coordination of internal investigations with the Special Investigations Unit and the development of appropriate corrective or disciplinary actions</li><li>Ensuring, by appropriate delegation as warranted, that all applicable government exclusion lists, including, but not limited to those issued by the Office of Inspector General, U.S. Department of Health and Human Services and the Government Services Administration are screened monthly with respect to all Board members, employees and FDRs and that any identified personnel issues are promptly addressed in accordance with applicable policies and procedures</li><li>Maintaining documentation for each report of potential non-compliance or potential FWA received from any source, through any reporting channel or mechanism</li><li>Overseeing the development and implementation of Corrective Action Plans</li><li>Coordinating potential fraud investigations and referrals from and with the SIU, where applicable, and the appropriate National Benefit Integrity Medicare Drug Integrity Contractor</li><li>As appropriate and in coordination with the SIU, collaborating with other sponsors, State Medicaid programs, Medicaid Fraud Control Units, commercial payers, and other organizations when a potential FWA issue is discovered that involves multiple parties</li><li>Ensuring that data and other information and materials submitted to CMS are accurate and in compliance with CMS reporting requirements</li><li>Reporting potential FWA to CMS, its designees and other regulatory and enforcement agencies</li><li>Directing, through one or more designees, audits and investigations of FDRs</li><li>Directing, through one or designees, audits of any area or function involved with Medicare Parts C or D plans</li><li>Interviewing, personally or through designees, employees and other relevant individuals regarding Medicare compliance issues</li><li>Performs other duties as assigned</li><li>Complies with all policies and standards</li></ul>Education/Experience: Bachelor's Degree required: Juris Doctor (JD) from an accredited law school, with a strong academic record and a state bar admission preferred 5+ years of experience in a leadership role required 10+ years of Medicare Managed Care Compliance experience required Experience in the managed care sector preferred, ideally with rigorous professional training in a law firm, corporate legal or compliance department and/or relevant government agency preferred Pay Range: $227,400.00 - $431,900.00 per year Centene offers a comprehensive benefits package including: competitive pay, health insurance, 401K and stock purchase plans, tuition reimbursement, paid time off plus holidays, and a flexible approach to work with remote, hybrid, field or office work schedules. Actual pay will be adjusted based on an individual's skills, experience, education, and other job-related factors permitted by law. Total compensation may also include additional forms of incentives. Centene is an equal opportunity employer that is committed to diversity, and values the ways in which we are different. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or other characteristic protected by applicable law. Qualified applicants with arrest or conviction records will be considered in accordance with the LA County Ordinance and the California Fair Chance Act

Medicare Compliance Officer

Bessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. Reporting directly to the Director of Investment Management Compliance (and Chief Compliance Officer of our mutual funds and registered investment adviser), the Compliance Manager will assist in administering the 206(4)-7 and 38a-1 compliance programs and advising on other related investment management activities of Bessemer Trust. Key Responsibilities: <ul> <li>As a senior member of the Compliance team, assist in the management of the 206(4)-7 and 38a-1 Compliance Programs, including oversight of the Investment Compliance testing and monitoring program.</li> <li>Assist with the management and daily oversight of Compliance team members and commensurate with experience, be primarily responsible for the management of team members. </li> <li>Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices.</li> <li>Serve as key Compliance adviser to the business on various investment-related areas, such as code of ethics/insider trading, best execution, trade allocation, soft dollars and cross trading.</li> <li>Manage the portfolio compliance monitoring program. Manage the review of investment guideline warnings and alerts and any matters for escalation. </li> <li>Prepare certain board and oversight committee materials, including the production of mutual fund board materials, and other reporting as needed.</li> <li>Assist with due diligence of service providers, including sub-adviser, fund administrator, transfer agent, and distributor due diligence visits and questionnaires. </li> <li>Implement and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations.</li> <li>Assist with Form ADV updates.</li> <li>Develop and deliver Compliance training.</li> <li>Perform other Investment Compliance related duties, as assigned. </li> </ul>Qualifications: <ul> <li>Bachelor's degree required; other related degrees, certifications, experience and training, a plus</li> <li>10 plus years in a Compliance role for a registered investment adviser and mutual fund complex, with private funds and Cayman Funds experience, preferred</li> <li>Effective understanding of SEC regulations, with a particular focus on the Investment Company Act of 1940 and Investment Advisers Act of 1940</li> <li>Proficiency in Bloomberg, Longview and MyComplianceOffice is a plus</li> <li>Excellent analytical, written and oral communication skills</li> <li>Prudent and practical judgment and high level of integrity</li> <li>Excellent organizational and project management skills</li> <li>Some management experience, or a desire to obtain management experience</li> </ul>The base salary range for this position is $180K - $270K. Actual salaries will vary and will be based on various factors, such as skills, experience, and qualification for the role. It is not typical for offers to be made at or near the top of the range. In addition, this position may be eligible for a discretionary incentive-based bonus based on individual and company performance. Eligible employees may participate in a 401 (K) program with a company profit sharing contribution, medical, dental, vision, life insurance and disability covering and paid holidays, vacation, and sick days.

Senior Investment Compliance Manager

We are looking for an IT Compliance Analyst to support the IT Compliance Manager and assist with the implementation and running of a best practice IT General Control Framework. This will deliver continual improvements in support of Audit and Risk management. As part of the Information Security team, a focus will be on the implementation, running, monitoring and reporting on effective security and other IT controls and processes. <ul><li>Work with the IT Audit &amp; Compliance manager in delivering a Controls Framework</li><li>Produce regular KPI reporting on IT Audit and Compliance activities and the overall programme's status</li><li>Own coordination of the ongoing compliance monitoring, awareness training and testing.</li><li>Coordinate, execute and oversee key controls and processes.</li><li>Track and manage continual improvement activities across IT Audit and Compliance programmes.</li><li>Assist in the definition, documentation and maintenance of security baselines, standards, policy and procedures in conjunction with relevant IT teams;</li><li>Maintain and take ownership of IT Audit Findings log and track actions to completion,</li><li>Provide expert assistance and consultancy to all other IT teams, in line with best practice and to meet business requirements;</li><li>Ensure any ad-hoc audit work required is completed in a timely manner;</li><li>Automate compliance checking of agreed standards, policy and controls;</li><li>Support the IT Production Heads in matters relating to IT &amp; Audit Compliance</li></ul>KEY SKILLS AND EXPERIENCE Essential <ul><li>Knowledge of applicable regulatory policies, standards, procedures and controls (ISO27001/SOC/MAS TRM/BAIT/CIS/NIST/Cyber Essentials etc.)</li><li>Understanding of IT standards, best practices for information and IT security and applicable laws and regulations.</li><li>Previous Experience in a Compliance, Risk Management, Internal Audit or External Audit role</li><li>Experience of working in a Regulated Environment (Financial Services)</li><li>Experience of Security controls, processes and governance desirable (e.g. access recertification)</li><li>Documenting, reviewing and reporting, must have excellent written communication skills and good experience of working with Microsoft Office</li><li>Competence using Excel, and IT tools, basic scripts to process information efficiently (e.g. csv data, comparisons, reporting)</li><li>Confidence to engage with audiences remotely (i.e. via Teams) as well as engaging face-to-face with smaller groups and senior stakeholders</li><li>Enjoys self-learning/teaching and problem-solving with a strong attention to detail</li><li>Some experience in environments where they are required to perform a wide range of types of tasks from week-to-week (e.g. start-up or small organisation experience) - perhaps looking to move into a larger organisation</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.

IT Compliance Analyst

Starr Insurance Companies is a leading insurance and investment organization, providing commercial property and casualty insurance, including travel and accident coverage, to almost every imaginable business and industry in virtually every part of the world. Cornelius Vander Starr established his first insurance company in Shanghai, China in 1919. Today, we are one of the world's fastest growing insurance organizations, capable of writing in 128 countries on 6 continents. Roles &amp; Responsibilities <ul><li>Take the lead on developing and delivering the second line assurance plan</li><li>Maintain and develop a robust and effective second line assurance framework</li><li>Design and deliver reports and MI for the relevant committees and senior management.</li><li>Design and undertake reviews on a thematic and functional basis to ensure effective application of policies, procedures, and internal controls, as well as adherence to regulatory requirements.</li><li>Periodic testing of Starr's key risk controls</li><li>Deep dive reviews into Starr's top organisational risks. Ensure recommendations/actions are reported and completed in a timely manner.</li><li>Contribute to the success of the Risk and Compliance teams more widely e.g. horizon scanning, day-to-day guidance and delivering training</li><li>Support the company in maintaining compliance with industry and governmental lead regulations.</li><li>Contribute to the regular Risk and Compliance reports to governing bodies, providing summary updates of control testing, monitoring reviews, and business performance against company procedures.</li><li>To draft, review and keep up to date internal regulatory protocols, policies and procedural manuals.</li><li>Support team with sanction screening and sanction related queries</li><li>Assist in registrations of licensing and tax</li><li>Support with maintaining TOBA process.</li></ul>Experience <ul><li>Relevant second line experience</li><li>Awareness of Lloyd's and London Market practices (and related International Lloyd's standards);</li><li>Strong awareness of Lloyd's Principles, the FCA and the PRA.</li></ul>Skills <ul><li>Ability to understand the commercial implications of regulation;</li><li>Planning and organisational skills;</li><li>Conscientious and attention to detail;</li><li>Strong communication skills both written and oral;</li><li>Professional business writing and presentation skills;</li><li>Judgement and decision making;</li><li>Ability to act with due professional care, demonstrating sound integrity and confidentiality; and</li><li>Analytical thinking - explores and understands trends, opportunities and risks that could affect the business. </li></ul>Starr is an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and we're committed to creating an inclusive environment for all employees. We offer first class training and development opportunities to all employees. Our aim is to grow our own talent and bring out the best in people.

Risk and Compliance Assurance Officer - 6 month contract

At SimplyBiz, we're seeking a dynamic and experienced Head of Compliance - Technicalto provide leadership and oversight for the internal ComplianceHelpdesk team. You'll supervise, monitor and support the development of the team to deliver technical regulatory compliance support services to our members, ensuring the team operates within it's SLA's. This is a hybrid role where you'll be expected to attend the office in Huddersfield for 3 days each week. What you'll be doing: <ul> <li>Effective organisation and prioritisation of the team'sworkflow in order to meet deadlines, taking ownership and accountability for your own area.</li> <li>Ensure all members of the team have appropriate knowledge and competence to deliver core compliance services to our membership.</li> <li>Deliver training on regulatory matters to the team and other internal departments.</li> <li>Maintain and enhance your own technical and regulatory knowledge via CPD</li> <li>Promote a culture of cross-department collaboration within the group to ensure information, knowledge andexperience is shared across the business.</li> <li>Coachingand developing the team withthe ability to assess training needs.</li> <li>Setting,measuring and managingperformance standards and expectations.</li> <li>Motivating team members and creating anenvironment that fostersparticipation and challenge whilst supporting individual needs.</li> <li>Reviewing Financial Promotions and Websites for both the membership and white labelled marketing material.</li> <li>Work with relevant staff across the Group in order to maximise member recruitment, retention and services adoption.</li> <li>Assist firms with internal notifications to the regulator and other requests.</li> </ul>What you'll need: <ul> <li>Significant experience of working within the UK Financial Services industry</li> <li>Excellent knowledge of the industrywith an understanding of FCA rules and regulation and the Mortgage and Investment advice process</li> <li>Diploma in Financial Planning or equivalent</li> <li>Strong people management skills within a team environment</li> <li>Effective communication and presentation skills with the ability to adapt to audience and situation appropriately</li> <li>Strong organisational, analytical and problem-solving skills</li> <li>High level ofIT literacy with good knowledge MS Office products</li> <li>Self-motivated and proactive with a strong drive for results</li> <li>Approachable,personable and collaborative</li> <li>Flexible, "can-do" approach and comfortable working with changing priorities</li> <li>Effectively balances a strong attention to detail with seeing the bigger picture</li> <li>Comfortable making and defending decisions within area of expertise</li> </ul>Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010. We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership. We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do. For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds. Locations Huddersfield Remote status Hybrid Remote

Head of Compliance - Technical

SMBC: A trusted partner for the long term Here at SMBC Group, we want to help you find the next step in your career so read on to discover if this opportunity is the one for you. We like to recognise potential in our people, so we welcome your application even when your experience doesn't perfectly align with the job description. Whilst we'll always strive to be better, we're proud of our inclusive culture, and encourage our applicants and colleagues to be their authentic, unique selves. Section 1 - Details Job Title / Corporate Title Director: Enterprise Risk Management - Capital Assessment Department / Group Enterprise Risk Management Team, (RMD) Responsible to / Line Manager This should be a role title, not a named individual. ED, Head of Enterprise Risk Management, Direct Reports This is about scope of the role. Please include job titles and the reporting relationship. 3xDirect reports (1xVP, 2xAVP), Location London Date Prepared August 2024 Certification regime Out of scope Section 2 - Purpose of Job <ul> <li>This role is responsible for Capital Assessment through a variety of BAU and annual assessment processes. </li> </ul>Design, Implement and Manage Robust Capital Assessment Processes <ul> <li>The incumbent with be responsible for ensuring source information (for example using simplified templates) are properly designed/assigned/completed with coaching and training as necessary to source relevant information to enable production of BAU / ad hoc capital assessments with all required information to allow the analysis of key drivers at appropriate levels of granularity. Continuous evolution of the underlying processes to ensure these remain robust and fit for purpose.</li> </ul><ul> <li>Designing and implementing ad hoc stress capital measures to enable reporting against risk appetite using quantitative measures. This will include input with the design and calibration of capital risk appetite.</li> </ul><ul> <li>The role will require an experienced team manager with a successful track record of delivery and the ability to manage a variety of tasks simultaneously (across ICAAP / ICARA / ad hoc etc.) </li> </ul>ICAAP and ICARA, <ul> <li>Accountability for the production and timely management of the annual SMBC-BI ICAAP and CM Ltd. ICARA capital assessments - this will require a hands-on role approach to generate and enhance all aspects of the ICAAP and ICARA documents and providing the strategic direction for implementing a robust yet practical end-to-end consistent process (as appropriate) to generate scalable and repeatable ICAAP/ICARA reports in a timely manner.</li> </ul><ul> <li>The role will be accountable for generating regular updates for Committees (including ERMC/RMSC) and to senior management in a simplified yet informative manner (e.g., with visual aids etc.). This may include providing additional information ahead of Risk Committees and the Boards of both entities.</li> </ul><ul> <li>The role will require experience of building robust processes and will be hands-on with respect to running these processes including documentation, implementing templates / associated processes and for ensuring that the final reports are repeatable/scalable with attention to detail including reviewing input from key contributors and stakeholders in a collegiate manner. </li> </ul><ul> <li>Accountability for running a variety of Pillar 2A calculations (including for example the newly migrated concentration risk assessments using internal and regulatory methods) </li> </ul><ul> <li>Production of base and stressed capital ratios: this will require close collaboration with colleagues across the wider ERM and the Modelling team. </li> </ul><ul> <li>The incumbent will require a strong understanding of relevant risks across both entities to match the product suite.</li> </ul>Stress Testing <ul> <li>Accountability for recommending annual stress scenarios/tests and for understanding the end-to-end proposal including input into and the approval of parameters and analysing the key drivers of the results. This includes benchmarking to regulatory scenarios.</li> </ul><ul> <li>Accountability for recommending and constructing (as appropriate) ad hoc stress tests for BI and CM Ltd in response to market events; including macro parameters and design. </li> </ul>BAU <ul> <li>Production of quarterly assessments for example for concentration risk on a quarterly basis as well as developing other calculations to regularly track headroom for key P2A risks (such as concentration risk - HHI). </li> </ul>Team Management <ul> <li>Responsible for coaching and developing staff members to build a high performing team and for allocation of resources to manage a variety of BAU and adhoc tasks. The incumbent will be responsible for performance management and intervening when needed / advising to ensure tasks remain on track, given the regulatory focus and significance of the underlying processes in a timely manner. </li> </ul>Other <ul> <li>Assisting with Tracking Changes: the incumbent will be responsible for assisting with other key and relevant processes for example with relevant regulatory announcements and provide management with an update on the Bank's status to comply with these on a regular basis.</li> </ul><ul> <li>Presenting: the incumbent will be an attendee at the ERMC and provide regular updates on the current status and key contribute to discussion areas as well as working groups to ensure any detailed issues are resolved with recommendations to the ERMC (where necessary). To this end the incumbent will be required to exercise judgement to flag any slippage and risks presented to the final timeline for ICAAP and ICARA</li> </ul>Section 3 - Background This role is responsible for performing Capital Assessments through a variety of BAU and annual assessment processes and is a key role in the Enterprise Risk Management team. The organisation is undergoing significant change and transition and a number of underlying processes may require redesign. The role will require significant building strong working relationships across a variety of Risk / Finance / Planning and other Teams to ensure process enhancement in a collegiate manner. Section 4 - Facts / Scale This role reports to the ED, Head of Enterprise Risk <ul> <li> <ul> <li>Main Interfaces / Relationships: Primary reporting line to the Head of Enterprise Risk. The role holder will also provide ad hoc updates (as required) to RMD senior management including MD of Credit Portfolio and Policy and Enterprise Risk and GMs. </li> <li>Interaction with other senior members of individual functional teams on specific regulatory requirements on an adhoc basis (e.g., F&amp;C, Regulatory Reporting and Legal, etc) </li> <li>Number of reports/team members (if any): 3</li> </ul> </li> </ul>Section 5 - Accountabilities &amp; Responsibilities <ol> <li>Production of the BAU and ad hoc capital assessments (including annual ICAAP and ICARA) for BI and CM Ltd. <ul> <li>Providing practical hands-on assistance to team members</li> <li>Producing capital ratios (base and stress) and recommending / producing regular assessments (e.g. tracking key P2A risks on a quarterly basis)</li> <li>Assisting with preparation for regulatory visits such as SREP (e.g., agenda planning, production of materials, summaries etc).</li> <li>Enhancing / providing input into the Capital risk appetite</li> </ul> </li> </ol> <ol> <li>Design robust end to end processes with documentation / continuous evolution.</li> <li>Stress Scenario construction including input with parameters. </li> <li>Assisting with interpreting and implementing new regulatory requirements (as relevant for RMD) and tracking progress</li> <li>Assistance with RRP</li> <li>Providing technical and regulatory services to EMEA entities (when required)</li> <li>Team Management: 3 team members</li> </ol> Section 6 - Knowledge, Skills, Experience &amp; Qualifications <ol> <li>Strong team management skills with experience of successfully leading ICAAPs/ICARAs in a timely manner with a good understanding of underlying drivers and processes. </li> <li>Proficient at producing high quality reports using standard Microsoft packages Word / Excel / PowerPoint and proficient with charts / tables / presentations.</li> <li>Experience at setting team goals and reprioritising when required to successfully meet key targets;</li> <li>Experience at motivating team members and providing performance feedback to ensure continuous improvement. </li> <li>Experience of managing timelines for key deliverables and ensuring any slippage is appropriately managed / communicated.</li> <li>Excellent communication skills (written and oral) to senior management </li> <li>Experience of managing risk and regulatory matters in a UK bank / financial institution</li> <li>Likely educated to degree level and possibly holding a specific risk management professional qualification</li> <li>Experienced at assessing risks from a variety of products across BI and CM Ltd.</li> </ol> Section 7 - Challenges (This section is optional) <ul> <li> <ul> <li>Complexity of regulation and its application to and implementation within the bank and its business.</li> <li>Substantial organisational change and need to enhance processes and successfully implement.</li> <li>Need to stakeholder manage key documents with multiple areas / contributors. </li> </ul> </li> </ul>Section 8 - Dual-Hatting <ol> <li>Dual-Hat Details (only required if different to the employing entity details)</li> </ol> Dual-Hat Job Title: Dual-Hat Line Manager: Dual-Hat Direct Reports: Dual-Hat Certification Regime: <ol> <li>Dual-Hat Roles and Responsibilities </li> </ol> You will be required, from time to time, to undertake tasks on behalf of the dual-hat entity, as necessary. <ol> <li>Dual-Hat Conflict of Interest</li> </ol> <ul> <li>You will have responsibilities for both SMBC BI and Nikko CM</li> <li>You will be required to perform your duties and responsibilities on an entity neutral basis, without favour</li> <li>You are required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of SMBC BI and Nikko CM</li> <li>Working terms are dictated by functional mandates in place between SMBC BI and Nikko CM and any other relevant agreements entered between SMBC BI and Nikko CM</li> <li>You have responsibility for identifying and resolving where there may be a difference or conflict in needs between SMBC BI and Nikko CM, escalating to your manager/Compliance officer where required</li> </ul>We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We'll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.

PERM - RMD - Enterprise Risk Management - Capital Assessment - Director

Job Description One of the leading educational establishments in North Wales, has an opportunity for a Funding and Compliance Officer to join its dynamic team based in Llangefni, Anglesey in a temporary full time position up until the end of December 2024. Reporting to the Department Manager, as a Funding and Compliance Officer your main responsibilities will be to: <ul> <li>Ensure compliance with grant scheme rules by correctly interpreting and implementing grant scheme funding rules, ensuring that only eligible expenditures are claimed, and all supporting evidence meets the necessary compliance requirements</li> <li>Manage financial and non-financial evidence by verifying, reconciling, and monitoring all financial and non-financial evidence to support grant claims, ensuring accuracy and completeness for timely submissions</li> <li>Liaise with stakeholders and support audits, collaborating with project managers and external auditors to ensure compliance with all grant requirements and assist with both internal and external audits</li> <li>Optimise grant eligibility and budgets, providing operational advice to maximise grant claim eligibility and manage project grant budgets, ensuring flexibility and full utilisation of available funding</li> <li>Maintain and operate EFU Systems, ensuring the accurate operation and continuous improvement of EFU systems and processes to maintain compliance with financial, procurement, and grant scheme regulations</li></ul>We are keen to see your CV if you have the following skills and experience: <ul> <li>Previous experience in a similar Compliance and Funding based role with a demonstrable record of operating project grant systems and successfully implementing and applying Revenue Grant Funding rules </li> <li>Ability to hold a basic / intermediate conversation through the medium of Welsh (may struggle to keep up fully)</li> <li>Educated to level 3 with a good general standard of education to include GCSE at Grade C, or above, in English and Maths, or equivalent</li> <li>Prince 2 qualified at Foundation level or relevant experience</li> <li>Excellent IT skills including MS Office </li> <li>Ability to work to deadlines, in a confidential manner </li> <li>Ability to work as a team member and be flexible, adaptable, and approachable</li> <li>Ability to travel to different sites as and when required </li> <li>A Current Enhanced DBS Certificate, or willing to undertake a DBS check is essential</li></ul>This is a full- time role working 37 hours per week Monday to Friday until the end of Feb 2025. In exchange, you will receive an hourly payrate of £14.15 per hour plus holiday pay. If this sounds like just the challenge, you have been looking for please apply today!

Funding & Compliance Officer

The Vacancy In this newly created role, the incoming hire will work as a key member of the Compliance Advisory team, supporting the business with regulatory advice in relation to financial markets trading, corporate, custody and wealth services. Key Responsibilities <ul> <li>Support the Advisory Manager in providing the business with advice in line with FCA and other regulatory requirements.</li> <li>Assist in the creation and delivery of compliance training, policies and internal procedures;</li> <li>Perform investigations into the activities within the business to ensure compliance with internal policies;</li> <li>Assist in the analysis of new regulation and delivery of ad-hoc Regulatory Projects</li> <li>Assist in the analysis of new business initiatives, applicable regulatory obligations and associated risk impact.</li> <li>Oversee day to day compliance matters which may include responsibility related to control room, operational and other core compliance queries and tasks;</li> <li>Utilise and build knowledge and experience of Capital Markets</li> <li>To represent the Company and communicate effectively with Group stakeholders, clients, employees, regulators, legal authorities, professional associations and other relevant stakeholders</li> <li>To maintain and enforce a strong compliance culture and champion the Company's integrity, accountability, responsibility, ethics, behaviors &amp; values</li></ul>Required Skills and Experience <ul> <li>2+ years' relevant experience in a financial Compliance related role</li> <li>Outstanding relationship management and communication skills</li> <li>Strong problem solving and organisational skills</li> <li>Good understanding of organizational and governance processes</li> <li>Strong Microsoft office skills</li></ul>Benefits <ul> <li>Competitive salary plus discretionary annual bonus &amp; annual pay review</li> <li>Work Abroad Policy for up to 15 days per year</li> <li>25 days holiday plus bank holidays and additional well-being day</li> <li>Option to purchase an additional 5 days holiday per year</li> <li>Flexible working options available, including hybrid working</li> <li>Pension scheme up to 10% employer contribution</li> <li>Sharesave scheme</li> <li>Income Protection &amp; Life insurance (4 x salary core level of cover)</li> <li>Private health care via BUPA</li> <li>Employee Assistance Programme</li> <li>Discounted Gym Membership</li> <li>Variety of travel to work schemes</li></ul>Company benefits are provided on completion of either six months service, or a successful probation period whichever is sooner. Entitlement outlined above is in respect of full-time entitlement, and will be provided to part-time workers on a prorate basis in accordance with the relevant scheme rules. All benefits are subject to rules of the scheme and associated provider. The Company in its sole and absolute discretion reserves the right to discontinue, vary or amend any of the aforementioned benefits. At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don't tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life. We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role. To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you. The Company Winterflood Securities is a leading market maker committed to providing liquidity and flexible execution services to retail brokers, asset managers and institutional investors. Winterflood's strengths are a combination of traditional trading values and the performance of our own cutting edge technology. Our experienced team of traders helps clients achieve high quality execution in over 15,000 tradable instruments including UK, European and North American Equities together with Investment Trusts, Exchange Traded Products, Fixed Income, Structured Products and Funds. Founded in 1988, Winterflood has gone from being a niche market maker in the UK Small Cap market, to a mature, diverse and major liquidity provider across multiple asset classes in the UK and European markets. Winterflood is authorised and regulated by the Financial Conduct Authority. Winterflood Securities is a wholly-owned subsidiary of Close Brothers Group plc, a specialist financial services group which makes loans, takes deposits, trades securities and provides advice and investment management solutions to a wide range of clients. Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading. We employ approximately 4,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange. Inclusion The Benefits Private medical Discounted health checks Stakeholder pension contribution Gym discounts Cycle to work scheme Save As You Earn scheme Purchase additional holiday Previous Next Charity &amp; Sustainable work At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees' favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them. To find out more detail please follow the link below: <a href="https://www.closebrothers.com/charity" target="_blank">https://www.closebrothers.com/charity</a>. Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future. To find out more detail please follow the link below: <a href="https://www.closebrothers.com/sustainability" target="_blank">https://www.closebrothers.com/sustainability</a>.

Analyst - Compliance Advisory

About the Role: As a CBRE Quality and Compliance Manager, you will be responsible for supervising the team that supports quality assurance and quality control deliverables for small to medium-sized clients. This job is part of the Contract Quality Management job function. They are responsible for managing the delivery of contractual services to ensure requirements are fulfilled. What You'll Do: <ul> <li>Provide formal supervision to employees. Monitor the training and development of staff. Conduct performance evaluations and coaching. Oversee the recruiting and hiring of new employees.</li> <li>Coordinate and manage the team's daily activities. Establish work schedules, assign tasks, and cross-train staff. Set and track staff and department deadlines. Mentor and coach as needed.</li> <li>Execute both company and client compliance programs and participate in continuous improvement objectives.</li> <li>Communicate initiatives and issues across the functional areas. Report compliance status to stakeholders regularly.</li> <li>Track the success of the quality-of-service initiatives for non-regulated services.</li> <li>Report Compliance and other metrics to the client during review meetings. Escalate and notify both internal and client Sr. management of quality and compliance issues.</li> <li>Execute the inspection readiness programs. Assist with audits as well as serve as a resource for quality operations.</li> <li>Lead by example and model behaviors that are consistent with CBRE RISE values. Influence parties of shared interests to reach an agreement.</li> <li>Apply knowledge of own discipline and how own discipline integrates with others to achieve team and departmental objectives.</li> <li>Identify, troubleshoot, and resolve day-to-day and moderately complex issues which may or may not be evident in existing systems and processes.</li> </ul> What You'll Need: <ul> <li>Bachelor's Degree preferred with 3-5 years of relevant experience. In lieu of a degree, a combination of experience and education will be considered. Must have an appropriate license and/or certification where required by law.</li> <li>Experience in the areas of staffing, selection, training, development, coaching, mentoring, measuring, appraising, and rewarding performance and retention preferred.</li> <li>Ability to guide the exchange of sensitive, complicated, and difficult information, convey performance expectations and handle problems.</li> <li>Leadership skills to motivate team impact on quality, efficiency, and effectiveness of the job discipline and department.</li> <li>In-depth knowledge of Microsoft Office products. Examples include Word, Excel, Outlook, etc.</li> <li>Extensive organizational skills with a strong inquisitive mindset.</li> </ul>

Quality & Compliance Manager

Line of Service Assurance Industry/Sector Not Applicable Specialism Risk Management Level Senior Manager Job Description &amp; Summary About the role: We are seeking a Senior Manager to join our Risk and Resilience team in Macro Risk Services to focus on Enterprise Risk Management. If you would like to work with the senior management teams of some of the UK's leading non-financial services companies, have strong problem solving skills, intellectual agility and can build deep and productive relationships, our practice could be the right opportunity for you. What your days will look like: You'll work across a diverse range of well-known clients and have the opportunity to build experience designing and implementing risk management frameworks to help Boards identify, assess and manage the most significant risks in their organisation. If you're successful you'll undertake client work which includes for example: <ul><li>Managing and delivering assignments, both independently and as part of a team</li><li>Developing and managing client relationships and identifying new opportunities</li><li>Creating customised risk management and resilience frameworks and processes</li><li>Conducting risk identification interviews and facilitating executive-level risk assessment workshops</li><li>Designing risk reporting templates, dashboards, and key risk indicator suites</li><li>Performing risk analytics, delivering risk management training, and providing ongoing risk monitoring support</li></ul>This role is for you if: We're looking for motivated, passionate and enthusiastic individuals who will relish the opportunity to work in a growing team, with a portfolio of varied assignments and with significant possibilities to progress within the firm. The successful applicant will have practical experience, ideally gained within a large consultancy or client organisation, of conducting some or all of the following activities: <ul><li>Highly confident and resilient, able to assert yourself with senior clients (Executive and Board level)</li><li>Strong technical risk management knowledge with experience in developing and implementing practical risk management processes in non-FS businesses</li><li>Excellent presentation skills with experience in planning and facilitating workshops/risk exercises for senior audiences</li><li>Solid financial and commercial acumen with an understanding of corporate governance requirements</li><li>Strong interpersonal communication skills, capable of building trust and rapport with diverse stakeholders</li><li>Proven team management skills, including coaching junior resources and managing multiple simultaneous projects</li></ul>What you'll receive from us: No matter where you may be in your career or personal life, our benefits are designed to add value and support, recognising and rewarding you fairly for your contributions. We offer a range of benefits including empowered flexibility and a working week split between office, home and client site; private medical cover and 24/7 access to a qualified virtual GP; six volunteering days a year and much more. Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Desired Languages (If blank, desired languages not specified) Travel Requirements Not Specified Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Enterprise Risk Management - Senior Manager

Job Description OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. YOUR IMPACT Compliance, Legal and the Conflicts Resolution Group (CLC) work at the intersection of finance and control functions, enabling the firm to conduct business with the highest level of integrity. The expertise and experience of the three divisions address the legal, compliance and reputational risks facing Goldman Sachs. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales and trading. <ul> <li>Global Compliance prevents, detects and mitigates compliance, regulatory and reputational risks across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program as a part of the firm's second line of defense.</li> <li>The Legal Division's advice and counsel provided to all areas of the firm are critical for maintaining our commitments to our clients, regulators and shareholders and to promote our culture of excellence and integrity. Our goal is to provide legal advice that protects the firm's financial well-being and reputation and assists our various businesses in evaluating the risks associated with completing transactions and other activities.</li> <li>The Conflicts Resolution Group (CRG) is a control function whose mission is to evaluate advisory, financing, principal investing, lending and certain other activities to identify actual or perceived conflicts of interest and assess the potential reputational risks resulting from the potential intersection among new and existing roles, positions and responsibilities that the firm may have.</li></ul>The Core Compliance Team is at the forefront of delivering robust compliance risk management in adherence with regulator expectations. We are looking for a team member who can help drive our Enterprise Compliance Risk Management program forward, by collaborating with first and second line teams, including engineering, Operational Risk, business and compliance globally. The successful candidate should demonstrate an understanding of regulatory change management practices, including strategic technology solutions, awareness of financial services businesses and products and regulatory authorities. Individual should be highly organized and comfortable interacting with senior audiences. We are looking for someone with experience managing regulatory change and mapping activities countries and has experience in operational or compliance risk management. The role requires collaboration, organization and innovation. Examples of duties include: <ul> <li>Support the design and implementation of strategic and sustainable regulatory inventory and traceability process <ul> <li>Incumbent must be comfortable influencing all levels of staff to drive change. </li> </ul></li> <li>Align and continuously evolve strategy for managing a Regulatory Inventory and mapping to relevant parts of the Risk Management Framework, including policies and controls </li> <li>Engage key stakeholders to make strategic decisions, prioritize implementation plans and manage volumes.</li> <li>Oversee consistency across pillars and divisions; identifying and addressing opportunities</li> <li>Facilitate reporting and information sharing</li> <li>Manage regulatory mapping activities across Compliance and the Firm globally</li> <li>Manage vendor content, including identifying opportunities for automation and and engage strategically for efficient and optimized vendor information</li> <li>Partner with and direct vendors to deliver against GS expectations.</li> <li>Manage requests and exams from outside regulators and internal audit.</li> <li>Represent Compliance in first line and second line led remediation efforts.</li></ul>BASIC QUALIFICATIONS <ul> <li>5+ years of experience in Financial Services, with risk, legal, compliance and/or project management experience </li> <li>Bachelor's Degree </li> <li>Professional experience in handling various regulatory change objectives</li> <li>Advanced PowerPoint and Excel skills, with an ability to learn new tools quickly</li> <li>Program management and reporting capabilities</li> <li>Strong understanding of Compliance program mandates and Operational Risk Frameworks Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines</li> <li>Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders </li> <li>Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders</li> <li>Experience in delivering high quality work products, reflecting attention to detail </li> <li>Work independently and exercise strong judgment when executing an assigned task </li> <li>Multi-task and have the ability to manage and advance multiple projects simultaneously.</li> <li>Identify and effectively escalate potential issues to appropriate person(s)</li></ul>ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: <a href="https://www.goldmansachs.com/careers/footer/disability-statement.html" target="_blank">https://www.goldmansachs.com/careers/footer/disability-statement.html</a> © The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Compliance, Regulatory Inventory Traceability Compliance Officer, Vice President, Birmingham

The Firm XTX Markets is an algorithmic trading firm that actively trades tens of thousands of instruments on over 80 venues with a daily volume of almost 300 billion USD. We partner with counterparties, exchanges, and e-trading venues globally to provide consistent liquidity in the equity, FX, fixed income, commodity &amp; options markets, helping market participants throughout the world obtain the best prices in the various assets classes we cover. We leverage the talent of the people who work here, modern computational techniques and state-of-the-art research infrastructure to analyse large data sets across markets quickly and efficiently, to maximise the effectiveness of our proprietary trading algorithms. The models that drive our trading strategies have evolved considerably over the last 10 years, from econometric methods that gave our company its name, to trees, to neural networks, to modern deep learning architectures. We are actively seeking new methods and ideas. At XTX Markets technology is our business and we are a diverse organisation which attracts outstanding talent from across all industry backgrounds. We are focused on teamwork and our people collaborate on all aspects of the business, working openly and with respect for each other, our clients and the market. Our culture is non-hierarchical and one where everyone is valued. We strive for excellence in everything we do. The Role As XTX continues to expand its trading activities, we are seeking a London based member of the Compliance team to contribute to the global Compliance processes of the firm with a focus towards Operational Compliance. You will gain exposure to the Compliance, Regulatory, Operations and Trading control processes of a global electronic trading firm. Reporting to the Chief Compliance Officer, you will work closely with the Head of Operational Compliance and other members of the global Compliance team. This role best suits someone with 2-4 years generalist compliance experience who is looking to join an industry-leading team. ResponsibilitiesDevelop into a point of contact for the business on matters relating to Compliance. This includes: <ul><li>Supporting the documentation and the build out of procedures for Operational Compliance processes.</li><li>Exchange rulebook and new product reviews. This includes analysing the applicability of exchange rules and supporting the approval process of new products for XTX's trading universe.</li><li>Regulatory reporting, including long and short position analysis and disclosures, and regulatory filings. Assisting in the development and testing of position reporting processes with the XTX's Operations team to support XTX's regulatory reporting.</li><li>Describing the firm's Compliance Control Framework to external stakeholders (e.g. exchange due diligences, regulatory requests). Advising on and testing of XTX's automated operational processes (for example automated sanctions screening).</li><li>Executing checks and reviews to ensure that XTX's Trading Analysts are correctly registered with regulators and trading venues.</li><li>Supporting the global Compliance function in central Compliance processes including execution of tests for the Compliance Monitoring Programme, supporting maintenance of the PA Dealing Platform (PA Trades, Gifts &amp; Entertainments and Outside Business Interests) and the onboarding and testing of new central Compliance platforms. Drafting and maintaining management information, internal briefings, processes, and procedures.</li></ul>Essential Attributes <ul><li>2-4 years' experience in a Compliance or control function within an exchange operator, bank, regulatory authority, electronic trading firm or hedge fund.</li><li>You will work closely with different stakeholders across various teams. Having a calm and detail-oriented personality with excellent oral and written communication skills is critical. Being team oriented and motivated to learn from the various experts within our Firm is key.</li><li>Good analytical skills with a motivation to translate regulatory requirements into clear instructions for internal stakeholders. Be able to clearly track, coordinate and document processes.</li><li>Ability to explain regulatory requirements clearly and concisely in both written and verbal formats.</li><li>Ability to perform reviews of rulebooks and regulations to identify requirements applicable to the Firm's businesses.</li><li>Time management and workload prioritisation.</li><li>Advanced Excel skills.</li></ul>Desirable Attributes It would be desirable to have one or more of the following attributes, however this is not a must: <ul><li>SQL skills.</li><li>Training in industry standard project management methods such as Prince2 or Agile.</li><li>Process documentation.</li><li>Hands on experience in position concentration reporting.</li><li>Exposure to electronic trading compliance, including an understanding of algorithmic trading and the associated compliance control framework (such as MiFID II and RTS 6).</li><li>Familiarity with transaction/trade reporting regulatory regimes including MiFIR, EMIR, Remit, CAT, MAS, etc.</li></ul>Benefits <ul><li>Onsite gym, sauna, and fitness classes at no charge.</li><li>Extensive medical benefits including an on-site doctor and therapist at no charge.</li><li>On-site hairdressing services at no charge.</li><li>Breakfast and lunch provided daily.</li><li>Various supports for caregivers, including emergency dependent care.</li><li>Beautiful Kings Cross office: <a href="https://vimeo.com/257888726" target="_blank">https://vimeo.com/257888726</a></li><li>25 days paid holiday per year + statutory holiday and paid sick days.</li><li>Generous pension contributions.</li></ul>

Operational Compliance Officer - London

General Job Title: Compliance Officer Division: Compliance - Risk &amp; Compliance Reports To: Compliance Manager, London Key Relationships: Compliance Manager, Global Head of Compliance, Global Compliance Teams, Executive Management Teams, Underwriters, Finance, Internal Audit, Culture &amp; People, Data Management, Risk Management. Job Summary: To provide regulatory compliance assistance and assurance across the business as it grows in size and complexity. Particular focus on supporting the Compliance Manager in London with the strategic management of the PRA, FCA and Lloyd's regulatory relationships. Support the Global Compliance function, as necessary. Key Responsibilities: <ul><li>Support the development and maintenance of relationships with key regulators, as well as assisting with regulatory reviews and ensuring that any follow up actions are addressed. </li><li>Understand Lloyd's, PRA and FCA requirements and assist with the Lloyd's Oversight Principles attestation and delivery of the PRA PSM Letter actions.</li><li>Support in handling regulatory enquiries from regulators, ensuring prompt and appropriate responses.</li><li>Contribute, coordinate and submit Lloyd's, PRA, FCA, MAS and other international regulator's returns.</li><li>Obtain a good understanding of the regulatory requirements applicable to the organisation in terms of oversight of compliance with existing legislation and identification of emerging legislation.</li><li>Establish and maintain highly effective relationships with other Business stakeholders, in the spirit of continuous improvement and to ensure effective compliance information sharing across the business.</li><li>Support the Compliance Manager and wider Compliance team to maintain our Compliance Framework to provide assurance that the Company is compliant with all relevant regulatory obligations.</li><li>Provide ad hoc compliance advice to all functions within Beazley, covering everyday queries, corporate projects and business initiatives.</li><li>Support the Compliance team to maintain and review the Compliance policies and relevant underlying procedural documents.</li><li>Work with the business to ensure that the organisation's procedures and policies are relevant, appropriate and comply with the relevant regulations. </li><li>Assist second line assurance in identifying areas for compliance review and providing support throughout the review process, where necessary.</li><li>Conduct tailored training with relevant business areas and provide input into system based regulatory and conduct training content.</li><li>Represent the Regulatory team at internal Global Compliance meetings.</li><li>Represent the Compliance function in required Project Working Groups, contributing to ensure the project progresses within agreed timeframes, so enabling the business to meet its strategic objectives.</li><li>Assist with the preparation of compliance papers to support the organisation's governance structure.</li><li>Provide regular progress updates both written and verbally to the Global Head of Compliance.</li></ul>General It is important that within all your interactions both internally and externally you adhere to Beazley's core values - Being Bold, Striving for Better, and Doing the Right Thing - as they contribute to an internal environment of teamwork and promote a positive brand image and experience to our external customers. We also expect Beazley employees to: <ul><li>Comply with Beazley procedures, policies and regulations including the code of conduct, which incorporates the PRA and FCA Conduct. </li><li>Undertake training on Beazley policies and procedures as delivered by your line manager, the Culture &amp; People or assurance teams (compliance, risk, internal audit) either directly, via e-learning or the learning management system. </li><li>Display business ethics that uphold the interests of all our customers.</li><li>Ensure all interactions with customers are focused on delivering a fair outcome, including having the right products for their needs.</li><li>Comply with any specific responsibilities necessary for your role as outlined by your line manager, the Culture &amp; People or assurance teams (compliance, risk, internal audit) and ensure you keep up to date with developments in these areas. This may include, amongst others, Beazley's underwriting control standards, Beazley's claims control standards, other Beazley standards and customer relationship management.</li><li>Carry out additional responsibilities as individually notified, either through your objectives or through the learning management system. These may include membership of any Beazley committees or working groups.</li></ul>Personal Specification: Skills &amp; Abilities <ul><li>Ability to work at both detailed and summary level</li><li>Strong interpersonal and influencing skills</li><li>Able to communicate effectively with others</li><li>Ability to manage time, meet deadlines and prioritise in a pressurised environment</li><li>Team player as well as the ability to use own initiative</li><li>Good understanding of organisational processes</li><li>Excellent documentation and presentation skills</li></ul>Knowledge &amp; Experience <ul><li>Compliance/regulatory/legal experience required in the insurance sector</li><li>Successful track record of planning and actively delivering tangible results</li></ul>Aptitude &amp; Disposition <ul><li>Proactive</li><li>Enthusiastic and positive</li><li>Self-motivated with the ability to work autonomously</li><li>Professional approach to successfully interact with colleagues and regulators</li><li>Firm but diplomatic</li><li>Flexible and pragmatic</li></ul>Competencies <ul><li>Attention to detail</li><li>Information seeking</li><li>Outcome focused</li><li>Problem solving</li><li>Personal Impact</li><li>Leadership</li></ul>

Requisition: 79596 PSEG Company: PSEG Services Corp. Salary Range: $ 88,400 - $ 140,000 Incentive: PIP 10% Work Location Category: Remote Local PSEG operates under a Flexible Work Model where flexible work is offered when job requirements allow. In support of this model, roles have been categorized into one of four work location categories: onsite roles, hybrid roles that are a blend of onsite and remote work, remote local roles that are primarily home-based but require some level of purpose-driven in-person interaction and living within a commutable distance, and remote non-local roles that can be effectively performed remotely with the ability to work in approved states. We want you to be healthy, balanced, and feel secure. That's why you'll enjoy a comprehensive range of benefits, with a focus on supporting your whole health. Starting on day one of your employment, you'll be offered several health-related benefits including medical, vision, dental, and well-being and behavioral health programs. We also offer a retirement program, 401(k) with company match, company paid life insurance, tuition reimbursement and a minimum of 18 days of paid time off per year. PSEG offers a unique experience to our more than 12,000 employees - we provide the resources and opportunities for career development that come with being a Fortune 500 company, as well as the attention, camaraderie and care for one another you might typically associate with a small business. Our focus on combatting climate change through clean energy technology, our new net zero climate vision for 2030 and enhanced commitment to diversity, equity and inclusion; and supporting the communities we serve make this a particularly exciting time to join PSEG. Job Summary The North American Electric Reliability Corporation (NERC) Reliability Standards exist to ensure the reliability and security of the bulk electric system. As a member of the NERC Compliance Group, you will perform governance and oversight of PSEG's compliance with the NERC Critical Infrastructure Protection (CIP) Reliability Standards. This role will focus on NERC CIP Standards. Remote Local - at least 8x a month in-office expectation. Job Responsibilities <ul> <li>Meet critical NERC reporting deadlines to ensure PSEG compliance with NERC regulatory requirements.</li> <li>Compile, review, assess, and maintain NERC compliance documents.</li> <li>Develop plans for audit preparation and NERC mitigation activities.</li> <li>Apply and further develop NERC expertise to support PSEG NERC compliance program initiatives.</li> <li>Coordinate with and provide guidance to business units responsible for NERC compliance.</li> <li>Work collaboratively with business units to promote the NERC standard development processes that support the interests of the company, including interfacing with a variety of personnel and departments at all levels.</li> <li>Other relevant tasks and responsibilities as assigned.</li></ul>Job Specific Qualifications Required Qualifications: <ul> <li>Bachelor's degree in Engineering, Compliance, Computer Science or a related field with a minimum of 4 years of equivalent experience such as engineering, auditing, analytics, operations, or compliance or;</li> <li>In lieu of a degree, 8 years of equivalent experience such as engineering, auditing, analytics, operations or compliance.</li></ul>Required Competencies: <ul> <li>Proficient in Microsoft Office Suite.</li> <li>Foster an inclusive work environment and respect all aspects of diversity. Successful candidate must demonstrate and value differences in others' strengths, perspectives, approaches, and personal choices.</li> <li>Planning and organizing skills, including time management and prioritization skills.</li> <li>Ability to work in both a team environment and as an individual contributor.</li> <li>Strong attention to detail, results oriented, and able to work concurrently with multiple deadlines and deliverables</li> <li>Excellent written and oral communication skills.</li> <li>Ability to build strong relationships with PSEG internal stakeholders.</li> <li>Project management skills.</li></ul>Desired <ul> <li>Utility Transmission and Distribution experience.</li> <li>Power Generation experience.</li> <li>Project management experience.</li> <li>Knowledge of Federal regulations with regard to electric reliability standards, NERC and the NERC Regional Entities and related industry organizations, or similar experience with federal regulatory compliance.</li></ul>Minimum Years of Experience 4 years of experience Education Bachelor's in Data Needed Certifications None Noted Disclaimer Certain positions at the Company may require you to have access to Part 810-Controlled Information. Under the law, the Company is limited in who it can share this information with and in certain circumstances it is necessary to obtain specific authorization before the Company can share this information. Accordingly, if the position does require access to this information, you must complete a 10 CFR Part 810 Export Control Compliance Nationality Request Form, a copy of which will be provided to you by Talent Acquisition if an offer is made. If there is a need for specific authorization, due to the time it takes to obtain authorization from the government, we will likely not be able to further proceed with an offer. PSEG is an equal opportunity employer, dedicated to a policy of non-discrimination in employment, including the hiring process, based on any legally protected characteristic. Legally protected characteristics include race, color, religion, national origin, sex, age, marital status, sexual orientation, disability or veteran status or any other characteristic protected by federal, state, or local law in locations where PSEG employs individuals. As an employee of PSEG you should be aware that during storm restoration efforts, you may be required to perform functions outside of your routine duties and on a schedule that may be different from normal operations. For all roles, PSEG's drug and alcohol testing program includes pre-employment testing, testing for cause, and post-incident/accident testing. For employees in federally regulated roles (including positions covered by USDOT, PHMSA, or NRC regulations), this also includes random testing. Although numerous states throughout the country have legalized marijuana/cannabis products recreationally and/or medically, it is prohibited for employees in federally regulated roles. Employees who are hired or transfer into a federally regulated role are subject to drug and alcohol testing, inclusive of marijuana. Please note that the use of CBD products may result in a positive drug test for THC/Marijuana and such use is not a legitimate medical explanation for such a positive result. PSEG employees must apply for jobs internally through emPower which can be accessed through sharepoint.pseg.com by clicking on the emPower icon, then selecting careers. This site is strictly for candidates who are not currently PSEG employees, with the exception of PSEG employees who do not have company email addresses. PSEG is committed to providing reasonable accommodations to individuals with disabilities. If you have a disability and need assistance applying for a position, please call 973-430-3845 or email <a href="mailto:accommodations@pseg.com" target="_blank">accommodations@pseg.com</a>. If you need to request a reasonable accommodation to perform the essential functions of the job, email <a href="mailto:accommodations@pseg.com" target="_blank">accommodations@pseg.com</a>. Any information provided regarding a disability will be kept strictly confidential and will not be shared with anyone involved in making a hiring decision. ADDITIONAL EEO/AA INFORMATION (Click link below) Know your Rights: Workplace Discrimination is Illegal Pay Transparency Nondiscrimination Provision

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