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The Duckhorn Portfolio is North America's premier luxury wine company. We were established in 1976 by Dan and Margaret Duckhorn. Today, our portfolio features some of North America's most revered wineries, including Decoy, Sonoma-Cutrer Vineyards, Paraduxx, Goldeneye, Migration, Canvasback, Calera, Kosta Browne, Greenwing, and Postmark. This key role supports the Regulatory Compliance Department with daily upkeep and management of all things related to wholesale licensing and registrations and a focus on assisting with a wide range of responsibilities related to regulatory compliance. This role is the go-to resource for all things related to Bottle to Market - Wholesale for the company. Duties include, but are not limited to, wholesale annual renewals, wholesale product registrations, collaborating with various departments, assisting with organization of release dates, price posting, solicitor licensing, distributor updates/changes, export documentation, and maintaining all related digital records. This role must demonstrate integrity above reproach, with the ability to think creatively, strategically, and critically to present and implement optimal solutions while being highly detail oriented and organized. What we will ask you to do: <ul><li>Works with Regulatory Compliance team to maintain Compliance Release Schedule (CRS). </li><li>Oversees all wholesale licensing: new licensing, updates to licenses (including officer updates) as well as annual renewals. </li><li>Oversees all wholesale brand appointments and product registration maintenance in alignment with company policy and earliest release dates with the ability to be flexible should certain timelines need to be changed. </li><li>Plans, organizes and executes all annual renewals for all brands/ wholesale product registrations in all states.</li><li>Manages solicitor licensing (new &amp; renewals) with a high level of confidentiality and awareness of the sensitive information being provided to the Regulatory Compliance Team ensuring excellent customer service to all salespeople throughout the license application/renewal process.</li><li>Advises and trains all applicable Duckhorn personnel on wholesale related questions as it relates to Regulatory Compliance. </li><li>Works with Director, Regulatory Compliance, Wholesale Customer Service Team and Quality Control to facilitates export documentation for all export orders including paperwork, signatures, and notary public needs. </li><li>Maintains detailed knowledge of compliance issues and remains current on trends and developments in the wine and alcoholic beverage regulation field.</li></ul>What you will need: <ul><li>2-4 years compliance experience required; wine compliance experience preferred. </li><li>Superb attention to detail.</li><li>Excellent written and oral communication skills including ability to be a representative and exhibiting the values of Duckhorn Wine Company to all state agencies.</li><li>Proven ability to maintain confidentiality.</li><li>Good work ethic, reliability and responsiveness. </li><li>Ability to learn and communicate state specific regulations to other departments.</li><li>Ability to think critically and problem solve.</li><li>Demonstrated ability to plan and organize projects.</li><li>Positive attitude and demonstrated customer service skillset.</li><li>DTC/Wholesale wine background or Customer Service background a plus.</li><li>Proficiency in Microsoft Office Suite, particularly Word, Excel, and PowerPoint.</li><li>Drive to learn and grow knowledge of Regulatory Compliance.</li><li>Public notary a plus.</li></ul>What we will provide: <ul><li>Health benefits for you and your family, including medical/dental/vision (with a competitively priced employee contribution to premium), and disability, life, and pet insurance.</li><li>Paid time off and 11 paid holidays.</li><li>401(k) plan where we invest 10% of your wages every year for your retirement at no cost to you, subject to management discretion.</li><li>A diverse team of coworkers that care about each other in a fun, exciting work environment.</li><li>A company that promotes from within, provides great training, and a generous tuition reimbursement program.</li></ul>

Regulatory Compliance Specialist (Wholesale)

The Duckhorn Portfolio is North America's premier luxury wine company. We were established in 1976 by Dan and Margaret Duckhorn. Today, our portfolio features some of North America's most revered wineries, including Decoy, Sonoma-Cutrer Vineyards, Paraduxx, Goldeneye, Migration, Canvasback, Calera, Kosta Browne, Greenwing, and Postmark. This key role supports the Regulatory Compliance Department with daily upkeep and management of all things related to DTC licensing and registrations and a focus on assisting with a wide range of responsibilities related to regulatory compliance. This role is the go-to resource for all things related to Bottle to Market - DTC for the company. Duties include, but are not limited to, DTC annual renewals, DTC product registration, collaborating with various departments, assisting with organization of release dates, helping with end of month reporting, and assisting internal teams with questions regarding samples, shipping policies, import questions, troubleshooting compliance errors in ShipCompliant and maintaining digital records. This position must demonstrate integrity above reproach, with the ability to think creatively, strategically, and critically to present and implement optimal solutions while being highly detail oriented and organized. What we will ask you to do: <ul><li>Works with Regulatory Compliance team to maintain Compliance Release Schedule (CRS). </li><li>Oversees all DTC Licensing: new licensing, updates to licenses (including officer updates) as well as annual renewals. </li><li>Completes DTC brand and product registration maintenance in alignment with company policy and earliest release dates with the ability to be flexible should certain timelines need to be changed. </li><li>Plans, organizes and executes all annual renewals for all DTC products registrations in all states. </li><li>Works with Manager, Regulatory Compliance and Director, Regulatory Compliance on becoming main point person for all samples related questions. </li><li>Advises and trains all applicable Duckhorn personnel on DTC related shipping questions as it relates to Regulatory Compliance. </li><li>Maintains ShipCompliant maintenance including creating new products, posting state label approvals, uploading current shipping licenses, updating expiration dates, etc.</li><li>Assists DTC team with daily trouble shooting for compliance errors in ShipCompliant.</li><li>Learns our import processes, follows company policies, and looks for ways to expand them or add efficiencies while gaining deep understanding and creating documentation on research.</li><li>Maintains detailed knowledge of compliance issues and remains current on trends and developments in the wine and alcoholic beverage regulation field.</li></ul>What you will need: <ul><li>2-4 years compliance experience required; wine compliance experience preferred. </li><li>Superb attention to detail.</li><li>Excellent written and oral communication skills including ability to be a representative and exhibiting the values of Duckhorn Wine Company to all state agencies.</li><li>Proven ability to maintain confidentiality.</li><li>Good work ethic, reliability and responsiveness. </li><li>Ability to learn and communicate state specific regulations to other departments.</li><li>Ability to think critically and problem solve.</li><li>Demonstrated ability to plan and organize projects.</li><li>Positive attitude and demonstrated customer service skillset.</li><li>DTC/Wholesale wine background or Customer Service background a plus.</li><li>Proficiency in Microsoft Office Suite, particularly Word, Excel, and PowerPoint.</li><li>Drive to learn and grow knowledge of Regulatory Compliance.</li><li>Public notary a plus.</li></ul>What we will provide: <ul><li>Health benefits for you and your family, including medical/dental/vision (with a competitively priced employee contribution to premium), and disability, life, and pet insurance.</li><li>Paid time off and 11 paid holidays.</li><li>401(k) plan where we invest 10% of your wages every year for your retirement at no cost to you, subject to management discretion.</li><li>A diverse team of coworkers that care about each other in a fun, exciting work environment.</li><li>A company that promotes from within, provides great training, and a generous tuition reimbursement program.</li></ul>

Regulatory Compliance Specialist (DTC)

OPERATIONAL RISK EVENTS PROGRAM MANAGER WHAT IS THE OPPORTUNITY? Operational Risk Management (ORM) program is in the second line of defense and is accountable for CNB's Operational Risk strategy and framework, enabling CNB to identify, measure, monitor, and mitigate operational risks arising from CNB's business processes, people, systems or external events. ORM works across CNB's businesses and functions, providing independent oversight and challenge to ensure effective implementation of Operational Risk practices in compliance with regulatory and policy requirements. ORM is also accountable to provide insight on CNB's overall Operational Risk Profile.The Operational Risk Events Program Manager is responsible for leading the 2LOD Operational Risk Events (ORE) program and team. In this role, the leader will establish, maintain, and oversee adherence to policies, standards, and procedures specific to the ORE program. The leader will also provide oversight of the effectiveness of the first line of defense ORE practices, provide credible challenge to the first line, and monitor and independently report on the ORE program. What you will do <ul><li>Responsible for the overall direction and success of the Operational Risk Events program, which includes both Internal OREs and External Events.</li><li>Lead and mentor a team of Operational Risk professionals, providing guidance and support to ensure effective credible challenge and professional development</li><li>Provide credible challenge to 1LOD colleagues on OREs, ensuring safeguard and risk mitigation measures are upheld in decision making and adherence to 2LOD policies and standards.</li><li>Develop, monitor, and report on Operational Risk Events across CNB, leveraging industry leading KRIs and tools</li><li>Develop and maintain effective partnership and teamwork with all key Stakeholders including First Line Business Control Officer teams, the broader ORM team, RBC Operational Risk Shared Services, and other teams is a key success factor.</li><li>Define and implement relevant policies, standards and procedures that facilitate an effective ORE program.</li><li>Review procedures for completeness, compliance and adequacy</li><li>Manage metrics to assess risk, compliance and performance of the program and its strategies and plans</li><li>Strong management oversight and reporting of all Operational Risk Events issues and exceptions</li><li>Lead the preparation of status reports, key metrics and other ORE reporting information for management, the Operational Risk Management Committee, and the Management Risk Committee.</li><li>Interface with the Bank's main regulators, primarily the OCC as well as both internal and external auditors as required</li><li>Lead reviews of the ORE program to ensure it continues to be appropriate based on emerging risk trends, thematic risks, and regulatory changes.</li><li>Maintain awareness of current regulatory/industry trends impacting the Bank's ORE program or practices.</li><li>Act as an internal advisor to business and corporate units regarding the ORE program.</li></ul>Must-Have* <ul><li>Bachelor's Degree or equivalent</li><li>Minimum 8 years banking or financial services experience</li><li>Minimum 5 years of experience in Risk Management, ORM or Internal Audit</li><li>Minimum 3 years of experience with Operational Risk Events</li><li>Minimum 2 years in a supervisory role</li></ul>Skills and Knowledge <ul><li>Must be very knowledgeable of regulatory ORE guidance and industry best practices</li><li>Strong Microsoft Excel, PowerPoint, and report writing skills, including the ability to evaluate the usefulness of data and use it in meaningful communication</li><li>Ability to consistently provide superior independent judgment with demonstrated analytical and risk assessment skills</li><li>Ability to think with a control and process mindset. The successful candidate will have a strong control design, audit and reporting background</li><li>Demonstrated ability to handle multiple tasks with shifting deadlines and priorities under limited supervision</li><li>Strong verbal and written communication skills with proven ability in communicating with senior executives</li><li>Demonstrated ability to interact effectively, internally and externally, with the most senior representatives of organizations</li><li>Self-motivated, able to bring projects and reporting to conclusion</li><li>Remain current on the trends and best practices for ORE</li></ul>Compensation Starting base salary: $127,626 - $237,014 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves. *City National Bank does business in Miami and the state of Florida as CN Bank. For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER &amp; REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. 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 any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at (213) 673-9139. These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days. #LI-MA #CA-MA

Operational Risk Events Program Manager

Company Description Our brand Deutsche Telekom IT Solutions Slovakia entered the life of Košice region in 2006 under the name of T-Systems Slovakia and ever since has been inextricably linked with the region when became one of the founding members of Košice IT Valley. We have managed to grow from scratch to the second largest employer in the eastern part of the country with more than 3900 employees. Our goal is to proactively find new ways to improve and continuously transform into the type of company providing innovative information and communication technology services. Job Description Purpose Compliance and Legal Manager provides legal assistance on specific topics, liaises with external legal service providers on substantial cases. Holder of the position actively helps company avoid possible legal risks and violations in order to ensure that the company's transactions comply with corporate laws and regulations. Compliance and Legal Manager creates and manages systems in line with Group requirements and processes and in line with local legislation and local processes for the specified area. WHAT WILL YOU DO? <ul><li>Drafts and/or reviews legal documents and monitors legal obligations under agreements to ensure compliance, as requested.</li><li>Provides legal advice to the Company and makes recommendations to the Board of Directors and (Senior) Management of the Company</li><li>Develops, implements and revises internal policies.</li><li>Liaises with and assist external lawyers in the discharge of their obligation to the Company</li><li>Leads specific corporate legal processes such as granting of power of attorney, Company registry management (archiving plan), Register of public sector partners, etc. </li><li>Contract negotiation, preparing legally relevant documents. </li><li>Oversees compliance with the governance agenda.</li><li>Is responsible/SPOC for the communication with Group Stakeholders (Global process owners - DTAG), Internal and External auditors, State Authorities and also within the company regarding Legal and Compliance topics.</li><li>Handles compliance violations and involves the authorities, if necessary. </li><li>Initiates, facilitates, promotes activities to foster information awareness within the organization - maintains an effective communication program for the company on Legal and Compliance topics - articles, email communication, web page maintenance, delivery of trainings. </li><li>Provides and files reports on a regular basis as requested, to keep the Group management and local management informed about the operation and progress of legal and compliance efforts.</li><li>Monitors new legislation and its implementation.</li></ul>Qualifications YOU WILL SUCCEED IF YOU: <ul><li>have Master Degree in Law </li><li>have minimum 3 years experience in legal field</li><li>speak fluent in English and German, </li><li>have high level of commitment, structured and independent working style</li><li>have negotiations skills, critical thinking, problem solving ability</li><li>have advanced skills of MS office</li></ul>Additional Information Benefits We believe in balance between work and personal life. An attractive and extensive work-life balance portfolio guarantees lasting motivation for employees and thus a better quality of life, promotes physical and mental well-being and contributes to a positive work environment. All this with the aim of providing more freedom in reconciling work, career growth, private life and individual lifestyle. Therefore we offer to our employees over 25 different benefits to improve their personal and professional life in these areas: <ul><li>Financial benefits</li><li>Benefits with focus on learning and development</li><li>Benefits with focus on health and sport</li><li>Benefits with focus on family and work - life balance</li><li>Other benefits</li></ul>For more information about our benefits click to Benefits Salary Final salary is negotiable. We are offering base salary depending on seniority level and previous experience of candidate. In addition to base salary we provide variable part and other financial benefits. Base salary will not be lower than 1500€ /brutto. Additional information * Please be informed that our remote working possibility is only available within Slovakia due to European taxation regulation.

Compliance and Legal Manager (with German language)

About the role This role is responsible for providing VAT advice and compliance oversight across the UK business, ensuring adherence to HMRC regulations and group finance controls. The role involves reviewing VAT returns, Partial Exemption adjustments, and balance sheet reconciliations, while supporting the wider business and training the VAT team. You'll work closely with HMRC, auditors, and internal stakeholders to identify VAT savings opportunities and drive process improvements. You will be responsible for <ul><li>Providing VAT advice which ensures that the business complies with all the relevant legislation, regulations and HMRC policy. Liaising with HMRC and the business regularly to ensure compliance obligations are met. </li><li>Ensuring the UK businesses adhere to group fianance controls and that the HMRC Guidelines for Compliance for VAT (GfC8) are met. The role will also entail working with auditors, both internal and external as well as preparing the VAT section of the SAO certificate. </li><li>Reviewing the Tesco PLC VAT group returns, Partial Exemption annual adjustments, Capital Goods Scheme adjustments before they are submitted to HMRC. </li><li>Training and supporting the TBS VAT team to ensure they are capable and competent on all VAT compliance matters and that they are able to follow the correct processes in their roles. Thsi includes working with the Global VAT Reporting Tool and developing knowledge of how the ERP system works along with the multitude of other systems which feed into VAT compliance.</li><li>Reviewing the VAT accounts for Balance Sheet purposes to ensure movements are as expected. I am also able to prepare the balance sheet reconciliations if required. </li><li>Preparing, reviewing and updating Working Capital budgets and forecasts for the VAT accounts and liaising with Treasury on the cash pipe forecast for VAT payments/receipts </li><li>Working with the business (particularly Finance and Treasury), external advisors and HMRC where appropriate. </li><li>Looking for VAT savings where appropriate but also alert to potential improvements to systems and processes. </li></ul>You will need <ul><li>Detailed understanding of VAT and the compliance obligations, combined with the ability to work with all areas of the business in a commercial and practical manner. </li><li>Work in a professional environment (practice and/or industry) </li><li>Good working knowledge of UK VAT law </li><li>Accountancy and/or Tax professional qualification</li></ul>What's in it for you We're all about the little helps. That's why we make sure our Tesco colleague benefits package takes care of you - both in and out of work. Click Here to find out more! <ul> <li>Annual bonus scheme of up to 20% of base salary</li> <li>Holiday starting at 25 days plus a personal day (plus Bank holidays)</li> <li>Private medical insurance</li> <li>26 weeks maternity and adoption leave (after 1 years' service) at full pay, followed by 13 weeks of Statutory Maternity Pay or Statutory Adoption Pay, we also offer 6 weeks fully paid paternity leave</li> <li>Free 24/7 virtual GP service, Employee Assistance Programme (EAP) for you and your family, free access to a range of experts to support your mental wellbeing</li> </ul>About us You might know us as a supermarket, technology company or even for our award-winning mobile network. Truth is, we're all of those things, and much more. Our colleagues work with one goal in mind, helping to make every day a little better for our customers, colleagues and communities all over the world. No two customers are the same, neither are our colleagues. At Tesco, we champion a balance that lets you thrive both in and out of work. Spend 60% of your week collaborating with colleagues at our office locations or local sites and the rest remotely. Whether you're just kicking off your career, juggling passions, or navigating big life events, we're here to support you. We always welcome a conversation about flexible working, so talk to us throughout your application about how we can support. We're proud to be an accredited Disability Confident Leader, where everyone's welcome. That's why we commit to providing a fully inclusive and accessible recruitment process. If you need support with your application, click here for more information. And if you're interested in joining our team but don't tick every box, don't let that hold you back from applying.

Vat Compliance Manager

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice. Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system. Job Description: At Regions, the BSA AML and OFAC Compliance Analyst is a second line of defense risk management function that ensures the development and maintenance of a strong compliance culture by developing and maintaining a program infrastructure that identifies, measures, and monitors compliance with all applicable laws, regulations, and rules that govern a specific line of business. Associates at this level are responsible for ensure our company's compliance with Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Office of Foreign Assets Control (OFAC) regulations. Primary Responsibilities <ul><li>Performs comprehensive reviews of customer transactions, accounts, and activities to identify potential instances of money laundering, fraud, and other financial crimes.</li><li>Monitors and analyzes transactional data for suspicious activities, unusual patterns, and potential violations of BSA/AML and OFAC regulations communication to appropriate lines of business which will be impacted by these changes</li><li>Assesses the risk associated with customer accounts and transactions based on regulatory guidelines and internal policies</li><li>Investigates alerts generated by transaction monitoring systems, including conducting research, gathering documentation, and making recommendations for further action</li><li>Prepares and file Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) as required by regulatory authorities</li><li>Stays abreast of changes in BSA/AML and OFAC regulations, as well as industry best practices, and ensure that compliance procedures are up-to-date</li><li>Collaborates with internal stakeholders, including legal, risk management, and operations teams, to address compliance issues and implement effective controls</li><li>Provides training and guidance to employees on compliance policies, procedures, and regulatory requirements</li></ul>This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay. Requirements <ul><li>Bachelor's degree and three (3) years of experience in compliance, quality assurance/control, audit, or other related compliance function specific to a line of business</li><li>Or High School Diploma or GED and seven (7) years of experience in compliance, quality assurance/control, audit, or other related compliance function specific to a line of business</li></ul>Preferences <ul><li>Certified Regulatory Compliance Manager (CRCM)</li></ul>Skills and Competencies <ul><li>Ability to learn additional systems as needed</li><li>Ability to research, analyze data, and derive facts</li><li>Ability to work in a team environment when applicable</li><li>Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook, etc.)</li><li>Proficiency in using compliance software and transaction monitoring tools</li><li>Strong understanding of BSA/AML and OFAC regulations</li><li>Strong verbal, written communication, and organizational skills</li><li>Strong work ethic and self-motivation</li></ul>Maintains and continually works to build a proficient knowledge of rules and regulations and their impact on a defined set of products, services, and operations for a specific line of business or AML/ABAC/OFAC program function. The BSA Compliance Advisor II may: <ul><li>Establish line of business or applicable function partnerships and serve as a subject matter expert to the business groups on issues related to AML/ABAC/OFAC program compliance</li><li>Conduct research of laws and regulations that impact compliance to potentially include: monitoring for new laws and regulations or changes to existing laws and regulations, determination of regulatory impact on AML, ABAC, or OFAC programs, and updating program documents (e.g., procedures, tests scripts) based on regulatory changes.</li><li>Administer a monitoring and testing program to ensure effective compliance with all applicable laws and regulations as well as Regions program requirements</li></ul><ul><li>Gather information requested by regulatory agencies, internal audit, senior leadership, or third parties</li><li>Clears/confirms increasingly complex screening alerts as false positive or true matches</li><li>Assists in execution of complex projects, such as annual AML/OFAC risk assessment</li><li>Assists with oversight of AML, OFAC, and ABAC training plans/activities as well as with the development or presentation of training materials, as requested</li></ul><ul><li>Provide advice and guidance to more junior associates</li></ul>Preferred Skills: <ul><li>ACAMS/CAMS Certification (Certified Anti-Money Laundering Specialist)</li><li>Ability to work under moderate guidance</li></ul>Position Type Full time Compensation Details Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job. The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position. Job Range Target: Minimum: $65,543.50 USD Median: $81,660.00 USD Incentive Pay Plans: This job is not incentive eligible. Benefits Information Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions. <ul><li>Paid Vacation/Sick Time</li><li>401K with Company Match</li><li>Medical, Dental and Vision Benefits</li><li>Disability Benefits</li><li>Health Savings Account</li><li>Flexible Spending Account</li><li>Life Insurance</li><li>Parental Leave</li><li>Employee Assistance Program</li><li>Associate Volunteer Program</li></ul>Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please click or copy the link below to your browser. <a href="https://www.regions.com/welcometour/benefits.rf" target="_blank">https://www.regions.com/welcometour/benefits.rf</a> Location Details Regions Center Location: Birmingham, Alabama Bring Your Whole Self to Work We have a passion for creating an inclusive environment that promotes and values the differences that make each of us stand out as unique individuals and help provide valuable perspective that makes us a better company and employer. More importantly, we recognize that creating a workplace where all people can do their best work and thrive is the right thing to do. OFCCP Disclosure: Equal Opportunity Employer/Disabled/Veterans Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.

BSA AML OFAC Compliance Analyst

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 Regulatory Compliance Administrator I who will assist the Manager of Compliance and the Compliance Officer with updating, enhancing and administering all aspects of the Compliance and Integrity Program. The incumbent will provide auditing and review assistance for all aspects of operations and compliance initiatives and will assist in improving the internal control environment at Network Health. The Regulatory Compliance Administrator I will further be responsible for the identification of risk areas and implementation of contract requirements to ensure compliance with applicable laws and regulations. The Regulatory Compliance Administrator I will report findings, recommend improvements and corrective actions. Duties: <ul><li>Assist in developing compliance audit instruments and protocols; revise policies and procedures; design, implement and conduct adequate training under the direction of the Compliance Officer comply with regulatory changes.</li><li>Responsible for the management and retention of key business documents in accordance with document retention guidelines as well as Network Health's record retention policy.</li><li>Assist with implementation of the monitoring and auditing plan for all operational areas; serve as an additional on-site compliance resource for Network Health, consulting with the Compliance Officer where appropriate.</li><li>Maintain Compliance intake forms, respond timely and appropriately to issues raised, and track any corrective actions necessary.</li><li>Assist in evaluating the adequacy and effectiveness of internal controls for compliance with regulatory requirements.</li><li>Assist with developing and implementing tools and procedures for assessing the risk of operations and applicable vendors that perform administrative functions on behalf of Network Health.</li><li>Responsible for reviewing materials intended for members, agents and/or providers to ensure materials meet all requirements outlined by the State and Federal regulations.</li><li>Responsible for facilitating, gathering and submitting data and other documentation from operational areas for external audit and data validation requests.</li><li>Conduct audits of all departments involved in the delivery or administration of Network Health's insurance plans for compliance with State, Federal and Network Health standards</li><li>Perform internal compliance investigations and assess operational risk</li></ul>Requirements: <ul><li>Associate Degree or four years of related experience required; Bachelor's Degree preferred.</li><li>1+ year of compliance or similar regulatory experience required.</li><li>1+ year of experience working with claims processing/monitoring, system configuration, pharmacy, enrollment, finance and/or appeals and grievance related position required.</li></ul>Skills: <ul><li>Strong verbal, written, research and analytical skills</li><li>Exceptional project management and interpersonal skills</li><li>Strong attention to detail</li><li>Must be self-motivated, able to work independently</li><li>Must be able to work effectively with highly interdisciplinary teams</li></ul>We are proud to be an Equal Opportunity Employer who values and maintains an environment that attracts, recruits, engages and retains a diverse workforce.

Regulatory Compliance Administrator

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance TMS Operations within the CX Compliance team, you will be responsible for conducting end-to-end Transaction Monitoring investigations for customers (individuals/entities) that may lead to drafting and filing a SAR. You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels to drive continuous improvement in compliance handling. What you'll be doing (ie. job duties): <ul><li>Minimum of 2 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on TMS, compliance, or regulatory matters.</li><li>Relevant experience in SAR narrative drafting and filing</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in written narratives</li><li>Decide whether activity warrants escalation for additional review and subsequently recommend whether activity appears suspicious and warrants filing of a suspicious activity report</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to case investigation</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document transaction monitoring alerts</li></ul>What we look for in you (ie. job requirements): <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li> Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Position ID: P66926 Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $41.27-$48.56 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

TMS Compliance Analyst III

CyberSheath Services International LLC is a rapidly growing Managed Services Provider primarily focused on providing Cybersecurity services to the Defense Industrial Base (DIB). We are excited to be expanding our staff due to our growth and are looking to add an additional Compliance Analyst to our team! CyberSheath integrates compliance and threat mitigation efforts and eliminates redundant security practices that don't improve and, in fact, may weaken an organization's security posture. Our professionals tell clients where to stop spending, where to invest, and how to take what they are already doing and integrate it in a way that delivers improved security. Successful candidates for CyberSheath are self-motivated, think out of the box, work, and solve issues independently. Additionally, our most successful people are self-starters and willing to put on many hats in order to succeed. CyberSheath is fast-growing and seeks candidates who want to be part of our upward trajectory. Opportunity Overview As a Cybersecurity &amp; Compliance Analyst, you will own all aspects of cybersecurity compliance for your assigned clients within CyberSheath's Managed Compliance Services. You will lead compliance efforts and provide oversight for the implementation of cybersecurity frameworks, manage client relationships, and ensure continuous compliance with industry regulations. Your role will be pivotal in delivering compliance solutions to DIB contractors in accordance with DFARS 252.204- 7012, NIST SP 800-171, and CMMC. You will collaborate closely with client technical teams and third-party vendors to ensure compliance and mitigate risks across the entire security landscape. Key Responsibilities Managed Compliance Services Ownership <ul><li>Primary Point of Contact: Own and lead all compliance efforts for assigned clients, acting as the primary advisor on cybersecurity compliance and regulatory alignment.</li><li>Client Communication: Maintain proactive communication with clients on compliance status, assessment results, and remediation Deliver regular updates through executive briefings, business reviews, and detailed reporting.</li><li>Regulatory Assessments: Lead and execute compliance assessments (e.g., DFARS, NIST 800-171, and CMMC Maturity Level 2). Perform annual assessments and ensure evidence-based control</li></ul>Compliance Frameworks and Audits <ul><li>Framework Implementation: Lead the implementation and continuous monitoring of compliance frameworks (e.g., NIST SP 800-171, CMMC). Develop and manage System Security Plans (SSPs) and Plans of Action &amp; Milestones (POA&amp;M) for clients.</li><li>Audit Preparation: Guide clients through internal and external audits, ensuring all necessary evidence, documentation, and artifacts are in place for successful certification.</li></ul>Compliance Documentation &amp; Policy Management <ul><li>Documentation Development: Collaborate with clients to develop, update, and maintain compliance documentation, including policies, procedures, SSPs, POA&amp;Ms, and other governance materials.</li><li>Policy Enforcement: Ensure compliance policies and procedures aligned with NIST 800-171, CMMC, and DFARS. Provide expertise in drafting and maintaining control documentation.</li></ul>Incident Response &amp; Risk Management <ul><li>Incident Management: Develop and maintain incident response plans. Conduct tabletop exercises with clients to test incident response readiness and improve incident management capabilities.</li><li>Risk Assessments: Perform regular risk assessments to identify compliance gaps and develop mitigation strategies. Maintain risk registers and ensure continuous improvement of compliance postures.</li></ul>Training &amp; Awareness <ul><li>Security Awareness Training: Deliver or facilitate client training programs, including basic security awareness, privileged user training, and handling of Controlled Unclassified Information (CUI).</li></ul>Qualifications Hard Skills (Technical Acumen) <ul><li>Technical Knowledge: Broad understanding of systems and security engineering principles, including:<ul><li>Ability to build and troubleshoot systems (e.g., servers, Active Directory).</li><li>Understanding of network fundamentals, cloud technologies (IaaS, PaaS, SaaS), and cybersecurity</li></ul></li><li>Industry Experience: Experience within the Defense Industrial Base (DIB), with expertise in assessing compliance for DIB contractors.</li><li>Framework Expertise: Direct, hands-on experience with NIST 800-171, CMMC, DFARS 252.204-7012. Must have led compliance assessments and demonstrated independent leadership of audits or regulatory</li><li>Certifications: CMMC Certified Assessor, CISSP, CISM, or other relevant cybersecurity certifications</li></ul>Soft Skills (Grit, Communication, and Adaptability) <ul><li>Grit: Passion for working in a challenging, fast-paced A "whatever it takes" attitude and a commitment to continuous learning and improvement.</li><li>Communication: Excellent verbal and written communication skills. Ability to convey complex compliance requirements clearly to both technical and non-technical stakeholders.</li><li>Adaptability: Comfortable working independently, pivoting when necessary, and raising your hand when additional resources are needed. Strong follow-through and reliability in meeting deadlines.</li></ul>CyberSheath is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, age, protected veteran status, among other things, or status as a qualified individual with a disability. Budgeted Pay Range $110,000-$130,000 USD

Cybersecurity & Compliance Analyst

FIND YOUR FUTURE We're excited about the potential people bring to our organization. You can grow your career here while enjoying first-class perks, benefits and a culture that fosters growth, innovation and collaboration. Overview The Corporate Compliance Specialist shall be responsible for executing on the day-to-day operations of an effective compliance program on behalf of Independent Health and its affiliate partners. This will include but is not limited to general compliance program operational support, compliance training, evaluation of internal and vendor business partner compliance, tracking and monitoring of corrective action plans, and understanding of key regulatory compliance indicators of the organization, its affiliate partners and vendors. Qualifications <ul><li>High school diploma or GED required. Associates degree preferred. </li><li>Three (3) years of compliance, legal, quality assurance/audit, vendor management or healthcare operations required.</li><li>High proficiency with Microsoft Office tools.</li><li>Proficiency in performing work that requires knowledge of compliance or legal concepts, with emphasis on corporate, business law, or compliance as well as other areas of general practice.</li><li>Excellent analytical skills, ability to analyze and summarize data and components of legislation, policies and procedures based upon regulatory requirements.</li><li>Excellent composition and drafting skills, with emphasis on various compliance/regulatory documents and correspondence.</li><li>Excellent organizational, written and verbal communication skills, planning and monitoring skills with the ability to assume responsibility and work independently, as well as in a team environment, and excellent interpersonal skills.</li><li>Possess initiative, creativity, and project management abilities.</li><li>Proven examples of displaying the IH values: Passionate, Caring, Respectful, Trustworthy, Collaborative and Accountable.</li></ul>Essential Accountabilities <ul><li>Collaborate with manager to develop and enhance the compliance program with the goal of creating efficiencies to reduce time and effort to perform these functions at a corporate level and within affiliate organizations.</li><li>Work cross-functionally with other departments, support functions, and affiliates as required. Aid in coordinating the affiliate compliance representatives to ensure communication and awareness for compliance operations and facilitate affiliate compliance updates to the Compliance Committee.</li><li>Assist with communication of compliance program requirements to vendors, as applicable, through evaluation of vendor risk assessments, vendor attestations and contract review.</li><li>Work cross-functionally with vendor business owners and other support functions across the organization such as Legal, Vendor Management, Internal Audit, and the Information Risk Office as required.</li><li>Support the development and review of the corporate and affiliate compliance training content provided to all associates, business partners, and members of the Board of Directors in accordance with regulatory requirements for new hire and annual compliance training. Provide support, review and guidance to update and execute these training requirements at least annually. Facilitate trainings as required.</li><li>Assist with the coordination of educational content for Corporate Compliance and Ethics Week and the Quarterly Compliance Newsletter.</li><li>Ensure up-to-date compliance documentation on the Vendor Compliance website.</li><li>Work with manager to effectively communicate top Corporate Compliance risks and issues of noncompliance to multiple audiences which may include executive management, the board, business unit leaders, interested external stakeholders and regulators. </li><li>Ensure due diligence is performed of any delegated functions and offshore entities, including but not limited to completion of annual vendor attestations and risk assessments, and policy and procedure review.</li><li>Participate in the development, initiation, maintenance, and revisions of policies and procedures for the Compliance Program and its related activities to prevent illegal, unethical or improper conduct at Independent Health and its affiliate partners</li><li>Review vendor policies and procedures to ensure adequate controls are in place to meet regulatory, audit, and accreditation standards.</li><li>Collaborate with affiliate compliance representatives and other support departments to direct and escalate compliance issues to appropriate existing channels for investigation and resolution. Consult with the Legal Department as needed to resolve legal compliance issues.</li><li>Assist with corrective action implementation and corrective action validation activities in collaboration with manager, vendor business owners, and Internal Audit and assist with reporting updates as necessary.</li><li>Support manager in the oversight and management of the Corporate Integrity Agreement and its program and reporting requirements.</li><li>May be responsible for facilitating and reviewing responses to regulatory, audit and accreditation requests as well as RFPs on behalf of the Compliance Department for matters related to Corporate Compliance.</li></ul>Immigration or work visa sponsorship will not be provided for this position Hiring Compensation Range: $62,500 - $70,000 annually Compensation may vary based on factors including but not limited to skills, education, location and experience. In addition to base compensation, associates may be eligible for a scorecard incentive, full range of benefits and generous paid time off. The base salary range is subject to change and may be modified in the future. As an Equal Opportunity / Affirmative Action Employer, Independent Health and its affiliates will not discriminate in its employment practices due to an applicant's race, color, creed, religion, sex (including pregnancy, childbirth or related medical conditions), sexual orientation, gender identity or expression, transgender status, age, national origin, marital status, citizenship and immigration status, physical and mental disability, criminal record, genetic information, predisposition or carrier status, status with respect to receiving public assistance, domestic violence victim status, a disabled, special, recently separated, active duty wartime, campaign badge, Armed Forces service medal veteran, or any other characteristics protected under applicable law. Click here for additional EEO/AAP or Reasonable Accommodation information. Current Associates must apply internally via the Job Hub app.

Corporate Compliance Specialist

GoTo Foods is seeking a Privacy Compliance Specialist to help our Privacy &amp; Compliance program. The incumbent will assess policies, procedures, and operations to ensure they meet risk and compliance requirements, aid in risk and compliance processes, perform administrative tasks in records and information management, and perform other risk and compliance tasks to help accelerate our mission of Feeding People and Potential. The incumbent will have experience in risk coordinating, managing, and administering business content, performing, and analyzing supplier assessments, and providing services to the business and shared services. The incumbent must have a solid understanding of technology and data protection and a solid understanding of information assurance and security along with a familiarity of IT auditing concepts, either as an auditor or as an auditee. The ideal candidate will have familiarity with common compliance requirements in the retail industry.

Privacy Compliance Specialist

We are seeking a technically skilled, self-directed Product Manager with extensive financial services experience to support Neuberger Berman's front office systems (e.g., Aladdin, Perform, Eze) and investment and operational risk management processes. You will be responsible for designing, documenting, and supporting comprehensive business solutions. This role involves hands-on collaboration with front office users to refine product designs and solution architectures, while ensuring high-quality deliverables through partnerships with key vendors. Responsibilities: <ul><li>Act as a subject matter expert and principal liaison between business stakeholders and technical teams to translate complex risk requirements into actionable product features.</li><li>Engage directly with Risk team to gather requirements and refine product designs.</li><li>Work closely with our engineering team, requiring an understanding of the software development lifecycle (SDLC) and modern DevOps practices.</li><li>Manage relationships with key vendors by prioritizing deliverables, resolving escalations, ensuring SLAs are met, and ensuring seamless integration and operational continuity.</li><li>Lead solution design and create detailed documentation.</li><li>Oversee product development timelines and deliverables, ensuring alignment with project objectives and business objectives</li><li>Support live platform teams by addressing inquiries and prioritizing issues and enhancements</li><li>Monitor and measure the success of implemented solutions, using data-driven insights to iterate and improve the platform.</li></ul>Requirements: <ul><li>5+ years of experience in business analysis, solution design, and product management.</li><li>Prior experience working in financial services/ banking industry; knowledge and understanding of Asset Management is highly preferred</li><li>Proficiency in SQL, Snowflake, Python, Tableau and exposure to GenAI in Asset Management is a plus.</li><li>Experience with Order Management Systems (e.g. Aladdin, Perform, Charles River, Eze)</li><li>Familiarity with business processes for investment guidelines oversight</li><li>Familiarity with investment and operational risk concepts and frameworks for managing such risks</li><li>Strong financial data analysis skills experience is a must.</li><li>Strong interpersonal and communication skills to collaborate effectively with stakeholders and technical teams.</li><li>Able to translate non-technical requirements into technical requirements</li></ul>Compensation Details The salary range for this role is $130,000-$165,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees. Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law. Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact <a href="mailto:onlineaccommodations@nb.com" target="_blank">onlineaccommodations@nb.com</a>. Learn about the Applicant Privacy Notice.

Product Manager - Investment and Operational Risk Solutions

Summary Statement: The Compliance Analyst is responsible for assisting the Compliance Department with the Company's AML Program, which includes audits, Know Your Customer investigations, and filing Currency Transaction Reports and Suspicious Activity Reports. As an AML Compliance Analyst, you will collaborate with other analysts to ensure the Company adheres to all rules and regulations related to the Bank Secrecy Act. The successful candidate is someone who has strong interpersonal skills and the ability to work in a fast-paced environment. Primary Job Duties: - Includes but is not limited to: <ul><li>Provide quality control reviews on Suspicious Activity Reviews (SARs) and Currency Transaction Reports (CTRs) to ensure filings are accurate and completed within prescribed regulatory deadlines.</li><li>Perform Know Your Customer (KYC)/Customer Due Diligence/Enhanced Due Diligence investigations of patrons and prepare reports with supporting documentation that clearly explain risk mitigation recommendations based on transaction analysis and other due diligence.</li><li>Assist with AML audits, obtaining reports, regulatory filings, and other documents for internal and/or external AML and OFAC audits.</li><li>Maintain solid knowledge of AML and OFAC guidance and industry best practices.</li><li>Assist with preparing reports and exhibits for Anti-Money Laundering (AML) Committee meetings.</li><li>Obtain and maintain position-specific licensing.</li><li>Use personal device/cellular phone for job related operational tasks, job duties, review of company documents, etc.</li><li>Perform other job-related duties as requested.</li></ul>Qualifications: - Includes but is not limited to: <ul><li>Working knowledge of patron management systems and other AML-related systems for filing of regulatory reports. </li><li>Ability to communicate effectively in English.</li><li>Excellent communication skills, verbal and written.</li><li>Ability to obtain and maintain full knowledge and understanding of Company and Departmental rules and regulations, policies, and procedures.</li><li>Detail oriented; high integrity; and quality driven.</li><li>Intermediate knowledge of Microsoft Word and Excel.</li><li>Ability to work varied shifts, including nights, weekends, and holidays.</li></ul>Preferred: <ul><li>Professional certifications such as CAMS, CFE or CIA.</li><li>Bachelor's degree in a related field.</li><li>Previous experience working in a large, luxury resort setting.</li></ul>Minimum Education and Experience: <ul><li>At least 21 years of age.</li><li>High School Diploma or equivalent.</li><li>Minimum of two years of previous experience working in an auditing or compliance role in the casino industry or another heavily regulated industry (e.g., financial institutions, healthcare industry, etc.)</li></ul>Certificates, Licenses, Regulations: <ul><li>Proof of eligibility to work in the United States</li><li>Ability to obtain the following:<ul><li>Nevada Gaming Control Registration</li></ul></li></ul>Physical Demands: The physical demands described here are representative of those that must be met by a team member to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. <ul><li>Work is typically performed in an office environment. </li><li>Must be tolerant to varying conditions of noise level, temperature, illumination and air quality.</li><li>Prolonged sitting/standing.</li><li>Bending and reaching.</li><li>Transporting, pushing, pulling, lifting and maneuvering items weighing up to 10 lbs.</li><li>Eye/hand coordination.</li><li>Ability to comply with Policies and Procedures, Job Description, daily memorandums, chemical labels (MSDS) and other instructions.</li></ul>

Analyst, Compliance

Company Description Job Description About the Agency: The New York City Department of Housing Preservation Development (HPD) promotes quality and affordability in the city's housing, and diversity and strength in the city's neighborhoods because every New Yorker deserves a safe, affordable place to live in a neighborhood they love. -We maintain building and resident safety and health -We create opportunities for New Yorkers through housing affordability -We engage New Yorkers to build and sustain neighborhood strength and diversity. HPD is entrusted with fulfilling these objectives through the goals and strategies of "Housing Our Neighbors: A Blueprint for Housing and Homelessness," Mayor Adams' comprehensive housing framework. To support this important work, the administration has committed $5 billion in new capital funding, bringing the 10-year planned investment in housing to $22 billion the largest in the city's history. This investment, coupled with a commitment to reduce administrative and regulatory barriers, is a multi-pronged strategy to tackle New York City's complex housing crisis, by addressing homelessness and housing instability, promoting economic stability and mobility, increasing homeownership opportunities, improving health and safety, and increasing opportunities for equitable growth. Your Team The Compliance Specialist will play a key policy and implementation role for the new Office of Compliance &amp; Risk Management (CRM). This Office is centralizing various compliance, oversight, and hearing functions from across the agency critical to ensure fairness, consistency, and equity in both our external and internal engagement. CRM will collaborate with programs across HPD to ensure the agency and its partners comply with laws (federal, state, and city), regulatory requirements, policies, and procedures. The Office includes the following Divisions and units: -Adjudications -Economic Opportunity &amp; Regulatory Compliance -Public Information -Audit Support Your Impact CRM will be responsible for coordinating the agency's compliance programs, liaising with the units and staff responsible for relevant compliance responsibilities, audit responses, site standard adherence for financed construction work, public-facing appeals and hearings, and managing risk for the agency. The Compliance Specialist will have the opportunity to use their expertise to provide leadership and technical assistance for CRM and compliance functions throughout the agency. This role will also provide a unique opportunity to help build out a new office, strengthen agency compliance culture, and ensure compliance is seamlessly integrated into HPD program administration and operations. Your Role Reporting to the CRM Chief of Staff, the Compliance Specialist will support CRM programs, manage cross-agency compliance programmatic and reporting obligations, and provide technical assistance to compliance staff throughout the agency. The person in this role will work closely and liaise with all the Offices within HPD, including Legal Affairs, Policy &amp; Strategy, Finance &amp; Administration, Development, Housing Access &amp; Stability, Asset &amp; Property Management, and Neighborhood Strategies for effective monitoring, tracking, and coordinating of agency requirements. Your Responsibilities The Compliance Specialist is responsible for ensuring HPD's ongoing reporting requirements for its many compliance activities. This involves monitoring legislative and regulatory changes, assessing their impact and risk related to HPD programs and operations, and coordinating reporting requirements across the agency's departments. This includes: -Inventory, coordinate, and monitor agency compliance requirements. oDevelop and maintain systems to track and analyze new and amended federal, state, and local laws to identify potential compliance and reporting obligations for HPD. oPrepare and/or act as the point person for the timely submission of mandated reports for a specific portfolio of federal, state, and/or local mandates. oWork closely with program areas to identify compliance requirements and provide guidance and support to ensure their readiness for reporting deadlines. -Monitor regulatory changes and keep stakeholders abreast of operational or other implications. oCreate training materials and other resources to support programs based on research, surveys, and accepted best practices. -Work with CRM leadership to build and maintain a broad network of staff throughout HPD who do or are interested in compliance work. -Collaborate with other City agencies and Mayoral offices to respond to Requests for Information, contribute to public comments, etc. -Provide outreach and education to external partners to ensure agency compliance, as needed -Assist the Chief Compliance Officer with special compliance projects as needed. Note: This position is eligible for remote work up to two days per week, pursuant to the Remote Work Pilot Program agreed to between the City and DC37. CITY RESEARCH SCIENTIST - 21744 Qualifications 1. For Assignment Level I (only physical, biological and environmental sciences and public health) A master's degree from an accredited college or university with a specialization in an appropriate field of physical, biological or environmental science or in public health. To be appointed to Assignment Level II and above, candidates must have: 1. A doctorate degree from an accredited college or university with specialization in an appropriate field of physical, biological, environmental or social science and one year of full-time experience in a responsible supervisory, administrative or research capacity in the appropriate field of specialization; or 2. A master's degree from an accredited college or university with specialization in an appropriate field of physical, biological, environmental or social science and three years of responsible full-time research experience in the appropriate field of specialization; or 3. Education and/or experience which is equivalent to "1" or "2" above. However, all candidates must have at least a master's degree in an appropriate field of specialization and at least two years of experience described in "2" above. Two years as a City Research Scientist Level I can be substituted for the experience required in "1" and "2" above. NOTE: Probationary Period Appointments to this position are subject to a minimum probationary period of one year. 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.

Compliance Specialist

Description Senior Compliance Officer opportunity within AXA Ireland. We're looking for an experienced Compliance professional, at least 5 years in data protection environment, ideally with some exposure to the insurance/financial industry, excellent technical knowledge of all things data protection. At AXA we work smart, empowering our people to balance their time between home and the office in a way that works best for them, their team and our customers. You'll work at least 40% of your week away from home, moving to the majority of your working week from September 2025. Away from home means either attendance at one of our Derry, Belfast or Dublin head office locations, visiting clients or attending industry events. The role will report directly to the Data Protection Manager and be responsible for providing accurate and timely data protection advice, assisting in embedding a culture of compliance with relevant legislation into the day to day running of the business in Republic of Ireland &amp; Northern Ireland and contributing to the development of the relationship with relevant data protection authorities. Key responsibilities include; <ul><li>Responsible for the provision of advice within the company covering all relevant legislation and Group/Company policies related to data protection to ensure AXA Ireland remains compliant.</li><li>Support the Head of Data Protection and Data Protection Manager in managing all regulatory information requests from the relevant data protection authorities ensuring all requests are dealt with appropriately and in a timely manner.</li><li>Assist in the development of a positive relationship with the Data Protection Commission.</li><li>Provide guidance to other areas as required based on interpretation of compliance obligations to facilitate development of new products, marketing, literature, systems, etc;</li><li>Review and amend contracts and non-disclosure agreements with third party service providers to ensure they are fit for purpose.</li><li>Provide advice on the review, amendment and rollout of appropriate Group/Company policies related to data protection.</li><li>Coach members of the Data Protection team on areas of technical knowledge relating to relevant legislation and Group/company policies related to data protection.</li><li>Contribute to a good working relationship with AXA UK Group Compliance.</li><li>Actively participate and drive projects relating to the introduction of new compliance requirements within the business, focusing on regulatory requirements and Codes of Practice issued by relevant data protection authorities.</li><li>Provide written status reports on progress to Data Protection Manager, Head of Data Protection and/or Audit Committee.</li></ul>Qualifications <ul><li>5 years experience as a technical expert in a data protection environment, with working experience of complex queries, data protection assessment, governance and policy. </li><li>A relevant qualification in data protection, legal, compliance etc. </li><li>Excellent written and verbal communication skills.</li><li>Strong interpersonal skills especially influencing and challenging people at all levels in the organisation to secure change of behaviour in compliance matters.</li><li>Well organised and capable of motivating others towards delivering key compliance objectives across the organization.</li><li>Excellent PC skills including spreadsheet, word processing and presentational software.</li><li>Possess strong analytical and problem solving skills and show a pragmatic and logical approach to decision making.</li><li>Enthusiastic approach with a high level of drive and energy.</li><li>Demonstrates a flexible work attitude and an ability to work within strict deadlines.</li><li>Good working knowledge of key processes, structures and controls within the company.</li></ul>This recruitment campaign will be used to support permanent, temporary and/or extension for any upcoming similar positions. As a precondition of employment for this role, you must be eligible and authorised to work in Ireland and/or the United Kingdom. About AXA Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things. In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers. Proud to be part of the AXA Group, at AXA Ireland our values are at the heart of everything we do. We work together as One AXA, embracing our differences to make our teams great. We believe integrity, courage and our customer-first approach is what makes us a great place to work. AXA is an equal opportunities employer and welcomes applications from across all communities.

Senior Compliance Officer Data Protection

Company Description Visa is a world leader in payments and technology, with over 259 billion payments transactions flowing safely between consumers, merchants, financial institutions, and government entities in more than 200 countries and territories each year. Our mission is to connect the world through the most innovative, convenient, reliable, and secure payments network, enabling individuals, businesses, and economies to thrive while driven by a common purpose - to uplift everyone, everywhere by being the best way to pay and be paid. Make an impact with a purpose-driven industry leader. Join us today and experience Life at Visa. Job Description What's it all about? As a global payments network, Visa maintains a Compliance Program to proactively manage compliance, regulatory and ethical risks across our business. The RECA role, part of the Europe Ethics &amp; Compliance Team, reports to Germany, Austria, Netherlands and Switzerland (Central Europe) Regional Ethics and Compliance Officer (RECO). This role supports and monitors the Compliance Program across the CE Cluster, partnering with business and subject matters experts to ensure Visa meets international standards and regulatory requirements in Europe, the United States, and the countries in which we operate. Key areas of focus include: <ul><li>Anti-Money Laundering (AML) / Anti-Terrorist Financing (ATF)</li><li>Office of Foreign Assets Controls and other Sanctions</li><li>Anti-Bribery</li><li>Interchange Fee Regulation</li><li>Criminal Finances Act</li></ul>The RECA also plays an essential role in raising awareness and providing training on various aspects of Visa's Code of Business Conduct and Ethics, including areas such as: <ul><li>Conflicts of Interest</li><li>Data Privacy</li><li>Information Security</li><li>Anti-Trust and Competitive Intelligence</li></ul>What we expect of you, day to day <ul><li>Support the CE RECO and compliance team in ensuring the business has effective decision-making, processes, and risk management to meet regulatory requirements.</li><li>Support Visa's Financial Intelligence Analytics Center and Europe AML team with due diligence for AML/AFT &amp; Sanctions cases, including client communications and information requests.</li><li>Complete due diligence for Anti-Bribery/Anti-Corruption program, to support CE RECO review of Gifts, travel, and Entertainment requests, Sponsorship, and Charitable contribution initiatives.</li><li>Complete due diligence for AML/ATF &amp; Sanctions Programs, to support CE RECO review of Visa's Products and Services. The AML/ATF component is a significant portion of the position's overall responsibilities.</li><li>Assist RECO with oversight of other Compliance Programs in CE Cluster including Business Conduct and Ethics, Criminal Finance Act and Interchange Fee Regulation.</li><li>Support RECO in the design and delivery of Compliance training for CE Cluster, while tailoring it to the specific needs of each country, business team, or function, as appropriate.</li><li>Support with management information on Compliance Program activity, metrics and performance assessment each quarter.</li></ul>This is a hybrid position. Expectation of days in office will be confirmed by your Hiring Manager. Qualifications <ul><li>Professional proficiency in English. German highly valued.</li><li>Adequate knowledge of AML/ATF, Anti-Bribery, and relevant European laws.</li><li>At least 3 years of experience in compliance in financial services, especially payments.</li><li>Good knowledge of payments industry products, emerging products, regulations, and trends, with a preference for knowledge in cryptocurrency.</li><li>Highly analytical, self-motivated, and able to work independently and as part of the team.</li><li>Strong collaborative skills and ability to work in a matrix environment and on cross-functional teams.</li><li>Flexible in a continually changing environment.</li><li>Intuitive, ethical, and comfortable with questioning and challenging when needed.</li><li>Ability to multi-task and manage competing priorities under demanding deadlines</li><li>Excellent analytical and data analysis skills, proficient in MS Office (Word, Excel, PowerPoint, SharePoint).</li><li>Excellent written, presentation, and communication skills</li></ul>Additional Information Visa is an EEO Employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability or protected veteran status. Visa will also consider for employment qualified applicants with criminal histories in a manner consistent with EEOC guidelines and applicable local law.

Regional Ethics and Compliance Analyst

Conduct Risk Manager London, UK The mission of the Delegated Authority Service Centre (DASC) is to support the AXA XL UK &amp; Lloyd's ambition to be the preferred insurer for Delegated Authority business in the London Market by providing top-tier service internally and externally throughout the delegated authority process. The DASC management team, led by the DASC Director, will consist of an Onboarding and Due Diligence Manager, Operations and Data Reporting and Analytics Manager, Oversight Manager, and a Services and Delivery Manager. Reporting to the DA Oversight Manager, you will lead the Conduct Risk Team for the UK &amp; Lloyd's business unit in London. Your primary responsibility is to drive compliance with the delegated authority framework, ensuring adherence to regulatory requirements, maintaining high standards for coverholder onboarding, and ongoing oversight and product governance. Collaboration across the delegated service centre with relevant experts is essential to create a unified approach and improve regulatory relations. Your efforts will safeguard the company's interests and streamline delegated authority activities, making it easier for clients, coverholders, brokers, and internal clients to conduct business with AXA XL. Delegated Authority is a material element of the UK &amp; Lloyd's BU business, representing circa $1bn GWP with over 250 Coverholders across multiple global territories. The role requires overseeing coverholder onboarding, annual binder renewals, Lloyd's &amp; FCA compliance, product oversight, complaints management, audit management, and remediation and exit strategies. The Conduct Risk Team is a small of team of 4 all based in London with high volume of BAU, so you will be required to have experience in managing a team in a high-pressured environment. In addition, there are 4 members of the team based in India with a local manager and you will also be the main driving force in ensuring the two teams work together to achieve AXA XL's compliance to conduct regulations and goals. DISCOVER your opportunity What will your essential responsibilities include? • Establish and Maintain Conduct Framework : Collaborate with the DA Oversight Manager and DASC Director to ensure compliance with FCA, PRA, Lloyd's, and other regulators. This includes reviewing and updating policies, drafting new procedures, and overseeing onboarding and oversight of Coverholders and Delegated Claims Administrators. • Regulatory Implementation : Lead the implementation of new regulatory requirements in collaboration with other business functions. • Conduct Risk Reporting : Provide regular reports on conduct risk, offer guidance, and critical analysis to stakeholders and committees (PDG, POG, CC). Attend and sometimes chair meetings, oversee production of Conduct Risk packs, and present detailed analyses. • Promote Conduct Risk Culture : Work with the DA Oversight Manager to advise DASC Teams on FCA and Lloyd's requirements, and design and deliver Conduct Risk training. • Enhance Conduct Risk MI : Support the team in developing PowerBi dashboards and maintaining Conduct Risk and Consumer Duty MI. • Team Management : Oversee team tasks, provide monthly reports to the COO/Board, manage Conduct Risk and Consumer Duty mailboxes, and handle team performance and appraisals. • Annual Fair Value Assessment : Ensure completion of FCA-required Annual Fair Value Assessment for all customer products in scope and mitigate foreseeable harm. • Consumer Duty : Drive Consumer Duty initiatives, complete relevant policies and procedures, and present the quarterly Consumer Dashboard to the PDG and Customer Committee. • Due Diligence and Training : Conduct due diligence on new distribution methods, manage POG activities, and collaborate with other POG functions involved in the process. • Regulatory Relationships : Assist in managing relationships with FCA and Lloyd's and prepare internal and external reports. SHARE your talent SHARE your talent We're looking for someone who has these abilities and skills: • Extensive experience in Conduct or Compliance management role. • Expert knowledge of relevant FCA legislation, including Consumer Duty, PRIN 2A, ICOBS, PROD, Lloyd's. Delegated Codes of Practice, Conduct Standards and Principles for Doing Business . • Detailed knowledge of general insurance products and their operation. • Excellent communication skills; verbal and written. • Excellent organisational skills and able to work on own initiative. • Established project management skills. • A desire keep pace with changes to legislation, regulations and market practice and responding to regulatory consultations. FIND your future AXA XL, the P&amp;C and specialty risk division of AXA, is known for solving complex risks. For mid-sized companies, multinationals and even some inspirational individuals we don't just provide re/insurance, we reinvent it. How? By combining a comprehensive and efficient capital platform, data-driven insights, leading technology, and the best talent in an agile and inclusive workspace, empowered to deliver top client service across all our lines of business - property, casualty, professional, financial lines and specialty. With an innovative and flexible approach to risk solutions, we partner with those who move the world forward. Learn more at axaxl.com Inclusion &amp; Diversity AXA XL is committed to equal employment opportunity and will consider applicants regardless of gender, sexual orientation, age, ethnicity and origins, marital status, religion, disability, or any other protected characteristic. At AXA XL, we know that an inclusive culture and a diverse workforce enable business growth and are critical to our success. That's why we have made a strategic commitment to attract, develop, advance and retain the most diverse workforce possible, and create an inclusive culture where everyone can bring their full selves to work and can reach their highest potential. It's about helping one another - and our business - to move forward and succeed. <ul> <li> Five Business Resource Groups focused on gender, LGBTQ+, ethnicity and origins, disability and inclusion with 20 Chapters around the globe </li> <li> Robust support for Flexible Working Arrangements </li> <li> Enhanced family friendly leave benefits </li> <li> Named to the Diversity Best Practices Index </li> <li> Signatory to the UK Women in Finance Charter </li> </ul>Learn more at axaxl.com/about-us/inclusion-and-diversity . AXA XL is an Equal Opportunity Employer. Sustainability At AXA XL, Sustainability is integral to our business strategy. In an ever-changing world, AXA XL protects what matters most for our clients and communities. We know that sustainability is at the root of a more resilient future. Our 2023-26 Sustainability strategy, called "Roots of resilience", focuses on protecting natural ecosystems, addressing climate change, and embedding sustainable practices across our operations. Our Pillars: <ul> <li> Valuing nature: How we impact nature affects how nature impacts us. Resilient ecosystems - the foundation of a sustainable planet and society - are essential to our future. We're committed to protecting and restoring nature - from mangrove forests to the bees in our backyard - by increasing biodiversity awareness and inspiring clients and colleagues to put nature at the heart of their plans. </li> <li> Addressing climate change: The effects of a changing climate are far reaching and significant. Unpredictable weather, increasing temperatures, and rising sea levels cause both social inequalities and environmental disruption. We're building a net zero strategy, developing insurance products and services, and mobilizing to advance thought leadership and investment in societal-led solutions. </li> <li> Integrating ESG: All companies have a role to play in building a more resilient future. Incorporating ESG considerations into our internal processes and practices builds resilience from the roots of our business. We're training our colleagues, engaging our external partners, and evolving our sustainability governance and reporting. </li> <li> AXA Hearts in Action : We have established volunteering and charitable giving programs to help colleagues support causes that matter most to them, known as AXA XL's "Hearts in Action" programs. These include our Matching Gifts program, Volunteering Leave, and our annual volunteering day - the Global Day of Giving. </li> </ul>For more information, please see axaxl.com/sustainability

Conduct Risk Manager

Company purpose: Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. Our employer promise is built around three pillars: • Being a great place to work • Committed to sustainability and having a positive impact • Being dedicated to the development of our people Business area The Ethics and Compliance Department provides transversal regulatory advice and support to all the business functions performed globally across BNP Paribas. The primary focus of the Market Abuse Surveillance (MAS) function is the oversight and execution of controls focussed upon the assessment of market abuse risk associated with BNP Paribas Group's businesses, and the identification and detection of potentially market abusive behaviours by BNPP's employees and clients. The function operates automated rule based and analytical surveillance platforms which alert upon potentially anomalous behaviour and subjects the output to further manual analysis and investigation by subject matter experts within the function. Equally the function exercises oversight processes where surveillance activities are undertaken in the 1st Line of defence or by local entities outside of the core MAS teams. Job purpose The Compliance Manager, Model Risk Governance &amp; Oversight, Market Abuse Surveillance - Vice President reports to the Global Head of Model Review, Challenge and Oversight, functionally with a local reporting line to the UK Head of Market Abuse Surveillance located in London. The individual will lead the relationship with the RISK IRC function, coordinate the Model Risk processes across Group surveillance activities, and enhance governance, policy adherence, and oversight of model risk review processes in alignment with SR11-7 and other regional regulatory expectations. The role is responsible for ensuring robust governance frameworks, facilitating model risk oversight committees, and driving strategic initiatives in model risk governance. They will work closely with RISK IRC, Model Risk Management teams, model owners, information technology and independent validation teams to ensure compliance, effective governance best practices, regulatory adherence, and transparent risk reporting. In discharging these responsibilities, the role holder is expected to interact with, obtain input from and provide appropriate information back to, operational surveillance teams across the Group. Key responsibilities Strategic Governance and Oversight: - Assist the Global Head of Model Review, Challenge, and Oversight, Market Abuse Surveillance, with the execution of model risk management governance and oversight activities of the Surveillance Framework. - Lead the model governance framework, ensuring alignment with SR11-7 and regulatory requirements. - Establish and maintain risk rating methodologies for models, ensuring consistency and compliance with governance standards. - Oversee governance structures that monitor model lifecycle risk, periodic reviews, and issue remediation. - Provide senior-level oversight to model risk controls, issue tracking and regulatory risk mitigation. Regulatory Compliance &amp; Policy Leadership: - Ensure model risk governance practices align with regulatory expectations and internal policy frameworks. - Oversee regulatory and audit responses related to model risk management, including governance documentation and risk assessments. - Develop and implement policy enhancements to meet evolving regulatory expectations. - Track and report regulatory findings, issue remediation progress, and compliance milestones. Stakeholder Compliance &amp; Policy Leadership: - Chair or provide senior oversight for model governance forums and committees, ensuring transparent decision-making. - Act as a primary liaison between RISK IRC Model Risk Management (MRM), Compliance, Internal Audit, and Business Units to ensure effective governance and issue resolution. - Partner with senior surveillance leadership to drive governance enhancements and facilitate risk-based discussion on model oversight. - Maintain transparent communication with internal stakeholders to ensure timely completion of model reviews and remediation efforts. Reporting &amp; Risk Transparency: - Oversee the production of MAB model risk governance reports, dashboards, and regulatory submissions. - Provide executive-level reporting on model risk status, issue remediation progress, and compliance milestones. - Ensure accurate and timely escalation of governance concerns to senior surveillance and Compliance leadership and risk committees. - Maintain a centralized repository for all governance-related documentation, including risk rating justifications, approvals, audit trails. Process Improvement &amp; Innovation: - Identify opportunities to strengthen governance frameworks and enhance transparency in model review processes. - Oversee automation and technology initiatives that improve efficiency in model governance and reporting. - Implement best practices in risk governance, ensuring continuous improvement of model oversight frameworks. - Contribute as required to additional projects and activities as defined by the Global Head of Market Abuse Surveillance or as deemed necessary by senior Compliance Management. - Challenge existing norms, processes and mindsets and offer ideas and a different perspective, whilst contributing to the wider model risk management program. Requirements Preferred Qualifications &amp; Skills: - Master's degree in finance, risk management, economics, statistics, or a related field. - Extensive experience in model risk management, governance or regulatory compliance with a financial institution. - Deep expertise in SR11-7 and equivalent regulatory model risk governance practices, with direct experience managing regulatory interactions. - Strong leadership and stakeholder management skills, with a track record of influencing senior executives and risk committees. - Experience in overseeing model validation, risk rating methodologies, and governance frameworks. - Strong knowledge of regulatory expectations from FRB, OCC, PRA, ECB and other global regulatory bodies. - Expertise in model lifecycle governance, risk issue management and regulatory compliance frameworks. - Advanced data analytics and reporting skills, with proficiency in Excel, PowerPoint, and data visualization tools (Tableau, Power BI). - Exceptional written and verbal communication skills, with experience presenting to senior leadership and regulators. - Proven ability to lead governance enhancements and drive process improvements in a complex regulatory environment. - Strong general knowledge of bank processes and systems. - Able to achieve objectives within tight time constraints while balancing multiple competing priorities. - Excellent interpersonal, communication and influencing skills, including written skills, with the ability to interact effectively with across regions and various levels of management and maintain relationships with stakeholders at all levels of seniority. - Able to clearly communicate expectations across impacted groups (e.g., 1LoD/2LoD) and work collaboratively with people at all levels of the organization and geographic locations. - Proactive when it comes to addressing changing business needs and demonstrating problem solving skills. And of course, we expect all our colleagues to embody and practice the Group values (alignment with the Bank's strategy, commitment, work ethic, integrity and Code of Conduct). A bit more about why you should join us 1. We're a great place to work We aim for optimal work/life balance (depending on role, this includes hybrid working, flexible working and agile) We are proud of our award-winning flexible benefits and health &amp; wellbeing strategy. Our flexible benefits include: • Generous holiday allowance of at least 26 days (plus bank holidays) with option to buy and sell holidays. • Valuable financial plans a 12% non-contributory pension which has been moved to sustainable investments*, life assurance*, income protection and personal accident insurance. • Extensive wellbeing and mental health offering one of the most advanced private medical schemes in the UK, dental cover, wellbeing app, Cognitive Behavioural Therapy support, subsidised gym memberships, bespoke health assessments including genetic testing, Private GP (including digital GP services to parents of employees), Employee Assistance Programme, menopause &amp; fertility support (we are an accreditedMenopause Friendly Employer), neurodiversity assessment and support. • Key onsite services and facilities in London include physiotherapy, nutrition, massage therapy, physiology, mental health first aiders, seasonal flu vaccinations and free onsite fitness centre. • Plus, emergency back-up care for dependants, green car leasing, season ticket loan, and a range of other benefits. * Subject to relevant caps 2. As the eurozone's largest bank, we are committed to having a positive impact in the world. For example, we are committed to Net Zero in all of our financing and investment portfolios by 2050. By 2030, 80% of our energy production financing will be low carbon. But impact for us means more than climate. It means empowering our people every day. Everyone gets four volunteering days each year - in 2023, we achieved over 18,000 hours of volunteering across the UK and reaching over 4,500 young people. 3. We believe in our people We support our people to develop skills to adapt to the ever-evolving world of work and to prepare for the jobs of today and tomorrow. We do this through a comprehensive training offering, talent programmes, mentoring, career days and inhouse career tools. We are proud of the number of our people who progress and secure new roles internally. In fact, in 2023, nearly half of our positions in UK CIB were filled internally. Investing in our people also means we have a collaborative and inclusive culture: • Direct feedback from our people shows that our internal culture sets us apart from our industry peers. • Each year, nearly 30,000 employees globally are involved in professional networks that play an active role in promoting Diversity and Inclusion within the Group. These include our: Pride Network, Ability Network (which supports disabled employees), MixCity (gender equality network), Women in Global Markets, Women in Global Banking, Women in IT, Diversity Equity &amp; Inclusion in Technology, Early Careers Network, Multicultural Network and Parents &amp; Carers Network. Equal opportunities BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or any other legally protected status. Adjustments We don't want anyone to be disadvantaged in our recruitment processes, so if you have a disability or health condition which may mean that you'd benefit from some adjustments or additional support, please let us know as early in the process as possible. #LI-Hybrid

Compliance Manager, Model Risk Governance & Oversight, Market Abuse Surveillance - Vice President

We're on a mission to make money work for everyone. We're waving goodbye to the complicated and confusing ways of traditional banking. With our hot coral cards and get-paid-early feature, combined with financial education on social media and our award winning customer service, we have a long history of creating magical moments for our customers! We're not about selling products - we want to solve problems and change lives through Monzo Hear from our team about what it's like working at Monzo • London, Cardiff or Remote (UK) | £160,000 - £200,000 + Benefits | Hear from the team • ☆ Our Compliance team We're looking for an experienced, collaborative and pragmatic Director of Compliance to lead our Monzo Bank Limited (MBL) UK Compliance teams and help us build one of the best, most innovative banks in the world. We need someone to own the strategic direction and leadership for all things Compliance &amp; Conduct Risk Oversight. At Monzo we operate a "three lines of defence" model. You'll join the second line of defence (2LoD) as part of the senior leadership team, reporting directly to our VP of Compliance/Compliance Officer and managing the Head of Compliance Advisory and Head of Compliance Assurance. At Monzo we do things differently: we truly care about providing a phenomenal experience for our customers. We believe there's a better way to do banking, and we want to be the best possible (fully compliant!) bank without getting stuck in the old ways of doing things. You'll play a key role by... <ul><li>Working closely with the VP of Compliance, you'll lead Monzo's approach to Compliance and Conduct Risk Oversight. You'll work with senior management to instill a positive, proactive culture towards compliance and regulation across the Bank, and maintain and enhance our frameworks to deliver great outcomes and avoid causing customer harm.</li><li>You'll be a trusted senior advisor and will work proactively and collaboratively with other relevant stakeholders and teams across Monzo, including Regulatory Affairs, Product, Operations, Risk &amp; Control, Legal, Corporate Secretariat and 2LoD/3LoD teams, including at Executive and Board level.</li><li>Provide leadership, strategic direction and development to our growing Compliance Advisory and Assurance teams, ensuring everyone has the opportunity to learn and perform work that meets our high standards and that focuses on what really matters to Monzo and Monzo's customers.</li><li>Oversee execution of the annual Compliance Assurance plan and Compliance Advisory business partnership model, ensuring accurate and timely compliance assurance and technical advice is provided in relation to Monzo's products, services, processes and strategic initiatives.</li><li>Lead oversight and assessment of the effectiveness of Monzo's management of Conduct Risk, including embeddedness and ongoing enhancement of the Bank's Consumer Duty practices. </li><li>Represent Compliance in respect of Conduct Risk related items at our Executive and Board Risk Committees, and oversee associated Committee reporting.</li><li>Help maintain strong relationships with our UK regulators and other third parties, keeping them in the loop with key developments as we continue to scale.</li><li>Stay up to date with industry developments to ensure we are fully compliant whilst also helping us influence regulatory developments.</li></ul> We'd love to hear from you if... <ul><li>You have previously led Compliance teams within financial services (FinTech/NeoBank desirable), with significant experience of the UK Retail Banking, Savings, Investments, Insurance and Payments environment, Conduct Risk and the associated regulatory requirements.</li><li>You have exceptional knowledge and experience of developing best practice Compliance and Conduct Risk frameworks, policies and methodologies.</li><li>You can interpret FCA consultations and regulations, and have a strong understanding of the FCA and other regulatory requirements relating to UK Retail Banking and Payments, such as Consumer Duty, SYSC, BCOBS, COBS, ICOBS, DISP, CONC, Payments Services Regulations and Competition &amp; Markets Authority requirements. </li><li>You communicate clearly and effectively and provide effective and proportionate challenge, whilst building strong, respectful and trusting relationships across all levels of the organisation, including at Executive and Board level.</li><li>You're an exceptional people leader who enjoys leading high performing, engaged teams with empathy. </li><li>You have excellent organisational skills and attention to detail, with the ability to work at pace: prioritising working effectively and independently under tight deadlines across multiple projects.</li><li>You have outstanding interpersonal and team player and leadership skills and are experienced in working across a network of cross-functional stakeholders to collaboratively solve problems.</li><li>You are a strategic thinker and a keen problem solver, skilled at assessing risk and recommending solutions that balance both strategic and regulatory considerations. You think ahead, anticipate relevant challenges and questions, set clear objectives, and find effective solutions.</li><li>You are proactive, take initiative to broaden your knowledge, and are passionate about the intersection of banking and technology. You are excited to join us for the next stage of our journey at Monzo!</li></ul> What's in it for you £160,000 - £200,000 +share options We'll help you relocate to the UK We can sponsor your visa This role can be based in our London office, but we're open to distributed working within the UK (with ad hoc meetings in London) We offer flexible working hours and trust you to work enough hours to do your job well, and at times that suit you and your team. £1,000 learning budget each year to use on books, training courses and conferences. We will set you up to work from home; all employees are given Macbooks and for fully remote workers we will provide extra support for your work-from-home setup. + Plus lots more! Read our full list of benefits. The application journey has 4 key steps <ul><li>30 min recruiter call</li><li>30 min initial call with the Hiring Manager</li><li>2 hours of technical and behavioural interviews</li><li>30 min stakeholder call</li></ul>This process should take around 2-3 weeks - your schedule is really important to us, so we promise to be as flexible as possible! We have some guidelines on using Artificial Intelligence (AI) to ace an application and interview at Monzo. You can read them here. You'll hear from us throughout the application process, but if you've got any questions, please reach out to <a href="mailto:business-hiring@monzo.com" target="_blank">business-hiring@monzo.com</a>. You can also use this email address to let us know if there's anything we can do to make the process easier for you because of disability, neurodiversity or anything else. We'll only close this role once we have enough applications for the next stage. Please submit your application as soon as possible to make sure you don't miss out. #LI-OS1 #LI-REMOTE Equal opportunities for everyone Diversity and inclusion are a priority for us and we're making sure we have lots of support for all of our people to grow at Monzo. At Monzo, we're embracing diversity by fostering an inclusive environment for all people to do the best work of their lives with us. This is integral to our mission of making money work for everyone. You can read more in our blog, 2023 Diversity and Inclusion Report and 2024 Gender Pay Gap Report. We're an equal opportunity employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status. If you have a preferred name, please use it to apply. We don't need full or birth names at application stage

Director of Compliance

At Connells Group, we're passionate about helping landlords successfully let their properties. Our team is at the heart of our success, and we're looking for a professional, driven Trainee Lettings Negotiator to join our vibrant Contact Centre in Dunstable. About the Role: You'll play a critical role in connecting landlords with our expert lettings teams. As the first point of contact, you'll handle enquiries, book rental valuations, and provide outstanding service. Your ability to communicate effectively and manage relationships will directly contribute to our success. Key Responsibilities: <ul> <li>Engage with Landlords: Handle inbound and outbound calls to understand their property needs and secure rental valuation appointments.</li> <li>Schedule Appraisals: Book rental valuations for our branches and ensure accurate handover of information.</li> <li>Generate Opportunities: Identify new leads, follow up on enquiries, and contribute to the growth of the lettings business.</li> <li>Provide Excellent Service: Build strong relationships with landlords and deliver a positive, professional experience.</li> <li>Maintain Records: Keep accurate logs of customer interactions and appointments in our system.</li> </ul>What We're Looking For: <ul> <li>Exceptional Communication Skills: Confident, professional, and engaging over the phone.</li> <li>Customer-Centric Mindset: Dedicated to delivering excellent service and exceeding expectations.</li> <li>Motivated and Proactive: Self-driven with a passion for meeting targets and achieving results.</li> <li>Organisational Excellence: Able to prioritise tasks, manage time effectively, and ensure accuracy.</li> <li>Preferred Experience: Background in customer service, sales, or lettings is advantageous but not essential.</li> </ul>What We Offer: <ul> <li>Competitive Salary: Realistic first-year OTE of £26,000-£32,000, with an uncapped commission structure.</li> <li>Career Development: Comprehensive training and a clear progression path within our growing company.</li> <li>Incentives and Rewards: Quarterly awards, team events, and paid trips for top performers.</li> <li>Supportive Benefits: Free on-site parking and 24/7 access to AIG Smart Health services for you and your family.</li> </ul>Why Join Us? This role is more than just a stepping stone; it's an opportunity to make a real impact in the lettings industry. If you're passionate about building relationships and excited about a career with growth potential, we'd love to hear from you. Connells Group is one of the largest and most successful estate agency and property services providers in the UK and as of March 2021 also encompasses Countrywide. Founded in 1936 and with a network of over 1,200 branches nationwide, the Group combines residential sales and lettings expertise with a range of consumer and corporate services including new homes, mortgage services, conveyancing, EPC provision, surveying, corporate lettings, asset management, land &amp; planning, LPA receivers and auctions. Connells Group UK is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of sex, race, disability, age, sexual orientation, transgender status, religion or belief, marital status, or pregnancy and maternity. CC00561

Regulatory Compliance Officer

Swiss Re is offering an exciting opportunity for a candidate who will embrace the challenge of supporting the business to achieve their goals whilst controlling our exposure to Money Laundering risks. If you're ready to show your leadership skills, collaborate across the company and deep-dive on technical topics when the moment requires, you will thrive in this role! About the Role You will apply a proven knowledge of relevant rules, regulations and codes of conduct relating to the prevention of Money Laundering to develop a corresponding Risk Framework, lead the continuous improvement of relevant policies and solutions and support the delivery of training and awareness activities across the organisation. Specifically, you will: • Fully own, maintain and continuously improve a Global AML Risk Framework, together with other assigned Risk Frameworks to ensure they remain robust and adequate. • Develop pragmatic solutions in the application of Global Standards to diverse product lines, jurisdictions and local legal and/or regulatory requirements. • Monitor related legal and regulatory developments from relevant bodies in those jurisdictions where Swiss Re operates, coordinating responses when new or changing requirements are identified to ensure the risk is addressed. • Support the further development of Anti-Money Laundering knowledge across Swiss Re and within the Compliance teams by preparing and delivering training and awareness materials. • Work with Compliance colleagues to review key business processes and associated controls. About the Team The Compliance Programme, Policies &amp; Awareness (PPA) team is responsible for delivering robust Compliance Risk frameworks at Swiss Re. We develop and maintain appropriate policies, standards and processes, supporting technology, and build training and awareness programs that educate employees on their responsibilities and behaviours in identifying and managing Compliance Risks. Further, we support the business and our Compliance colleagues by monitoring for new risks and regulations in the jurisdictions in which we operate. We are a diverse team based in Zurich, Bratislava and London. About You You are a Compliance professional who can demonstrate experience in Financial Crime prevention within the financial services industry, preferably (re)insurance. You will have a proven track record of applying and delivering deep technical knowledge of AML controls in the (re)insurance industry, paired with a strong understanding in how to deliver effective Compliance frameworks, to enable the business to successfully manage the associated risks. You believe in leadership from every seat and will be able to demonstrate this in your day-to-day as well as mentoring junior colleagues formally and informally. As an expert, attention to detail is key, and your ability to prioritise work and deliver independently is critical to success in this role. • Significant experience in the prevention of financial crime, ideally within the (re)insurance or financial services industry • Strong communicator, including experience drafting global policies and standards, and presenting training content. • University degree or equivalent, legal training would be beneficial • Highly proficient in English (written and spoken); other languages a plus (especially German) #LI-Hybrid About Swiss Re Swiss Re is one of the world's leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to cybercrime. Combining experience with creative thinking and cutting-edge expertise, we create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 14,000 employees across the world. Our success depends on our ability to build an inclusive culture encouraging fresh perspectives and innovative thinking. We embrace a workplace where everyone has equal opportunities to thrive and develop professionally regardless of their age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, physical or mental ability, skillset, thought or other characteristics. In our inclusive and flexible environment everyone can bring their authentic selves to work and their passion for sustainability. If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience. Keywords: Reference Code: 133116

Compliance Officer - Anti-Money Laundering

About us Over the last 18 years, we have helped over a million satisfied customers move and manage their money. Our award-winning product portfolio allows our customers to make low-cost multi-currency payments across various payment products. From travel money to transfers, currency hedging, to expense management, we are focused on a single goal of making it easy for our customers to manage and move their money. As a business, we are committed to delivering value to our customers through the combination of advanced payments technology and personal expert service. We're doing this by hiring exceptional people and are now looking for an AI/ML Product Manager to join our team. Within our offices in London, Chester, Los Angeles and Europe, Equals comprises of three business lines and brands - Equals Money, FairFX and CardOneMoney. You will join a very close-knit, talented and supportive team from various backgrounds who believe that bringing different perspectives together helps us understand our customers' needs. United, by one thing, making money management straightforward and cost-effective for our customers. About the Role You will be responsible for ensuring the Equals Group meets all its legal and regulatory requirements, and implementing and maintaining a robust risk and compliance infrastructure. This senior role will oversee regulatory compliance area across various jurisdictions, including the UK, EU and USA, will act as a key point of contact with regulators, and embed a culture of compliance throughout the organization. You will report directly into the Chief Compliance and Risk Officer (CCRO) for the Equals Group and will be responsible for the Regulatory Compliance function to ensure a robust application of regulatory rules and compliance controls, operating under the 2nd line of defence, as part of Global Risk and Compliance function. You will have an extensive experience in the financial services industry, particularly in the payment/e-money services sector. Working with the Group CCRO, you will develop and implement a comprehensive Regulatory Compliance strategy that aligns with the business objectives and regulatory requirements. You will use opportunities for strengthening processes and controls and strive to implement and build systems and procedures that support a strong compliance culture. You will be responsible for ensuring the Regulatory Compliance roadmap and strategy is delivered to a high standard and within relevant timelines with the assistance of the Regulatory Compliance team. You should be able to influence stakeholders to promote the compliance agenda and can motivate and inspire the team members to perform to a high standard. Regulatory change will be a key focus area for you in this role, and as such you will follow new developments and trends in the regulatory landscape impacting payments firms and advising other areas of the business and key stakeholders on the changes. Responsibilities The key responsibilities of the Head of Regulatory Compliance include: <ul><li>Ensure the Equals Group is operating in accordance with all legal and regulatory requirements.</li><li>Lead a team of Regulatory Compliance subject matter experts and support the ongoing development of Compliance staff.</li><li>Execute the delivery of the Regulatory Compliance strategy and roadmap.</li><li>Support the Group CCRO and MLROs in the delivery of their prescribed responsibilities and deputise the CCRO as assigned.</li><li>Identify regulatory issues, challenges and recommend remedies to promote compliance.</li><li>Review and preparing responses to regulatory authority requests and notices.</li><li>Provide independent 2nd line 'review and challenge' to Equals Group's business units, adopting the 'advise, train and monitor' 2nd line model.</li><li>Provide high quality Regulatory Compliance advice and guidance to the business on all regulatory matters.</li><li>Establish and develop regulatory engagement in relevant markets where Equals Group has or is seeking to establish a presence.</li><li>Work closely with the other colleagues in the Global Risk and Compliance function and with the senior management and all stakeholders.</li><li>Coordinate Equals Group's initial responses to regulatory change matters, consultation papers, and advise on the changes to processes where relevant.</li><li>Develop regulatory training materials and plan in relation to policies owned by Regulatory Compliance.</li><li>Keep up to date with legal and regulatory changes and prepare implementation plans as needed.</li><li>Identify and mitigate the risks of non-compliance with regulatory requirements and implement adequate tools and controls to reduce Equals Group's exposure to any regulatory risks.</li><li>Oversee the identification and resolution of regulatory incidents as well as report relevant incidents to regulatory authorities as applicable.</li><li>Attend and provide reports to relevant Risk Committees as required ensuring the highest reporting standards are maintained.</li><li>Promote the adoption of a culture that prioritises good customer and regulatory outcomes across the organization.</li><li>Manage and develop relationships with external advisors.</li><li>Embody equals group's values of: <ul><li>Be the customer</li><li>Succeed together</li><li>Go beyond</li><li>Make it happen</li></ul></li></ul>Essential Skills <ul><li>Minimum 10 years of professional experience in Compliance and/or Legal function with at least 5 years in an Head / Lead-level role in the financial services industry.</li><li>University degree (at least Bachelor's level) in Law, or a professional Compliance qualification, such as CISI or ICA RC certifications etc.</li><li>Extensive practical knowledge of the UK and EU legal-regulatory framework(s) as well as of other relevant jurisdictions.</li><li>In-depth understanding of the Payment Services Regulations (PSRs), Electronic Money Regulations (EMRs), PSD2, GDPR and MiFID2 regulatory frameworks.</li><li>Proven experience in heading/leading Regulatory Compliance and/or Legal function within the financial services or payments industry with a focus on multi-jurisdictional compliance.</li><li>Exceptional leadership, communication and stakeholder management skills.</li><li>Strong understanding of Compliance Risk Management and Corporate Governance frameworks applicable to the UK and EU regulated entities.</li><li>Proven track record of dealing with and maintaining relationship with regulatory authorities.</li><li>Extensive experience of drafting, implementing and maintaining Regulatory Compliance policies and procedures.</li><li>Strong analytical and problem-solving skills, with an ability to promote the Regulatory Compliance agenda and foster a robust risk compliance culture across the business.</li><li>Meticulous attention to detail and organisational capabilities.</li><li>Experience working in a fast-paced environment with a focus on execution.</li></ul>Benefits <ul><li>25 Days Annual Leave</li><li>Your Birthday Off</li><li>14 Weeks fully paid Maternity Leave</li><li>2 Weeks fully paid Parental Leave</li><li>Private medical insurance via Bupa UK</li><li>Free EAP service - mental health services via Aviva</li><li>Life assurance policy</li><li>Eye care - we cover the cost of the eye test, and you can claim up to £50 towards glasses</li><li>£250 towards learning &amp; development</li><li>Interbank currency rates on travel money</li><li>Workplace pension contributions</li><li>Cycle to work scheme</li><li>Onsite gym / corporate membership</li><li>Free hot drinks, soft drinks, fruit and snacks in the office.</li></ul>Working Arrangements Where possible, we offer the opportunity to work flexibly and the opportunity to balance some remote working with time in the office collaborating, taking part in events and developing the social connections that make working with us rewarding. For this senior role a minimum of 2-3 days in the office (London or Chester) will be required, with remote working offered for the remaining working days. Further details of the working arrangements shall be agreed with the Group CCRO. Equals Group strives to create a workplace where we can all be ourselves. We believe in inclusion, equality and the power of diversity, so you'll be encouraged to bring your unique perspectives and experiences, and help us understand what you need to do your best work. No agency support required at this time - thank you.

Head of Regulatory Compliance

We are looking for a highly skilled Money Laundering Reporting Officer (MLRO)/Compliance Consultant to advise and support our organization in meeting regulatory requirements and best compliance practices. The ideal candidate will have extensive experience in risk management, policy development, and regulatory compliance within the fintech, regtech, or financial services industry. This role involves assessing compliance frameworks, implementing effective controls, and providing expert guidance on regulatory matters. Key Responsibilities: Regulatory Compliance &amp; Advisory <ul> <li>Ensure compliance with all relevant local and international regulatory requirements.</li> <li>Monitor regulatory changes and recommend necessary adjustments to policies and procedures.</li> <li>Advise senior management on compliance risks and mitigation strategies.</li> <li>Act as a liaison with regulatory bodies and industry associations.</li> </ul>Risk Assessment &amp; Management <ul> <li>Conduct risk assessments to identify potential compliance gaps and areas for improvement.</li> <li>Develop and implement risk mitigation strategies to align with regulatory standards.</li> <li>Evaluate and optimize compliance monitoring tools and frameworks.</li> </ul>Policy Development &amp; Implementation <ul> <li>Design and implement compliance policies and internal controls.</li> <li>Ensure comprehensive documentation of compliance procedures and regulatory guidelines.</li> <li>Provided guidance on AML, KYC, data privacy, and financial crime prevention policies.</li> </ul>Training &amp; Awareness <ul> <li>Develop and conduct training programs to enhance compliance awareness across the organization.</li> <li>Provide advisory support to employees and management on compliance matters.</li> </ul>Audit &amp; Investigation Support <ul> <li>Assist in internal and external audits by preparing documentation and responding to inquiries.</li> <li>Oversee the reporting of compliance-related incidents and recommend corrective actions.</li> </ul>Process Optimization &amp; Continuous Improvement <ul> <li>Assess existing compliance processes and recommend improvements for efficiency and effectiveness.</li> <li>Work closely with technology teams to enhance compliance automation and monitoring capabilities.</li> </ul>Qualifications &amp; Experience: Education <ul><li>Bachelor's degree in Law, Finance, Business, or a related discipline (Master's degree preferred).</li></ul>Certifications <ul> <li>Certified Anti-Money Laundering Specialist (CAMS) or equivalent certification is preferred.</li> <li>Additional certifications in compliance, risk management, or financial crime prevention (e.g., ICA, CFE) are a plus.</li> </ul>Experience <ul> <li>Minimum of 5 years of experience in regulatory compliance, risk management, or financial crime prevention.</li> <li>Strong expertise in fintech, regtech, or financial services compliance frameworks.</li> <li>Experience in developing and implementing compliance programs and policies.</li> </ul>Skills &amp; Competencies <ul> <li>In-depth knowledge of compliance regulations and best practices.</li> <li>Strong analytical and problem-solving skills for risk assessment and resolution.</li> <li>Excellent communication and interpersonal skills for engaging with stakeholders and regulators.</li> <li>Ability to work independently and provide strategic compliance recommendations.</li> <li>Detail-oriented with strong organizational skills.</li> </ul>

Money Laundering Reporting Officer (MLRO)/Compliance Consultant

Programme Compliance Manager - Maternity Cover Full time and fixed term for a period of 12 months or the earlier return of the post holder. The Loughborough University campus is located in the heart of England. With world-class facilities, our 523-acre single-site campus features an abundance of green, open space and hosts everything that our students, staff, and visitors need on site. Loughborough University is committed to supporting excellence. From our outstanding student experience and unparalleled sporting achievements to our high-quality teaching provision and acclaimed research offering, we strive to create better futures, together. Loughborough Business School is an integral part of Loughborough University's learning offering, covering the disciplines of business, management, finance, accounting and economics. Guided by the ethos of 'Progress with Purpose' , our forward-thinking approach to research and teaching empowers staff and students to drive change, both within and beyond the University. We take pride in offering a comprehensive and supportive education experience for our students, putting real-world experience and practical learning at the heart of our courses. Our academics are encouraged and supported to undertake research that helps to address major challenges such as sustainability, productivity, the impact of digital technology, ethics, and social responsibility. We are consistently ranked as a top 10 UK university in national league tables and Loughborough Business School also holds triple accreditation from AMBA, EQUIS and AACSB. Our position within the higher education sector has been developed by our excellence driven approach and a welcoming, vibrant international community of staff and students. Whether you are an innovative academic aiming to make a difference in the world, or an ambitious professional in search of a rewarding career in higher education, you can make progress with purpose at Loughborough Business School. The role and what we're looking for We are looking to appoint a Programme Compliance Manager. This role involves coordinating programme compliance matters for both taught and apprenticeship programmes within the School, as well as supporting the Education and Student Experience Manager in maintaining data and statistics for programme monitoring and accreditation purposes. The ideal candidate will have experience as a senior professional administrator in higher education, excellent all-round IT skills, line management experience, and experience in writing procedural documents for administrative processes. Additionally, the candidate should have a strong educational background, including a good Honours Degree or equivalent. This post is available on a full time and fixed term for a period of 12 months or the earlier return of the post holder. Application and assessment process The closing date for applications is Sunday 16th March 2025. Please refer to the job description and person specification for specific details about the nature of the role and the essential criteria before applying. When submitting your application, carefully use the criteria to demonstrate how you meet them. Interviews will take place in-person on Wednesday 26th March 2025. For informal enquiries please contact Elizabeth Bucknor, Programmes Manager, by email at <a href="mailto:E.G.Bucknor@lboro.ac.uk" target="_blank">E.G.Bucknor@lboro.ac.uk</a> . Why should you apply? This is a fantastic opportunity to join the Loughborough Business School as part of the Executive and Professional Education team. As well as Loughborough being a great place to work, we offer a generous employment package: Loughborough Benefits. Reasonable Adjustments We are happy to consider any reasonable adjustments that you may need during the recruitment process. If there are adjustments that you would like to request, please contact Tomasz Cendrowski, Operations Support Administrator at <a href="mailto:T.K.Cendrowski@lboro.ac.uk" target="_blank">T.K.Cendrowski@lboro.ac.uk</a> . For more information, please refer to the job description and person specification.

Programmes Compliance Manager

When you work for the University of Central Lancashire, you'll be part of a thriving community of talent that's united in a common commitment to transform lives. We do this by delivering an outstanding educational experience and creating prosperity and opportunity in the communities we serve. Whatever your role, you'll be playing a vital part in helping us achieve our vision. About the role: This is a vacancy for a Degree Apprenticeship Compliance Officer within the Student Returns and Data Management Division of Academic Registry. The role involves ensuring DfE regulatory compliance and audit readiness, undertaking compliance checks for all new and existing apprentices, the verification of Gateway evidence and Off the Job training. This is an exciting role which will require the post holder to engage with a range of stakeholders including academic colleagues and relevant professional services within the University. They will be responsible for conducting regular internal audits and sampling exercises that will comprise analysing, evaluating and reporting on data in order to ensure compliance with external regulatory requirements. They will also be required to work collaboratively with relevant colleagues to draw up action plans to address any areas of non-compliance. About you: The successful candidate will be professional, self-motivated and solution focused and will have the ability to work without supervision. They will be competent in organising, planning and prioritising work to meet deadlines and they must have the ability to analyse, evaluate, interpret, present and report on data. They will have excellent attention to detail and have an aptitude to focus on the accuracy of data and have the ability to work collaboratively with stakeholders across the University. The role requires the skilful employment of Microsoft Excel and various University student information and portfolio systems and other IT platforms used by external End Point Assessment Organisations, so the candidate will need to be comfortable using IT and learning new systems quickly thereby ensuring that the University is well-placed to meet the changing requirements of the sector. The successful candidate will have an An undergraduate degree or equivalent in a relevant subject area, e.g. Statistics, Information Management, etc. or significant professional experience plus GCSE maths and English Language. We are looking for an enthusiastic individual who must have a high level of verbal and written communication skills and the ability to work with a diverse range of people on a daily basis. You must be a confident communicator, able to prioritise a busy workload and multitask. Candidates must be team players, hold developed people skills and exercise tact along with the ability to maintain confidentiality. Applicants need to meet all essential criteria on the person specification to be considered for interview. This position is based in Preston. What we can offer you: Our people are our most important asset. We'll encourage you to make the most of your talents and continually develop your skills and knowledge. As well as realising your career ambitions, you'll be making a positive difference to other people's lives. We also offer a fantastic package of rewards and lifestyle benefits - from an attractive annual leave entitlement to access to a comprehensive employee benefits platform. We are proud to be a diverse, multicultural university. We are committed to building a truly inclusive culture where diversity is championed. Applications are particularly welcomed from individuals who will support the diversification within the University and support its development of a culture that is inclusive and welcoming to all. The University is committed to providing a safe environment to study, work and visit, protecting children, young people and adults at risk from harm and abuse. Our safeguarding policy and safer recruitment procedure outlines our approach, alongside other internal policies, procedures and guidance which can be found on our Safeguarding page. Applicants applying for roles in regulated activity and that are listed as an exception under the Rehabilitation of Offenders Act 1974 will be required to disclose any spent and unspent convictions and undertake a Disclosure and Barring Service (DBS) Check at the appropriate level, the University will only ask an applicant to make an application for a DBS check if they are legally entitled to. We are proud to share that we will soon be known as the University of Lancashire. Building upon nearly 200 years of academic excellence, this exciting new chapter reflects our commitment and ambition for Lancashire and beyond. We believe in helping people to seize every opportunity to flourish in education, at work and for life. Together, we're here to help you achieve great things. Where opportunity creates success.

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