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About CLS: CLS is the trusted party at the centre of the global FX ecosystem. Utilized by thousands of counterparties, CLS makes FX safer, smoother and more cost effective. Trillions of dollars' worth of currency flows through our systems each day. Created by the market for the market, our unrivalled global settlement infrastructure reduces systemic risk and provides standardization for participants in many of the world's most actively traded currencies. We deliver huge efficiencies and savings for our clients: in fact, our approach to multilateral netting shrinks funding requirements by over 96% on average, so clients can put their capital and resources to better use. CLS products are designed to enable clients to manage risk most effectively across the full FX lifecycle - whether through more efficient processing tools or market intelligence derived from the largest single source of FX executed data available to the market. Our ambition to make a positive difference starts with our people. Our values - Protect, Improve, Grow - underpin everything that we do at CLS and define and shape a supportive and inclusive working environment in which everyone is encouraged to be open and forward-thinking. Job purpose CLS's Third Party Risk Management ("TPRM") team within Operational Risk Management ("ORM") Department is responsible for the second line oversight through review and credible challenge over the end to end Third Party Management ("TPM") process to ensure adhere to stated risk appetite for Third Party Risk. TPM function within CLS has recently completed the design of their target operating model. This position is to support the Operational Risk- TPRM team by being responsible for the review and challenge of the implementation and operational sustainability of the TPM process. The Third Party Risk Manager is expected to have subject-matter-expertise (SME) of the TPRM regulations and industry best practice and work independently with his/her stakeholders to drive, guide and partner with them to facilitate implementation of the TPM process. Essential Function / major duties and responsibilities of the role • Support refinements to the TPRM risk methodology to ensure that risks identified by the first line TPM process is proactively and consistently reflected in the business unit Risk and Control Self-Assessment ("RCSA") process. • Review and challenge of the key risk indicators designed to by first line to ensure that they are fit for purpose and suggest changes where required • Support first line business units by ensuring third party risk and control inventory is articulated in accordance with Risk Framework • Perform root cause analyses of identified risk events to recommend improvements to prevent risk events from re-occurring in future. • Review/challenge Design and Operating Effectiveness testing end to end key controls with a focus on TPM, Technology, Information Security, and Resilience. • Facilitate identification and articulation of Issues and related Corrective Action Plans and review and challenge the quality and completeness of evidence submitted by first line stakeholders to address/close an issue or Action Plan Strategic • Monitor Framework adherence and develop tools/communicate requirements to key stakeholders to ensure adherence with ORM risk policies, procedures and best practices • Interface with key stakeholders and Senior Management Committees • Partner with area subject matter experts and executive management to ensure appropriate ORM governance • Identify and appropriately escalate operational risks that exceed risk appetite. • Identify opportunities for process improvements to deliver increasing operational efficiencies • Participate as part of business project workstreams to provide ORM subject matter expertise and guidance (process maps) Operational • Works with business units to establish, maintain and continuously improve risk management capabilities across CLS. • Facilitates and participates in enterprise-wide risk assessments and recommendations. • Conducts risk management education and training as appropriate. • Collaborate with business units to minimize operational issues emanating from CLS Leadership • Act as stakeholders' main point of contact representing ORM - creating opportunities to provide education related to ORM topics and "lead by example" (i.e., timely resolution of items that need to be addressed, providing suggested solutions/guidance when required/appropriate, taking initiative to manage required deliverables and stakeholder resources/capacity) Experience / essential and desired for successful job performance • Bachelor's degree in finance/economics or law degree, or the equivalent combination of education and experience is required. • 7-8 years of experience in a professional services organization or a financial institution covering Operational Risk Management, with a strong Third Party Risk Management experience required (essential). • Experience in the Operational Risk discipline, establishing framework and on-going process in accordance with industry best practices and Basel requirements. • Experience and knowledge of Third Party risk regulations in key jurisdictions such as the US, UK and Europe (essential). • Experience in contributing to the development or oversight of risk management frameworks in general and TPM framework in particular. • Experience in contributing to large compliance or risk change projects. • Experience in analyzing and implementing regulatory reform measures. Knowledge, skills and abilities / competencies required for successful job performance • Understanding of regulatory expectations for third party management. • Understanding of the need for and possession of the ability to uphold the highest standards of confidentiality. • Articulate and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles and stakeholder management skills. • Excellent report writing and presentation skills. • Superior interpersonal skills • Investigative and analytical thinking. • Ability to work independently to creatively assess and identify gaps and present solutions. • Ability to steer and influence a culture of compliance. • Project management skills an advantage. • Good knowledge of Microsoft Office packages, particularly PowerPoint, Excel and Word. Our commitment to employees: At CLS, we celebrate diversity and consider this to be one of our strongest assets. We are committed to fostering an environment in which everyone feels comfortable to be who they are, and inclusion is valued. All employees have access to our inclusive benefits, including: <ul><li>Holiday - UK/Asia: 25 holiday days and 3 'life days' (in addition to bank holidays). US: 23 holiday days.</li><li>2 paid volunteer days so that you can actively support causes within your community that are important to you.</li><li>Generous parental leave policies to ensure you can enjoy valuable time with your family.</li><li>Parental transition coaching programmes and support services.</li><li>Wellbeing and mental health support resources to ensure you are looking after yourself, and able to support others.</li><li>Affinity Groups (including our Women's Forum, Black Employee Network and Pride Network) in support of our organisational commitment to embrace and always be learning more about DE&amp;I.</li><li>Hybrid working to promote a healthy work/life balance, enabling employees to work collaboratively in the office when needed and work from home when they don't.</li><li>Active support of flexible working for all employees where possible.</li><li>Monthly 'Heads Down Days' with no meetings across the whole company.</li><li>Generous non-contributory pension provision for UK/Asia employees, and 401K match from CLS for US employees.</li><li>Private medical insurance and dental coverage.</li><li>Social events that give you opportunities to meet new people and broaden your network across the organisation.</li><li>Annual flu vaccinations.</li><li>Discounts and savings and cashback across a wide range of categories including health and retail for UK employees.</li><li>Discounted Gym membership - Complete Body Gym Discount/Sweat equity program for US employees.</li><li>All employees have access to Discover - our comprehensive learning platform with 1000+ courses from LinkedIn Learning.</li><li>Access to frequent development sessions on a number of topics to help you be successful and develop your career at CLS.</li></ul>

Vice President, Operational Risk Management (FTC)

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. MAIN PURPOSE OF THE ROLE You will support Enterprise Risk Management in delivering against our objectives and responsibilities for Europe, Middle East and Africa (EMEA). In this role, you will work within the Enterprise Sustainability and Resolvability (ESR) team; with a focus on supporting the annual update of RRP deliverables to meet regulatory requirements and expectations. The role also provides an opportunity to gain experience of the team's coverage of reputational and sustainability risk management. KEY RESPONSIBILITIES Specifically, key responsibilities of the Analyst role within the ESR team will focus on the following: Recovery and Resolvability <ul><li>Supporting on MUFG EMEA Recovery and Resolution initiatives, including update of MUS(EMEA) Recovery Plan, Resolution Pack, Trading Wind Down analysis, playbooks and any additional analysis required by our regulators.</li><li>Providing support on delivery of Recovery and Resolution projects, with engagement across teams to enhance existing process and documents.</li><li>Assisting in the preparation of key risk reports and documentation for senior stakeholders and committees.</li><li>Producing daily reports for the UK and Netherlands Securities entities' recovery trigger frameworks, including support for EUC maintenance and development.</li><li>Supporting Risk and the broader MUFG EMEA response to financial crisis management through maintenance of policies, playbooks and periodic testing.</li><li>Supporting engagement across EMEA and Tokyo Offices, as a centre of RRP expertise driving best practice through the organisation.</li></ul>In addition to focus on RRP, the role will support ESR's management of Reputational and Sustainability risks via: <ul><li>Supporting the running and maintenance of the EMEA reputational risk management framework ; including updates of risk appetite, policy and procedures, terms of reference, templates and reports.</li><li>Producing material for the EMEA Reputational Risk Committee (RRC) to ensure effective reputational risk governance, including preparing and updating risk reporting covering risk appetite status, KRI monitoring, and trend analysis.</li><li>Regulatory horizon scanning; with support on identification and tracking of key regulatory developments relevant for EMEA Risk.</li></ul>SKILLS AND EXPERIENCE Functional / Technical Competencies: Essential <ul><li>Experience of working in a similar control function for a large bank, investment bank, or financial services consulting firm</li><li>Knowledge of the financial services regulatory environment in the UK and EU.</li></ul>Preferred Relevant experience in one or more of the following key areas: <ul><li>Recovery and resolution planning and financial crisis management including wind down plans and resolvability initiatives</li></ul>Education / Qualifications: <ul><li>Degree level or relevant industry experience</li><li>Studying towards a professional qualification such as CFA or FRM would be an advantage</li></ul>PERSONAL REQUIREMENTS <ul><li>Strong desire to learn and grow. </li><li>Proactive and self-motivated.</li><li>Attention to detail and accuracy.</li><li>Interpersonal skills to enable collaboration with colleagues and interaction with stakeholders.</li><li>Excellent communication skills, verbal and written.</li><li>A structured and logical approach to work.</li><li>Strong problem-solving skills.</li></ul>We are open to considering flexible working requests in line with organisational requirements. MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership. We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

Analyst, Recovery and Resolution Planning (RRP), Enterprise Risk Management (12 month FTC)

Head of Compliance The Head of Compliance role will play a critical role in ensuring ESPUG meets its compliance obligations, and that regulatory risks and opportunities are effectively monitored, reported, and managed. The Head of Compliance will work across all business functions to ensure that the necessary systems, processes, and controls are in place to mitigate regulatory risks and maintain compliance assurance. Additionally, this role is responsible for ESPUG's Sustainability Strategy, including developing strategy, setting measurable carbon reduction targets, and ensuring alignment recognised standards. The role will engage with internal and external stakeholders to drive sustainable business practices and support the wider business in delivering sustainability commitments. The Head of Compliance will work in close collaboration with the Head of Regulations to ensure regulatory policies and compliance strategies are effectively implemented, embedded and audited. Key Responsibilities <ul><li>Ensure company-wide compliance with statutory licence obligations across Gas, Electricity, Water and Heat through establishment of independent monitoring and auditing function.</li><li>Take ownerships of and build on companywide three lines of defence compliance framework to provide high levels of assurance on regulatory compliance.</li><li>Ensure 1st, 2nd and 3rd line are in place and conduct regular audits aligned with a risk-based audit plan, to ensure compliance</li><li>Monitor, report, and address non-conformances related to operational, health and safety and regulatory compliance, supporting teams in implementing corrective actions.</li><li>Work with departmental Heads to develop action plans to address compliance risks, drive process improvements, and propose necessary regulatory changes.</li><li>Lead internal risk management and maintain oversight of ESPUG's Risk Register, ensuring risks are proactively managed.</li><li>Ensure process holders and their directors are aware of their accountabilities and performance.</li><li>Provide assurance to the executive team through reporting and evidence of compliance with the three lines of defence model.</li><li>Establish a culture of compliance, risk awareness and learning from issues in our business and the industry, through training, communication and visible leadership.</li><li>Ensure that compliance frameworks align with emerging regulatory trends, proactively adapting ESPUG's approach to remain ahead of regulatory changes</li></ul>Sustainability Strategy &amp; Corporate Responsibility <ul><li>Accountable for maintaining and developing the corporate Sustainability Strategy to align with recognised standards and ensure a strong corporate social responsibility reputation.</li><li>Engage with external stakeholders to ensure the Sustainability Strategy remains appropriate and supported.</li><li>Work with internal stakeholders to embed sustainable practices within ESPUG's operations and ensure business-wide support for sustainability goals.</li></ul>Person Specification <ul><li>Proven track record in regulatory compliance within a regulated environment (Gas, Electricity, Water, Finance, Pharmaceuticals).</li><li>Experience delivering compliance against licence and code obligations.</li><li>Strong knowledge of regulatory risk management, including non-conformance reporting and corrective action implementation.</li><li>Strategic thinker, able to assess and understand the business impact of regulatory changes.</li><li>Ability to communicate complex compliance issues clearly and influence internal and external stakeholders.</li><li>Ability to manage multiple priorities and drive compliance initiatives forward.</li><li>Personable with strong emotional intelligence, able to engage with a wide range of stakeholders.</li><li>Confident and proactive, with a strong ability to lead compliance and sustainability agendas within a regulated business.</li><li>Experience developing and delivering a corporate sustainability agenda, (D) Familiarity with the independent energy and water markets.</li><li>Experience managing external service providers and consultants.</li><li>Knowledge of regulatory reporting frameworks such as GRESB, ESOS, ISO9001, ISO14064 and Quality Management Systems</li></ul>

Head Of Compliance

Why this job matters The role of the Cyber Security Operational Risk Senior Manager is to lead on the identification, assessment and reporting of Cyber Security Risk at group level. The role draws on expertise from across BT Group to provide professional risk management advice and analysis of specific operational risks, facilitating risk definition and assessment, in alignment with BTs enterprise risk framework. This role is hybrid and requires 3 days in the office from the following locations: London, Birmingham, Bristol, Belfast, Manchester and Glasgow What you'll be doing <ul> <li>Produces group-wide Cyber Risk Reports for the BT Group Exec Committee, Board audit and risk comittiee and the BT Board</li> <li>Provides strategic direction and leadership for operational risk management across all cyber security risks to BT, working with BT's Enterprise Risk Management structures</li> <li>Defines, develop and oversees the risk policy, governance framework, standards and procedures for the identification, assessment, management and control of BT's cyber security risks</li> <li>Leads the development of consistent security risk analysis, assessment and risk appetite definition pan-BT</li> <li>Champions effective security risk management practices and building risk management capabilities across BT</li> <li>Ensures that BT Group level risk reporting (to Board Audit and Risk Committee, Group Risk etc.) on security matters follows risk management good practice</li> <li>Develops, maintains and champions the consistent and effective collation, storage and distribution of risk data to support risk-based decision making and risk improvement investments in Technology and Group levels</li> <li>Provides professional input and insights on security risk transfer through cyber and other insurance policies</li> <li>Drives management focus on active control and improvement of risks within agreed risk appetite boundaries, and to the best economic advantage of the company</li> <li>Presents and explains BT's approach to operational and security risk management to corporate customers, regulators, analysts, auditors and government to enhance BT's reputation, and to support commercial initiatives</li> <li>Ensures all security investment plans are underpinned by effective security risk management/risk articulation, and risk benefits are evaluated</li> <li>Develops strategic reporting tools to capture and report expert opinions on cyber risk for use by BT and corporate customers</li></ul>Skills Required for the Role <ul> <li>Story-telling with data: strong skills in building the case for change, drawing on data and analytical techniques where appropriate, and communicating this to business audiences</li> <li>Business acumen: Knowledgeable in business strategy and the drivers of organisational performance, including people drivers of performance and financial literacy (e.g. business KPIs, business cases)</li> <li>Risk Management - Identifying, assessing, and prioritising risks followed by coordinated efforts to minimise, monitor, and control the probability or impact of cyber events. It includes developing strategies to manage risks and implementing measures to mitigate them.</li> <li>Risk Analysis -Evaluating the potential risks that may be involved in a potential cyber event. Assessing the likelihood and impact of risks, and determining the best ways to manage them based on the analysis</li> <li>Business Agility - Ability to adapt quickly and efficiently to changes in the cyber threat landscape</li> <li>Business Partnering &amp; Consulting - Working closely with other stakeholders (internal &amp; external)to provide expert advice and support. </li> <li>Risk Strategy - Developing a plan to manage cyber risks effectively, which need to align with the overall BT Group business strategy.</li> <li>Business Insights - Information and understanding gained from analysing business data. These insights help in making informed decisions, identifying opportunities, and informing actions which lead to risk reduction</li> <li>Scenario Modelling - Creating and analysing different hypothetical cyber events to understand their potential impact on the business. It helps in planning for various outcomes and developing strategies to manage them.</li> <li>Negotiation - Discussing and reaching agreements between parties. Involves communication, persuasion, and compromise to achieve mutually beneficial outcomes.</li> <li>Storytelling - In a business context using narratives to communicate ideas, values, and strategies effectively. Helping engage stakeholders, conveying complex information, and inspiring action.</li> <li>Horizon Scanning - Identifying and analysing emerging trends, risks, and opportunities that could impact the business in the future.</li> <li>Regulatory Compliance - Understanding potential regulatory compliance implications based on cyber risk. </li></ul>Ideally qualifications in the following <ul> <li>Certified in Risk and Information Systems Control (CRISC)</li> <li>Certified Information Systems Security Professional (CISSP)</li> <li>Certified Information Security Manager (CISM)</li></ul>Experience Required for the Role Mandatory <ul> <li>3+ years experience working in an enterprise risk role</li> <li>Experience in cyber risk</li></ul>Preferred <ul> <li>Experience managing cyber risk in Telecoms sector</li> <li>Line management experience</li></ul>Benefits <ul> <li>On target 15% on target bonus</li> <li>Health Care</li> <li>Car Allowance</li> <li>BT Pension scheme, minimum 5% Employee contribution, BT contribution 10%</li> <li>From January 2025, equal family leave: receive 18 weeks at full pay, 8 weeks at half pay and 26 weeks at the statutory rate. It's for all parents, no matter how your family is made up.</li> <li>Enhanced women's health support: including help with menopause symptoms, cancer screenings, period care and more.</li> <li>25 days annual leave (not including bank holidays), increasing with service</li> <li>24/7 private virtual GP appointments for UK colleagues</li> <li>2 weeks carer's leave </li> <li>World-class training and development opportunities</li> <li>Option to join BT Shares Saving schemes.</li></ul>About us BT Group was the world's first telco and our heritage in the sector is unrivalled. As home to several of the UK's most recognised and cherished brands - BT, EE, Openreach and Plusnet, we have always played a critical role in creating the future, and we have reached an inflection point in the transformation of our business. Over the next two years, we will complete the UK's largest and most successful digital infrastructure project - connecting more than 25 million premises to full fibre broadband. Together with our heavy investment in 5G, we play a central role in revolutionising how people connect with each other. While we are through the most capital-intensive phase of our fibre investment, meaning we can reward our shareholders for their commitment and patience, we are absolutely focused on how we organise ourselves in the best way to serve our customers in the years to come. This includes radical simplification of systems, structures, and processes on a huge scale. Together with our application of AI and technology, we are on a path to creating the UK's best telco, reimagining the customer experience and relationship with one of this country's biggest infrastructure companies. Change on the scale we will all experience in the coming years is unprecedented. BT Group is committed to being the driving force behind improving connectivity for millions and there has never been a more exciting time to join a company and leadership team with the skills, experience, creativity, and passion to take this company into a new era. A FEW POINTS TO NOTE: Although these roles are listed as full-time, if you're a job share partnership, work reduced hours, or any other way of working flexibly, please still get in touch. We will also offer reasonable adjustments for the selection process if required, so please do not hesitate to inform us. DON'T MEET EVERY SINGLE REQUIREMENT? Studies have shown that women and people who are disabled, LGBTQ+, neurodiverse or from ethnic minority backgrounds are less likely to apply for jobs unless they meet every single qualification and criteria. We're committed to building a diverse, inclusive, and authentic workplace where everyone can be their best, so if you're excited about this role but your past experience doesn't align perfectly with every requirement on the Job Description, please apply anyway - you may just be the right candidate for this or other roles in our wider team.

Senior Manager, Cyber Security Operational Risk, BT Security

Fitch Group's Compliance Team is seeking temporary maternity cover for a Compliance Manager (Director Level) out of an EU/UK office for a period of up to 12 months As a leading, global financial information services provider, Fitch Group delivers vital credit and risk insights, robust data, and dynamic tools to champion more efficient, transparent financial markets. With over 100 years of experience and colleagues in over 30 countries, Fitch Group's culture of credibility, independence, and transparency is embedded throughout its structure, which includes Fitch Ratings, one of the world's top three credit ratings agencies, and Fitch Solutions, a leading provider of insights, data and analytics. With dual headquarters in London and New York, Fitch Group is owned by Hearst. At Fitch Group, the combined power of our global perspectives is what differentiates us. It is the strength of our business. It comes from people around the world in a shared pursuit: to equal something greater than they could ever accomplish alone. Every team member is essential to our business and every perspective is critical for our success. Develop yourself in a culture that values flexibility, expects your opinion and trusts your decisions. Together we evolve and so will you, in an environment that asks you to challenge yourself - and us. About the Team The Regulatory Compliance team is primarily responsible for managing Fitch Ratings' interaction with regulators across EMEA, including required regulatory reporting and supervisory inspections and examinations. The team is responsible for ensuring general compliance with applicable credit rating agency regulations, fulfilling various regulatory reporting obligations, reviewing Fitch Ratings' policies and procedures to ensure they are designed to effectively address regulatory requirements, and handling conduct-related internal investigations and complaints. How You'll Make an Impact: <ul> <li>Reporting into the London-based lead for EMEA Regulatory Investigations, the successful candidate will be instrumental in supporting the Regulatory reporting and investigation responses to EMEA regulators. </li> <li>Assisting in the management of the relationship between Fitch Ratings and EMEA regulators, including organising information responses to supervisory inspections, examinations and ad hoc requests for information.</li> <li>The successful candidate will often be a first point of contact for compliance matters impacting Fitch Ratings' operations as well as being a key point of contact between Fitch Ratings and EMEA regulators with respect to communicating information, as well as supporting compliance staff based throughout the region. </li> <li>Act as support for regulatory compliance matters in EMEA (EU, UK and Middle East), particularly fulfilment of regulatory reporting and investigation obligations, and collaborate with other members of the Regulatory Compliance team in relation to compliance issues on a regional and global basis.</li> <li>Act as an investigator for conduct-related internal incidents, liaising with team heads and HR to determine the level of violation and appropriate disciplinary actions</li></ul>You May be a Good Fit if: <ul> <li>Educated to university degree level or equivalent. </li> <li>Highly organised and efficient, with the ability to multi-task and meet tight deadlines with a high degree of flexibility and excellent time-management skills </li> <li>Excellent drafting and communication skills with great attention to detail.</li> <li>Fluency in English, both written and spoken.</li></ul>What Would Make You Stand Out: <ul> <li>Legal qualifications</li> <li>Experience dealing with regulatory agencies and managing regulatory inspections/examinations in a financial services environment.</li> <li>Previous experience in a Credit Ratings environment (or other similar FCA/ESMA-supervised sector).</li> <li>Exposure to and knowledge of MetricStream or other governance, risk and compliance (GRC) systems.</li></ul>Why Choose Fitch: <ul> <li>Hybrid Work Environment: 3 days a week in office required based on your line of business and location </li> <li>A Culture of Learning &amp; Mobility: Dedicated trainings, leadership development and mentorship programs designed to ensure that your time at Fitch will be a continuous learning opportunity</li> <li>Investing in Your Future: Retirement planning and tuition reimbursement programs that empower you to achieve your short and long-term goals</li> <li>Promoting Health &amp; Wellbeing: Comprehensive healthcare offerings that enable physical, mental, financial, social, and occupational wellbeing</li> <li>Supportive Parenting Policies: Family-friendly policies, including a generous global parental leave plan, designed to help you balance career and family life effectively</li> <li>Inclusive Work Environment: A collaborative workplace where all voices are valued, with Employee Resource Groups that unite and empower our colleagues around the globe</li> <li>Dedication to Giving Back: Paid volunteer days, matched funding for donations and ample opportunities to volunteer in your community</li></ul>Fitch is committed to providing global securities markets with objective, timely, independent and forward-looking credit opinions. To protect Fitch's credibility and reputation, our employees must take every precaution to avoid conflicts of interest or any appearance of a conflict of interest. Should you be successful in the recruitment process at Fitch Ratings you will be asked to declare any securities holdings and other potential conflicts prior to commencing employment. If you, or your immediate family, have any holdings that may conflict with your work responsibilities, you may be asked to divest yourself of them before beginning work. Fitch is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluatequalified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law. #LI-VD1 #LI-Hybrid

Compliance Manager - (Maternity Cover - Temporary 12 months)

About Us YouLend is the preferred global embedded financing platform for many of the world's leading e-commerce sites, tech companies and payment services providers such as Amazon, eBay, Shopify, Mollie, Dojo, Paysafe, Just Eat Takeaway and Takepayments. Our software platform and APIs enable our partners to offer flexible financing products, in their desired branding, to their merchant base. With YouLend's AI-driven credit risk assessment solutions, more merchants and SMEs than ever can receive fast, flexible and affordable funding. We operate in 9+ geographies across the UK, EU and the US. We believe that the future of financial services will be delivered by customer-oriented tech companies that embed financing in their customer journeys, and we are building the solutions that will power that future. The Role: The Senior Regulatory Compliance Manager will be a key figure in ensuring YouLend maintains a robust regulatory compliance framework. Reporting directly to the Head of Regulatory Compliance this role will focus on enhancing compliance processes, monitoring regulatory risks, and ensuring adherence to FCA, EU, and global standards as we pursue additional regulatory authorisations. This role offers an exciting opportunity for an experienced compliance professional to play a pivotal role in helping to shape our regulatory compliance framework and support YouLend with future expansion plans. Requirements <ul><li>Regulatory Compliance Framework - Contribute to the maturity of the regulatory compliance strategy and framework, ensuring there is a consistent and scalable approach to 'compliance' across training, policies, KRIs, testing, reporting. </li></ul><ul><li>Compliance Monitoring - Support with the enhancement of the design and implementation of YouLend's Compliance Monitoring and Testing Programme including tracking and monitoring progress against the annual monitoring program and adapting it to the changing regulatory and business environment. </li></ul><ul><li>Governance and Management Reporting - Raising the standards of management reporting and governance, assisting the Head of Regulatory Compliance with preparing updates to YouLend's Senior Management Team where necessary and embedding a governance framework that facilitates this. </li></ul><ul><li>Horizon scanning - Through the identification, assessment, and ongoing monitoring of current and future regulatory risks, including gap analysis of new regulatory initiatives and guidance from the Youlend's regulators </li></ul><ul><li>Advisory - Act as a trusted advisor to the business, providing guidance on regulatory topics and helping the business navigate complex compliance landscapes in the UK, EU, US and other jurisdictions. </li></ul><ul><li>Regulatory Engagement - Support the Head of Regulatory Compliance with managing regulatory engagement, tracking and handling queries, audits, and ongoing communications with YouLend's Regulators. </li></ul><ul><li>Regulatory Reporting - Lead regulatory reporting processes to ensure timely and accurate submissions to the FCA and other relevant authorities. </li></ul><ul><li>Enterprise Risk Management - Support with the uplift of YouLend's Enterprise Risk Framework, working with risk owners across the business to develop and mature the identification, assessment and management of YouLend's enterprise risks. </li></ul>Essential Qualifications and Experience : <ul> <ul><li>A minimum of 5+ years experience in a regulatory compliance role ideally within the financial services industry, payment institution, electronic money institution or a similar regulated entity. </li></ul> <ul><li>Demonstrable experience of supporting the implementation of compliance frameworks, particularly for FCA-regulated entities. </li></ul> <ul><li>Experience leading regulatory reporting processes and stepping in to act as a liaison with regulators such as the FCA is a strong plus. </li></ul> <ul><li>Familiarity with EU regulatory regimes and experience supporting applications for new regulatory authorizations is a strong plus. </li></ul> <ul><li>Experience working in B2B financing or corporate lending is desirable. </li></ul> </ul>Skills: <ul> <ul><li>Strong knowledge of FCA regulatory requirements, including the FCA Handbook and Payment Services Regulations (PSRs). </li></ul> <ul><li>Proven ability to assess and manage regulatory risks, with experience in conducting thematic reviews and compliance monitoring. </li></ul> <ul><li>Expertise in key compliance themes such as governance, complaints handling, safeguarding, product governance and outsourcing, and in depth understanding of risk mitigation frameworks. </li></ul> <ul><li>Exceptional analytical skills, including conducting gap analyses to address new regulatory initiatives and guidance. </li></ul> <ul><li>Strong written and verbal communication skills, with experience preparing high-quality reviews, assessments, and reports for senior stakeholders and regulators. </li></ul> </ul>Benefits Why join YouLend? <ul><li> Award-Winning Workplace: YouLend has been recognised as one of the "Best Places to Work 2024" by the Sunday Times for being a supportive, diverse, and rewarding workplace. </li></ul><ul><li> Award-Winning Fintech: YouLend has been recognised as a "Top 250 Fintech Worldwide" company by CNBC. </li></ul>We offer comprehensive benefits package that includes: <ul><li>Stock Options </li></ul><ul><li>Private Medical insurance via Vitality and Bupa Dental </li></ul><ul><li>EAP with Health Assured </li></ul><ul><li>Enhanced Maternity and Paternity Leave </li></ul><ul><li>Modern and sophisticated office space in Central London </li></ul><ul><li>Free Gym in office building in Holborn </li></ul><ul><li>Subsidised Lunch via Feedr </li></ul><ul><li>Deliveroo Allowance if working late in office </li></ul><ul><li>Monthly in office Masseuse </li></ul><ul><li>Team and Company Socials </li></ul><ul><li>Football Power League </li></ul>At YouLend, we champion diversity and embrace equal opportunity employment practices. Our hiring, transfer, and promotion decisions are exclusively based on qualifications, merit, and business requirements, free from any discrimination based on race, gender, age, disability, religion, nationality, or any other protected basis under applicable law.

Senior Regulatory Compliance Manager

Who we are looking for The position is for a Prime Brokerage Counterparty Credit Risk Manager within the Global CCR team, which is part of the wider Financial Risk team within the Enterprise Risk Management Division. The team is primarily responsible for the oversight of counterparty credit risks arising from the activities within State Street Global Markets business unit (SSGM) SSGM, a division of State Street Bank &amp; Trust Co., engages in a variety of capital markets business activities, including securities finance, funding and collateral transformation, and sales and trading in foreign exchange markets. The position is for a self-motivated CCR Manager with a strong technical and quantitative aptitude providing CCR oversight for the Prime Brokerage activities as part of the Global CCR team. What you will be responsible for As CCR Manager you will • Provide global independent credit risk oversight of credit exposures across CCR activities including risk identification, risk measurement, risk controls and limits, documentation and risk monitoring and reporting • Establish and maintain standards for acceptable collateral across business lines, ensuring margin is dynamic and sufficient to protect against market and concentration risks and satisfy regulatory requirements • Provide global independent credit risk oversight of stressed counterparty credit exposures across all CCR products • Assess and develop new business products and initiatives • Enhance risk management tools and systems, including specification of requirements, supporting implementation and testing/prototyping • Develop good working relationships with traders and business analysts within SSGM and other business units, , and with support functions and technology departments • Contribute to risk and/or regulatory projects; independently driving forward assigned tasks What we value • Strong knowledge of equity derivatives • Strong analytical and quantitative mindset; ability to take ownership and improve on existing risk models and methodologies (VaR, PFE, Notional, Stress Testing, xVA) • Ability to identify problems and limitations, propose solutions or proactively address them directly • Ability to communicate and write clear and precise presentations and technical documentation describing processes and risk methodologies • Self-motivated and able to work independently with excellent time-management skills • Ability to cooperate with others and foster an environment that supports effective teamwork • Strong critical thinking ability; promote and support a culture of challenge and risk excellence • Comfortable in conflict resolution as appropriate with others and in a matrix organization • Highest standards of conduct and integrity and ensure compliance with accepted industry practice, company policies, statute and regulatory requirements Education &amp; Preferred Qualifications • Degree/Post-graduate degree in relevant and/or quantitative subjects • Minimum of 4+ years of hands-on industry experience with knowledge of Prime Brokerage , and management of credit and market risks at a large banking institution • Experience in the financial analysis or risk analytics, dealing with modelling, market data, pricing and risk methodology • Ability to provide prototype implementations and work closely with IT and other groups • Excellent IT skills and strong ability to develop prototypes using Python, VBA and SQL; familiarity with statistics software or third-party software such as Risk Metrics is a plus About State Street What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data &amp; analytics, investment research &amp; trading and investment management to institutional clients. Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential. Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you. State Street is an equal opportunity and affirmative action employer. Discover more at StateStreet.com/careers State Street's Speak Up Line

Counterparty Credit Risk Manager, Prime Brokerage, Assistant Vice President, Hybrid

Job Title Credit Risk Manager Job Description So, who are we? Hello, we're IG Group, an FTSE 250 Fintech that provides cutting-edge mobile, web and desktop platforms that help our clients trade Stocks &amp; Shares, leveraged products, Futures &amp; Options and Crypto. We are ambitious. Over 340,000 people already use our platforms. We're global with offices in 18 countries and products in 16 regions. We're hungry to move faster, ship better products for our customers and grow our user base. We believe in high autonomy, and we want people who are looking to do things differently to create better experiences for our customers. We work in cross-functional teams and are laser-focused on increasing the number of active clients we serve to drive sustainable growth. The Team: The Financial Risk Team is responsible for the end-to-end management of IG Group's credit, market, capital and liquidity risk profiles. The Team designs, develops and deploys various industry-standard risk models to help set policy, enforce it and report on it to several committees (including the Risk Committee, the Executive Risk Committee and the Board Risk Committee). Your role in the Team's Success As the team that owns the credit risk profile for the Group, we are looking for a Credit Risk Manager who can come in and re-imagine our approach to institutional/corporate client credit risk. We have several B2B and B2B2C clients located in various jurisdictions around the world, and we would like to rebuild our credit assessment process from the ground-up. We are also introducing ISDA agreements in place of our standard Client Agreement and would therefore like a candidate with experience in this area. The successful candidate will be working within a small (6-person) London-based team with significant exposure to senior management. They will be presenting changes to policy at the Risk Committee, working closely with (but not reporting to) the Head of client Credit Risk, the Sales &amp; Trading Teams and the Credit Operations Team. What you'll do: <ul><li>Conduct comprehensive client credit risk assessments, focusing on institutional clients</li><li>Present changes to policy at the Risk Committee and the Executive Risk Committee</li><li>Liaise with the Sales &amp; Trading teams to implement ISDA agreements and model changes to it</li></ul>How we work We try to take a thoughtful approach to our ways of working as a company. We follow a hybrid working model with 3 days in the office - which we think balances the need to collaborate effectively and connect with each other. When it comes to how we deliver, there are 5 things we want everyone to do to drive high performance, better learning and career satisfaction: Lead and Inspire: Drives trust, alignment, and enthusiasm Think Big: Focus on the problems that most impact commercial outcomes Champion the client: Understand and prioritise the client's needs Deliver at pace: Push for fast, sustainable growth; Raise the bar: Take ownership, be accountable and share feedback. We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We're committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that's why we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Learn more about our D&amp;I approach here. What you'll need: <ul><li>Credit risk experience within either a bank or consulting firm</li><li>Familiarity with portfolio margining models</li><li>Familiarity with ISDA agreements</li><li>Strong understanding/experience with industry-standard risk models (including stress-testing, value-at-risk, expected shortfall, LGD, PD, etc...)</li></ul>The Perks Your growth fuels our success! Thrive with tailored development programs, mentoring opportunities with leaders, and clear career progression. Expand your network through committees, sports and social clubs. Enjoy extra time off for volunteering and community work. <ul><li>Competitive salary</li><li>Flexible Benefits Package on top of your salary (12%)</li><li>Private medical cover for you and your family</li><li>Life insurance</li><li>Contribution to gym memberships</li><li>25 Days holiday, with 1 additional day off to celebrate your Birthday &amp; 2 additional days off a year for voluntary work (28 in total</li><li>The option to buy or sell holiday days.</li><li>Unlimited access to the LinkedIn Learning Platform</li><li>A comprehensive global and local onboarding process</li><li>Employee-led LGBTQ+, Women's, Black and Parents &amp; Carers networks with an annual budget for organising events &amp; projects that foster an open, diverse and inclusive culture</li><li>Option to participate and create ESG initiatives based on IG Brighter Future Fund</li><li>Enhanced primary (maternity), secondary (paternity), and shared parental pay and leave, as well as a range of support and benefits for parents</li></ul>Learn more about the Perks here! Join us for this exciting journey. Apply now! Number of openings 1

Credit Risk Manager

The Compliance Lead is a senior member of the Quality and Compliance Team responsible for monitoring and maintaining internal compliance in line with External regulations and requirements and internal policies, in order to meet quality expectations. An escalation point for compliance and Code queries and acts as an Any Qualified Person ( AQP, non-medical signatory) or medical signatory. Responsibilities: The Compliance Lead at PharmaReview is responsible for: <ul><li>Being a subject matter expert within the group and a source of advice and information to IQVIA staff on quality control processes</li><li>Identifying quality and compliance issues, providing solutions and preventative actions</li><li>Demonstrating commitment to exploring optimal ways of working</li><li>Setting standards for the team</li><li>Development, maintenance, and training of Policies, SOPs, Work Instructions. Liaise promptly with process owners / document authors in case of questions</li><li>Develop quality tools such as checklists and quality guidelines.</li><li>Smartsolve Quality Management System administrator</li><li>GCP Training Records management in collaboration with Training manager</li><li>Primary contact for IQVIA Quality and Compliance Team</li><li>Coordinating compliance training with the medical director / training manager including Code Clinic agendas, 'HOT TOPICs' and other areas of identified need</li><li>Take a leading role in providing training, guidance, and mentoring, including standardised measurements to ensure consistency across teams and best practice is adopted</li><li>Lead role in proposing, developing, evaluating, and implementing process changes and tools and monitoring their adoption and benefits</li><li>Understanding external client's compliance needs and ensuring internal policies and activities meet this and vice versa; collaborate with AL for onboarding and EBR on compliance aspects</li><li>Act as escalation point for Third Pair of Eyes [TPOE] review</li><li>Keep abreast of current Industry trends, knowledge, developments and advances in area e.g. attending and contributing to regulatory code compliance workstreams</li><li>Manage daily assignments, planning and directing work, and take responsibility for managing workload for assigned projects and tasks, in collaboration with senior staff"</li><li>Contribute to budget proposals for compliance activities and maintain a clear understanding of the time and resources needed for tasks within remit</li></ul>Audit Lead <ul><li>Proactive conduct regular audits to identify and document findings clearly, in accordance with defined procedures</li><li>Identify root causes, CAPA development, management and implementation and review</li><li>Develop internal controls and monitor adherence</li><li>Advising / supervising external client audits if required</li><li>Liaise with customer where required</li></ul>Successful candidates will have: Essential skills <ul><li>3-5 years relevant experience in pharmaceutical review (AQP / Sig) and / or compliance</li><li>Strong ABPI / EFPIA / IPHA and PhRMA code knowledge</li><li>Life Science degree or higher</li><li>Excellent written and oral communication skills</li><li>Demonstrates ability to remain calm and assertive, yet diplomatic in challenging interactions with customers and colleagues</li><li>Demonstrates initiative and sound judgement when faced with less familiar project/document situations or challenges</li><li>Self-starter - ability to work under own direction with confidence</li><li>Ability to establish and maintain effective working relationships with co-workers, managers and customers at a senior level</li><li>Ability to proactively evaluate risks and potential issues and seek solutions and discuss appropriately with colleagues and customers</li><li>Confidence in appropriately challenging the customer when document quality or timelines are at risk</li><li>Experienced in coaching, mentoring or managing others</li><li>Experience working in a fast-paced environment</li><li>Experience in building strong collaborative partnerships</li><li>Experience problem solving and providing solutions</li><li>Experience working in Veeva Vault PromoMats/MedComms, Aprimo, Vodori, Ziflow or similar SaaS review and approval system</li></ul>Desirable skills or qualifications: <ul><li>Masters or PhD in life sciences or industry related experience3</li><li>Signatory/AQP expertise</li><li>Medical of Pharmacist qualification</li></ul>IQVIA is a leading global provider of clinical research services, commercial insights and healthcare intelligence to the life sciences and healthcare industries. We create intelligent connections to accelerate the development and commercialization of innovative medical treatments to help improve patient outcomes and population health worldwide. Learn more at <a href="https://jobs.iqvia.com" target="_blank">https://jobs.iqvia.com</a>

Quality and Compliance Manager (Pharmareview)

Are you motivated by the opportunity to shape a global compliance strategy and promote a culture of integrity at the highest level? Are you seeking a role where your expertise can drive meaningful impact and support strategic decision-making? Do you value being part of a high-performing team that is committed to excellence and continuous improvement? If so, you may be the ideal candidate we are looking for! WHAT YOU'LL DO <ul><li>Develop and implement a global compliance strategy, ensuring alignment with regulatory requirements and industry best practices.</li><li>Lead the conflicts of interest management program (personal account trading, outside business interests, etc.), including oversight, reporting, and platform management.</li><li>Design, co-ordinate and lead global compliance training programs for both the Business and the Compliance function to foster a culture of integrity and regulatory adherence.</li><li>Monitor emerging regulatory trends and advise on necessary policy adaptations.</li><li>Prepare and present compliance reports to senior management, highlighting key risks and strategic recommendations.</li><li>Collaborate with global compliance, legal, and risk teams to ensure a unified approach.</li></ul>WHAT YOU'LL GET You'll join a culture of collaboration and excellence, where you'll be surrounded by curious thinkers and creative problem solvers. Motivated by a passion for continuous improvement, you'll thrive in a supportive, high-performing environment alongside talented colleagues, working collectively to tackle the toughest problems in the financial markets. In addition, you'll receive: <ul><li>A performance based bonus structure unmatched anywhere in the industry. We combine our profits across desks, teams and offices into a global profit pool.</li><li>The opportunity to work alongside best-in-class professionals</li><li>27 paid vacation days (not including additional public holidays)</li><li>Support on commuting expenses</li><li>ClassPass fitness membership</li><li>Private Medical Insurance</li><li>Training, conference attendance and continuous learning opportunities</li><li>Extensive office perks, including breakfast and lunch, barista coffee, sports and leisure activities, Friday afternoon drinks, and weekly in-house massages</li></ul>WHO YOU ARE <ul><li>3+ years' industry experience within a global financial institution or consultancy firm</li><li>Awareness of global regulations/regulatory authorities, including MiFID II and MAR</li><li>Experience in designing, leading, and delivering programs</li><li>Experience running a core compliance program</li><li>Ability to engage with a range of different stakeholders</li><li>Strong written communication skills including proficiency in PowerPoint</li><li>Strong organisational, analytical, leadership, and communication skills, with the ability to influence</li></ul>WHO WE ARE At Optiver, our mission is to continuously improve the market. By providing liquidity and accurate pricing in various financial instruments, to multiple exchanges across the world, we participate in the safeguarding of healthy and efficient markets. HOW TO APPLY Are you interested in furthering your career on one of the most dynamic and exciting trading floors in Europe? Apply directly via the form below. If you have any questions, feel free to contact our Recruitment team at <a href="mailto:recruitment@optiver.com" target="_blank">recruitment@optiver.com</a> Please note: <ul><li>We cannot accept applications via email for data protection reasons</li><li>We do not require any assistance from third-parties including agencies in the recruitment of this role</li></ul>DIVERSITY STATEMENT Optiver is committed to diversity and inclusion.

Group Compliance Officer

About the Role: At Deliveroo, our mission is to build the definitive food company by transforming how our customers eat, making food more convenient and accessible. To Achieve this, we prioritise security to protect the data and money of our customers, employees, partners, riders, and investors. As a technology-driven leader in a rapidly expanding industry, we value autonomy, ownership, and innovation. Our small team makes a significant impact, tackling some of the most intriguing challenges out there. We are seeking a pragmatic and motivated Security Compliance Specialist with a solid understanding of security policies, standards, awareness and compliance. In this hands-on role, you will support the development, implementation, and compliance monitoring of our information security policy suite. You will work on a variety of security policy implementation projects, directly influencing how Deliveroo operates securely, and engaging with stakeholders across the business to drive higher maturity. What You'll Be Doing: <ul><li>Develop and implement information security policies, standards, and guidance in collaboration with stakeholders.</li><li>Ensure compliance with industry standards such as NIST CSF, PCI-DSS, ISO 27001, and SOC 2.</li><li>Coordinate responses to internal and external audits and liaise with key stakeholders.</li><li>Develop and deliver security policy awareness and training programs.</li><li>Assess policy compliance, track risk exposure, and support continuous compliance initiatives.</li><li>Produce management reports on security compliance and metrics for relevant committees.</li></ul>Requirements: <ul><li>Minimum 3 years of experience in information security, ideally in a public tech company or regulated industry.</li><li>Experience in developing and implementing information security policies, standards and procedures.</li><li>Familiarity with security standards such as NIST CSF, PCI-DSS, ISO 27001, and SOC2.</li><li>Strong skills in security metrics and reporting.</li><li>Ability to engage collaboratively with technical and non-technical stakeholders.</li><li>Excellent written and verbal communication skills.</li><li>Confidence in delivering awareness and training sessions.</li></ul>We're also interested in... <ul><li>A mix of consulting and industry experience in a relevant role.</li><li>Industry certification such as CISM, CRISC, CISO, or CISSP.</li></ul>Why Deliveroo? Our mission is to be the definitive food company. We are transforming the way the world eats by making food more convenient and accessible. We give people the opportunity to eat what they want, when and where they want it. We are a technology-driven company at the forefront of the most rapidly expanding industry in the world. We are still a small team, making a very large impact, seeking to answer some of the most interesting questions out there. We move fast, value autonomy and ownership, and we are always looking for new ideas. Workplace &amp; Diversity At Deliveroo we know that people are the heart of the business and we prioritise their welfare. We offer a wide range of competitive benefits in areas including health, family, finance, community, convenience, growth and relocation. We believe a great workplace is one that represents the world we live in and how beautifully diverse it can be. That means we have no judgement when it comes to any one of the things that make you who you are - your gender, race, sexuality, religion or a secret aversion to coriander. All you need is a passion for (most) food and a desire to be part of one of the fastest growing startups in an incredibly exciting space.

Security Compliance Specialist

Head of Compliance and Data Protection Officer About the FCA At the FCA, we're creating a fair and more resilient financial system. We're establishing more transparent relationships between financial services and customers, building trust in financial markets and protecting vulnerable consumers. We're currently on an exciting journey as we drive forward significant organisational, people, process, and technology transformation to become a more forward-thinking, proactive regulator. We will use data more effectively to drive better regulatory decisions and build greater cohesion across our broad financial services remit. Significant improvements in digital enablement, business intelligence, market data and information management maturity are all being pursued to maintain our position as a world leader in financial services regulation. Risk &amp; Compliance Oversight (R&amp;CO) is the FCA's second line of defence. The Division works in partnership with Senior Management, members of the Board and colleagues across the organisation, providing challenge and insight to successfully manage internal and external risks to the delivery of the FCA's strategy and business plan and, hence, its statutory and operational objectives. This is done by: <ul><li>driving practical approaches to effective risk management across the organisation</li></ul><ul><li>delivering insight that is both valued and valuable</li></ul><ul><li>providing independent challenge that supports risk-conscious, considered decision making</li></ul><ul><li>embedding risk and compliance knowledge and awareness FCA-wide</li></ul><ul><li>promoting continuous improvement through regular reflection, root case analysis, quality assurance and lessons learned reviews.</li></ul>The Role The Head of Compliance and Data Protection Officer will be responsible for leading the FCA's Compliance and Data Privacy Department, and reports to the Director of Risk, Compliance and Data Privacy. They will hold the position of Data Protection Officer (DPO) for the FCA. The DPO is a legislative requirement under the GDPR, and the role holder is responsible for a number of statutory functions. What will the candidate get from the role? <ul><li>You will join the Senior Leadership Team at the FCA during an exciting and challenging time of great change in financial services and its regulation.</li></ul><ul><li>You will lead a critical function in changing times, but in return you will experience a high-profile role and be at the centre of many significant developments at the FCA.</li></ul><ul><li>You will gain exposure to not just senior stakeholders in the FCA, but in Government and fellow regulators.</li></ul>Key responsibilities: <ul><li>Leading the Compliance function, including setting the strategic direction of the function and related standards of work, securing support from and engaging with the organisation at a senior level.</li></ul><ul><li>Leading the design and delivery of a pan-FCA compliance policy and controls testing framework, working with Policy owners at Executive and Director level as appropriate.</li></ul><ul><li>Leading and directing the operation of the Control Room on behalf of the FCA in relation to market sensitive information handling.</li></ul><ul><li>Creating a risk-based plan for an annual programme of compliance reviews.</li></ul><ul><li>Working with senior leaders and others across the business to drive continuous improvements across in the FCA in respect of enhanced compliance and professional standards.</li></ul><ul><li>Providing thought leadership in relation to a range of compliance matters across the FCA at a senior level.</li></ul><ul><li>Fulfilling the role of the FCA's Data Protection Officer, leading the FCA's data privacy team in ensuring policies, standards, processes and practices are in line with GDPR requirements and independent Information Commissioner's Office (ICO) guidance and best practice.</li></ul><ul><li>Advising the organisation at all levels about obligations to comply with UK GDPR.</li></ul><ul><li>Directing on the FCA's response to data privacy events and reporting to the ICO as required.</li></ul><ul><li>Building relationships with key stakeholders in the Data Privacy community, including regulators and other relevant government bodies</li></ul>Skills/Experience Required The FCA are a signatory to the Government's Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate's CV. For example, 'Experience of employment law' is measurable from looking at someone's CV but 'Knowledge of HR practices' is not.' Minimum <ul><li>Deep knowledge and experience of the GDPR, with direct experience of managing data protection issues and matters, in a senior DP role, ideally having previously acted as deputy DPO or DPO</li></ul><ul><li>Demonstrable experience of running compliance functions, ideally in different environments</li></ul>Essential <ul><li>Significant experience of managing and influencing key stakeholders, including senior decision makers internally and externally</li></ul><ul><li>Experienced leader, demonstrating the FCA's key behavioural and management skills to develop and enhance the excellence, capabilities, competence, and deployment of staff within the team</li></ul><ul><li>Experience in the creation and management of compliance policies and monitoring processes</li></ul>Desirable <ul><li>Detailed knowledge of compliance, ideally within a regulatory context</li></ul><ul><li>Knowledge of control room functioning</li></ul>TO APPLY The FCA has retained Gatenby Sanderson to advise on this appointment. Please apply by submitting your CV and cover letter via this link Job - GatenbySanderson The FCA's Values &amp; Diversity Our ambition is to create a diverse and inclusive workplace that reflects the society we serve, helping us to be a better regulator. We serve the public and our decisions directly affect the wellbeing of people, businesses and the UK economy. So, our values matter. They represent the culture we aspire to every day, guiding our judgements, building trust and helping us to be 'At our best'. The FCA is committed to achieving greater diversity across all levels of our organisation. Given this, we particularly welcome applications from women, disabled, and minority ethnic candidates, as under-represented groups. As an inclusive employer, we are open to considering flexible working arrangements, including job shares. Please inform your recruiter if you wish to apply for this role on a flexible basis. As part of the FCA's on-going commitment to develop our national presence, most of our vacancies are now open to working in our Edinburgh, Leeds or London offices. This means that as part of the application process you will be able to select your preference of which office location you would like to work from. Application Support We want to remove any possible barriers and are committed to providing a wide range of reasonable adjustments so that you can keep the focus on your conversations and be at your best. If you have an accessibility requirement, disability, or condition that means you might require changes to the recruitment process, please contact your recruiter to discuss this further. Our aim is to make you application as easy as possible, and your recruiter will be happy to work with you to make any necessary arrangements where possible. Benefits Our competitive benefits scheme gives you the opportunity to create a personalised benefits package, tailored to suit your lifecycle. You can this this allowance to purchase additional benefits such as dental or cycle to work, or you have the option to top up your base salary by taking this as cash. Core benefits that you will receive as standard are: <ul><li>30 days holiday per year plus bank holidays</li></ul><ul><li>Private healthcare with Bupa</li></ul><ul><li>A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age- up to 12% a month once you reach age 35)</li></ul><ul><li>Life assurance of eight times your basic salary</li></ul><ul><li>Income protection</li></ul>Conflicts of interest All applicants to the FCA are required to demonstrate that they do not have other interests likely to conflict with their responsibilities as an employee of the FCA. You should declare any potential conflict of interest as early as possible in the selection process, and also disclose information or personal connections that, if appointed, might be open to misperception. Any potential conflicts of interest will not prevent candidates going forward to interview but may, if appropriate, be explored during the interview to establish how the candidate would address the issue(s) should they be successful in their application. Useful information <ul><li>The close date for this role is 23:55 on Tuesday 6 May 2025</li></ul><ul><li>This role can be London, Edinburgh or Leeds based.</li></ul><ul><li>Salary range- London £135K to £180K, and National £122K to £162K.</li></ul><ul><li>If successful, you will be required to obtain and retain SC Clearance.</li></ul><ul><li>We operate a hybrid working policy with an expectation all colleagues are in the office a minimum of 40% of their time. We expect senior leaders to spend a minimum of 50% of their working time each month in the office.</li></ul>TO APPLY The FCA has retained Gatenby Sanderson to advise on this appointment. Please apply by submitting your CV and cover letter via this link Job - GatenbySanderson For an informal confidential discussion please contact: Laura Turley: <a href="mailto:laura.turley@gatenbysanderrson.com" target="_blank">laura.turley@gatenbysanderrson.com</a> or Rosanne Sarratt: <a href="mailto:rosanne.sarratt@gatenbysanderson.com" target="_blank">rosanne.sarratt@gatenbysanderson.com</a>

Head of Compliance and Data Protection Officer

Expedia Group brands power global travel for everyone, everywhere. We design cutting-edge tech to make travel smoother and more memorable, and we create groundbreaking solutions for our partners. Our diverse, vibrant, and welcoming community is essential in driving our success. Why Join Us? To shape the future of travel, people must come first. Guided by our Values and Leadership Agreements, we foster an open culture where everyone belongs, differences are celebrated and know that when one of us wins, we all win. We provide a full benefits package, including exciting travel perks, generous time-off, parental leave, a global hybrid work setup (with some pretty cool offices), and career development resources, all to fuel our employees' passion for travel and ensure a rewarding career journey. We're building a more open world. Join us. Manager Compliance/Risk Management Introduction to the Team The Compliance &amp; Risk Management Team plays a critical role by partnering with the business to provide oversight and guidance on compliance matters, particularly related to SOX (Sarbanes-Oxley) controls. This team is also a trusted advisor to the business and are engaged in key strategic projects to advise on controls and process improvements to reduce our overall risk posture. The Manager Compliance/Risk Management role sits withing the Finance organization, bringing a strategic mindset, a deep understanding of risk management frameworks, and the ability to influence stakeholders across the organization. In this role, you will lead a team to: <ul><li>Internal Controls &amp; Process Improvement: Evaluate the effectiveness of existing internal controls, recommend enhancements, and support process owners in implementing best practices.</li><li>Audit &amp; Regulatory Support: Serve as a liaison between business units, internal auditors, and external auditors to facilitate audits, address findings, and ensure timely remediation of identified gaps.</li><li>Business Partnership: Collaborate closely with business leaders and operational teams to integrate compliance controls into business processes. Provide guidance on control design and process improvements.</li><li>Training &amp; Awareness: Conduct training and awareness programs to educate employees on compliance requirements, SOX controls, and risk management strategies</li></ul>Experience and Qualifications: <ul><li>You have a bachelor's degree in finance, Accounting, Business Administration, or a related field (CIA, CPA, CISA, OSCP, CCSK, CISM, CISSP, CDPSE, IAPP, CRISC or similar)</li><li>Preferred: You have 5+ years' experience with 1-3+ years people management experience </li><li>You have experience in understanding, developing, interpreting process models, flowcharts, and narratives.</li><li>You can demonstrate a deep understanding of the financial, operational, and technical impact of decisions/solutions to drive projects and analyses that support the organization's mission.</li><li>You can operate as a subject matter expert to advise business leadership on development of mitigation and compliance strategies to meet regulatory requirements</li></ul>#LI-BB1 Accommodation requests If you need assistance with any part of the application or recruiting process due to a disability, or other physical or mental health conditions, please reach out to our Recruiting Accommodations Team through the Accommodation Request. We are proud to be named as a Best Place to Work on Glassdoor in 2024 and be recognized for award-winning culture by organizations like Forbes, TIME, Disability:IN, and others. Expedia Group's family of brands includes: Brand Expedia®, Hotels.com®, Expedia® Partner Solutions, Vrbo®, trivago®, Orbitz®, Travelocity®, Hotwire®, Wotif®, ebookers®, CheapTickets®, Expedia Group™ Media Solutions, Expedia Local Expert®, CarRentals.com™, and Expedia Cruises™. © 2024 Expedia, Inc. All rights reserved. Trademarks and logos are the property of their respective owners. CST: 2029030-50 Employment opportunities and job offers at Expedia Group will always come from Expedia Group's Talent Acquisition and hiring teams. Never provide sensitive, personal information to someone unless you're confident who the recipient is. Expedia Group does not extend job offers via email or any other messaging tools to individuals with whom we have not made prior contact. Our email domain is @expediagroup.com. The official website to find and apply for job openings at Expedia Group is careers.expediagroup.com/jobs. Expedia is committed to creating an inclusive work environment with a diverse workforce. All qualified applicants will receive consideration for employment without regard to race, religion, gender, sexual orientation, national origin, disability or age.

Manager, Compliance & Risk Management

A GLOBAL FIRM WITH A DIVERSE &amp; INCLUSIVE CULTURE At PGIM, we care about our employees, and we are committed to seeing them succeed. We provide our employees with access to professional development and support to help drive their success and ability to innovate. WHY YOU WANT TO JOIN US <ul><li>We are one of the largest Real Estate asset managers in the world with $212 billion Assets under Management and Administration (as of Sep 30, 2024). </li><li>We live an open, appreciative, inclusive corporate culture. This is reflected in the seniority of our team. </li><li>We're not just talking about family friendliness. The majority of our employees have families; we enable flexible working hours. </li><li>We offer a professional and team-oriented work environment. We have very well-trained, ambitious colleagues who are convinced that together as a team we can achieve our goals better. </li><li>We care about our employees, and we are committed to seeing them succeed. We provide our employees with access to professional development and support to help drive their success and ability to innovate.</li></ul>WHAT YOU WILL DO PGIM Real Estate's Operational Risk Management team is responsible for assessing and monitoring risks to PGIM Real Estate's global business operations and for recommending and implementing risk controls that mitigate those risks. The team supports PGIM Real Estate's strategic business objectives by developing and maintaining effective and efficient risk management programs. This position will be responsible for executing on risk strategies related to PGIM Real Estate's business operations in the Asia Pacific region. She/he will ensure that business and operational risks, when weighed against business opportunities, are well managed and acceptable. The successful candidate will be based in London, where they will contribute to managing and overseeing operational risk strategies. The role will require regular quarterly travel to Singapore and occasional travel to the other Asia Pacific offices. The role reports to Vice President, Operational Risk Management for Europe and Asia Pacific. The Operational Risk team is a global team that regularly interacts with members in all regions. WHAT YOU CAN EXPECT The Operational Risk Manager will work across a broad network of stakeholders, including PGIM's investment and corporate functions, as well as regional leadership to support business processes by reviewing, monitoring, and assessing the control environment for new and established products and activities. A strong risk management framework is already in place therefore, your main tasks will be to: <ul><li>Work with the Operational Risk Management team and business management to proactively identify and evaluate operational business risks and trends, and develop processes that help mitigate risk, ensure compliance, and protect PGIM Real Estate's brand</li><li>Monitor, analyze and communicate emerging risks and trends</li><li>Role will include execution of all operational risk programs, including but not limited to privacy, third party diligence, end user computing solutions, new product approval, review of third parties with support from an external consulting firm (e.g. property manager review, joint venture partner review), records management, information security.</li><li>Assist management with all aspects of the operational audit process, including preparing and organizing Risk and Control Self Assessments, documenting key risks and controls, developing action plans and providing effective challenge to the adequacy of controls </li><li>Identify, research, evaluate, and/or resolve risk issues impacting the business, including conducting control reviews or gap analyses for existing processes, as needed</li><li>Establish and maintain relationships with PGIM and PGIM Real Estate Business and Functional Leaders, as well as the larger Risk Management community, Internal Audit, Legal, Compliance, Operations, and Finance staff</li><li>Analyze and report operational risk events, identifying root causes of control breakdowns, developing remediation plans, performing scenario analysis reviews</li><li>Identify and ensure key risk indicators are developed and reported appropriately</li><li>Partner with the global Operational Risk Management team as a risk advisor for developing issues, new projects, and existing control gaps in the business</li><li>Serve as a liaison between the Business and Internal Audit for engagements, and track the resulting issues and action plans until effective closure</li><li>Provide guidance to outsourced service providers and property managers on operational risk topics as appropriate to ensure adherence to PGIM Real Estate's standards</li><li>At the local entity level, maintain oversight of the entity's compliance with local regulations, including Singapore PDPA (as Data Officer) and MAS Outsourcing Guidelines </li><li>Where required, assist with various ad-hoc initiatives and projects taking place across the broader business</li><li>Prepare regular risk reports for senior management and local Boards</li><li>Collaboration with the global Operational Risk Management team across multiple time zones, with the team being based in the US, LatAm and Europe.</li><li>Regular travel to Singapore and occasional travel to other Asia Pacific offices if deemed necessary</li><li>Certain meetings may be scheduled to align with the Asia Pacific region's time zones</li></ul>WHAT YOU WILL BRING <ul><li>Experience covering APAC region highly desirable</li><li>Minimum Bachelor's degree from a Business School or University preferably with a specialization in Risk, Finance, Accounting, or Economics </li><li>5 to 7 years of related work experience in risk management, audit or similar function within the institutional asset management business. </li><li>Real estate investments experience is strongly preferred. </li><li>Understands both the private and public asset classes</li><li>Experience with operational process and internal control design in an investment company</li><li>Relevant business experience in Risk Management and/or Financial Services with a proven track record influencing processes and controls.</li><li>Working knowledge of Privacy and other regulatory requirements</li><li>Project management experience</li><li>Strong analytical skills including the ability to think critically and logically; creative problem solving and excellent decision-making skills. </li><li>Attention to detail, yet able to summarize and communicate complex issues effectively</li><li>Excellent communication skills, both spoken and written, with a proven ability to produce, review and edit written documentation </li><li>Team-oriented, with a high degree of integrity and professionalism</li><li>Strong MS Office Word, Excel, PowerPoint skills required </li><li>Clear and strong English verbal and written communication skills required </li></ul>WHAT WILL SET YOU APART <ul><li>Prior experience in real estate investment management</li><li>Experience in working in an international and multicultural environment / have a global mindset</li><li>Good knowledge of the local regulatory requirements (e.g. PDPA, MAS Outsourcing) </li></ul>About PGIM Real Estate PGIM Real Estate is one of the largest Real Estate managers in the world and one of the nation's largest full-service commercial, multi-family and agricultural real estate lenders and has been serving the commercial real estate market for over 125 years. We cover RE Debt, Equity, Agriculture, Public REIT securities, Defined Contribution, Private Equity, Impact Investing, Senior Housing and Mexico Industrial. PGIM Real Estate strives to deliver exceptional outcomes for investors and borrowers through a range of real estate equity and debt solutions across the risk-return spectrum. Our scope of insights, rigorous risk management and seamless execution are backed by a 50-year legacy of investing in commercial real estate, a 140-year history of real estate financing and the deep local expertise of professionals in 32 cities globally. Through our investment, financing, asset management and talent management approach, we engage in practices that ignite positive environmental and social impact, while pursuing activities that strengthen communities around the world. When you join our team, you'll find yourself inspired by an inclusive company culture that believes that diversity of all kinds allows us to develop better and more innovative solutions for our client. About PGIM - Global Asset Management PGIM is the global asset management business of Prudential Financial, Inc. (NYSE: PRU), a leading global investment manager with US$1.38 trillion in assets under management as of 31st December 2024. With offices in 18 countries, PGIM's businesses offer a range of investment solutions for retail and institutional investors around the world across a broad range of asset classes, including public fixed income, private fixed income, fundamental equity, quantitative equity, real estate and alternatives. With a history dating back almost 145 years, and experience through more than 30 market cycles, PGIM takes a long-term view, not only in our investment philosophy, but also in how we develop our talent. We want to see our employees excel from their first day with the firm and throughout their tenure with PGIM. We will inspire you, support you, and help you reach your greatest personal and professional aspirations. If PGIM sounds like the place for you, join us. For more information about PGIM, visit PGIM.com. Our Commitment to Diversity, Equity, and Inclusion PGIM has a long-held commitment to advancing diversity, equity, and inclusion, rooted in the belief that this is a prerequisite for PGIM's success and sustainability. We work to attract, retain, develop, and promote talent at all levels and aim to have a workforce that reflects the communities where we work, live, and invest. We are intentional about creating a workplace where everyone has a voice and is welcomed, valued, respected, and understood. From the moment people join PGIM, we pledge to help them unlock their full potential. Together, we are shaping a future where talent knows no boundaries. Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom. Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services, some of which may not be available in your area. We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit <a href="http://www.prudential.com" target="_blank">www.prudential.com</a> to learn more about our values, our history and our brand. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.

Operational Risk Manager APAC (UK Based)

The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy &amp; Commodities broker in the world, the world's leading provider of OTC data, and an award winning all-to-all trading platform. Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 people strong. We work as one to achieve our vision of being the world's most trusted, innovative, liquidity and data solutions specialist. Role Overview The Compliance Manager, Energy &amp; Commodities, is primarily responsible for the provision of robust, timely and pragmatic compliance advice and guidance to the Energy &amp; Commodities broking business based in London. This is a critical role for ensuring regulatory adherence and providing pragmatic, timely, and commercially aware compliance advice to brokers, desk heads, and senior leadership across our ICAP, Tullett Prebon, and PVM brands. The ideal candidate will possess deep expertise in commodity markets and the regulatory frameworks that govern them, coupled with strong stakeholder management skills. They must be comfortable interpreting complex information, making decisions under uncertainty, and delivering clear guidance to a diverse range of stakeholders. Role Responsibilities <ul><li>Act as the senior point of contact on the broking floor for compliance questions from the Energy &amp; Commodities business.</li><li>Act as the primary compliance liaison for relevant exchanges, handling queries and regulatory requests.</li><li>Lead and oversee delivery of compliance projects such as thematic and desk reviews.</li><li>Lead investigations into suspected breaches of internal policies or regulatory requirements.</li><li>Contribute to the broader leadership of the Energy &amp; Commodities Compliance team.</li><li>Provide development support and technical advice to compliance officers and associates in the Energy &amp; Commodities Compliance team.</li><li>Identify upstream regulatory risks and help shape proactive compliance strategies.</li><li>Develop and maintain relationships with broking staff and other internal stakeholders.</li><li>Communicate key compliance messages in a concise, impactful manner.</li></ul>Experience / Competences Essential <ul><li>Proven understanding of energy and commodities markets and their global regulatory landscape.</li><li>Significant experience of working in compliance advisory or a similar function.</li><li>Solid relationship management skills.</li><li>Not afraid to challenge stakeholders and provide robust compliance oversight.</li><li>Agile and effective communication skills, including an ability to communicate technical subject matter to non-expert audiences and to flex communication and engagement style to a variety of different situations.</li><li>Ability to translate complex regulatory information into clear, actionable guidance.</li><li>Ability to manage projects and meet deadlines across a diverse and challenging pool of work.</li><li>Proven problem-solving skills with the ability to assess risks and develop practical solutions.</li><li>Comfortable working in high-pressure environments with shifting priorities.</li></ul>Desired <ul><li>Understanding of global regulatory regimes (e.g., FCA, ESMA, CFTC, ICE, CME, etc.).</li><li>Prior experience in a brokerage, trading firm, or financial services institution would be advantageous.</li><li>Identifies opportunities for process improvement and regulatory innovation.</li></ul>Job Band &amp; Level <ul><li>Manager / 6</li></ul>#LI-MID #LI-Hybrid Not The Perfect Fit? Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us. Company Statement We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement. Location UK - 3rd Floor Verde Building

Compliance Manager - Energy & Commodities

Keen to become part of a truly global, collaborative team of professionals? Your journey begins here. Job Title Junior Compliance Analyst Department New Business Conflicts and Compliance Office Location London Reports To Compliance Supervisor Working Hours 35 hours per week, 9:30am to 5:30pm but additional hours may be required. We are happy to consider agile and flexible working patterns. Our approach to hybrid working allows for up to 40% of time working from home and 60% working in the office, please contact a member of the recruitment team to discuss further. Firm Description Hogan Lovells is one of the leading global law firms. Our distinctive market position is founded on our exceptional breadth of our practice, on deep industry knowledge, and on our 'one team' global approach. Formed through the combination of two top international law firms, Hogan Lovells has over 40 offices in the Americas, Asia-Pacific, Europe, the Middle East and Africa. With a presence in the world's major financial and commercial markets, we are well placed to provide excellent business-oriented advice to our clients locally and internationally. Our people are the key to our success, which is why we seek to recruit and retain the most talented individuals in all regions of our global practice. Role Overview The role of a Junior Compliance Analyst is primarily to conduct CDD on new clients and ensure that the relevant AML policies and procedures to which the firm adheres to are fulfilled at all times. A Junior Compliance Analyst will also be required to conducting ongoing monitoring on existing clients of the firm and assist with monitoring the mailbox on an ad hoc basis. Key Responsibilities / Accountabilities Client Research <ul><li>Review New Business Intake forms submitted by the International LLP.</li><li>Ensure CDD has been gathered to the appropriate standard for all new client registrations, including those clients for whom enhanced due diligence is required.</li><li>Conduct a degree of personal research from public sources including: <ul><li>Familiarisation with a wide array of potential sources such as company registries, stock exchange websites, financial and legal regulators' websites, company search providers and external databases.</li></ul></li><li>Liaise with legal staff, support staff and research teams to obtain any outstanding CDD information.</li><li>Liaise with Hogan Lovells support departments, notably the Finance, Research, Conflicts and also Personal Assistants.</li><li>Where appropriate and where asked to, liaise directly with the firm's clients regarding CDD requirements.</li><li>Document the evidence obtained during the CDD process in a clear and concise manner.</li><li>Conduct risk rating reviews on clients taking into account the information gathered during the CDD process including research relating to ongoing investigations (adverse press) against certain clients and determining whether a risk level of a client may be lowered or should be raised.</li><li>Utilise external subscription databases to screen clients, their directors and shareholders in order to identify PEPs, influential persons, presence on Sanctions lists, criminal activity and adverse press. Escalate these issues where appropriate.</li><li>Investigate co-client related party checks to ensure that new matters for existing clients are registered correctly and gather CDD for those related parties when necessary.</li><li>Obtain verify and record clients EC VAT numbers when necessary.</li><li>Review adverse press generated on the firm's existing clients. Discount false positive hits or escalate serious hits to the firm's General Counsel's Office and the relevant fee earner.</li><li>Ability to work independently with assistance required from senior team members only in rare cases.</li></ul>Reports and Database Administration <ul><li>Ensure that CDD is updated to the appropriate standard, including an enhanced level of due diligence where required.</li><li>Update and maintain 3E, including client names and addresses.</li><li>Assist in maintaining the firm's PEP databases.</li></ul>Advisory and Projects <ul><li>Provide advice and guidance to partners, fee-earners and support staff in relation to the requirements of Compliance legislation and the interpretation and application of the firm's AML/CDD policy.</li><li>Participate in administrative projects under the supervision of more senior team members.</li><li>Prepare and deliver presentations to the wider Compliance Team on a variety of topics under the supervision of more senior team members.</li></ul>Specific duties or responsibilities may be reviewed from time to time to reflect changes in personnel and management structure, staff location or services. All members of the firm participate in our Responsible Business program. Person Specification Qualifications, Skills and Experience Desired Qualification and Experience <ul><li>Previous work experience, including any part time work.</li><li>Compliance/AML experience</li><li>Bachelor's degree, LLB or equivalent</li></ul>Skills <ul><li>Microsoft Office.</li><li>Knowledge of a centralised/ shared services environment.</li><li>Excellent oral and written communication skills.</li><li>Strong organisational, administrative and time management skills.</li><li>Commercial awareness.</li></ul>General Attributes <ul><li>Ability to handle queries efficiently with diplomacy and tact.</li><li>Ability to follow instructions precisely.</li><li>Adapting and responding to change.</li><li>Strong work ethic with an inherent sense of urgency.</li><li>Delivering results and meeting business expectations.</li><li>Working with others.</li><li>Delivering through others.</li><li>Must be able to handle pressure, setbacks and a high level of stress.</li><li>Must be able to communicate proficiently with global stakeholders, including colleagues based in international offices.</li><li>Must be able to work to deadlines.</li><li>Must be able to maintain strict adherence to confidentiality policies.</li><li>Must have clear criminal and credit records.</li></ul>Agile Working Statement Our goal is to embed flexibility across our business by giving everyone the opportunity to work in an agile way, whether as a regular pattern or on an ad hoc basis, and we will be happy to discuss this further. Equal Opportunities Employment Statement It is the policy of Hogan Lovells to provide equal opportunities for all employees in relation to recruitment, training and promotion. Decisions in these areas will be made only by reference to the requirements of the job and shall not be influenced by any consideration of racial or ethnic origin, religion, sex , gender and gender identity, age, sexual orientation, marital and civil partnership status, pregnancy or disability.

Junior Compliance Analyst

Job Summary To support the Head of Compliance in ensuring the Bank adheres to its regulatory responsibilities by providing appropriate compliance advice and oversight over the Bank's operational environment. This will be provided through advisory support and compliance monitoring reviews. Key responsibilities The role holder will be part of a wider Compliance Team who, working closely with other Risk teams form part of the Bank's second line of defence (2LOD). Specific duties may differ between individual Compliance Officers to support team and business needs as agreed with the Head of Compliance and Compliance Manager; however, duties may include: Compliance Framework/Strategy: Provide input and recommendations to the Head of Compliance, or Compliance Manager in relation to the compliance strategy, compliance framework and monitoring plan for the Bank, including in relation to key risks and future potential challenges. Collation and validation of MI to inform compliance reporting to Bank committees and senior management in relation to regulatory risk. Represent the Compliance Team to deliver information as required to key stakeholders by standing in as compliance representation in committees directed by the Compliance Manager or the Head of Compliance. Support in the collation and validation of information to report to the Regulator, such as regulatory reporting and/or information requests. Advisory/Project Support: Demonstrate good knowledge of relevant regulations, handbooks, sourcebooks, and industry best practice as is applicable to the business model of the Bank including but not limited to PRA, FCA (including but not limited to PRIN, SYSC, MCOB, BCOBs, DISP, T&amp;C, TCF and Consumer Duty, SMCR and Conduct Risk), Financial Crime and GDPR. Provide Compliance SME (subject matter expert) support to projects across the Bank with a regulatory impact, providing appropriate regulatory guidance and challenge as appropriate. <ul><li>Review, investigate and provide support and guidance on referrals to the Compliance Team such as in relation to financial promotions, customer communications and dependent upon role, PEP escalations, Conflicts of Interest, Gifts and Entertainment and Suspicious Activity Reports.</li><li>Undertake horizon scanning of new regulatory impacts on the Bank, reporting MI as required. Liaising with affected business areas as required to ensure key changes and risks are understood and mitigated.</li><li>Creation and ongoing maintenance of Regulatory Policies and departmental procedures, to ensure they are up to date, reflect current regulatory expectations and are easily understandable for all colleagues across the Bank.</li><li>Deliver ad-hoc, bespoke and ongoing training to ensure employees have a sound understanding of their regulatory responsibilities. This includes reviewing mandatory regulatory training modules.</li><li>Assist in the investigation of incidents/breaches. Providing advice and guidance to relevant business areas as to the regulatory impact and challenging steps to be taken to mitigate the risks to ensure they are appropriate. </li></ul>Assurance/Compliance Monitoring: <ul><li>Undertake compliance monitoring reviews (including sample checking and/or Thematic Reviews) to obtain assurance as to the Bank's adherence to regulatory requirements in accordance with the agreed Compliance Monitoring Plan and following the Bank's Compliance Monitoring Methodology. This includes ensuring regulatory compliance and delivery of good customer outcomes or areas of foreseeable customer harm are identified and clearly reported.</li><li>Identification of actual and potential compliance risks or breaches that could crystallise across the Bank, reporting via Incident Management process where required.</li><li>Follow up, track and report progress undertaken by fist line (1LOD) in respect of compliance monitoring and audit remedial actions.</li></ul>Financial Crime: <ul><li>Assist in ensuring the Bank remains fully compliant in discharging its AML obligations and to identify any instances of financial crime, fraud, bribery and corruption, or conflicts of interest. </li><li>Advise the business on proposed activities and the regulatory impact from a financial crime perspective, liaising with the DMLRO, to escalate issues identified.</li></ul>Any other duties commensurate with the grade and level of responsibility of this post, for which the post holder has the necessary experience and/or training. Skills required <ul><li>Advanced understanding of home purchase plan products (inc. Secured financing), and unregulated home finance business.</li><li>Risk awareness of issues identified for escalation, proposing resolutions.</li><li>Regulatory standards awareness</li><li>Stakeholder management, fostering a good working relationship with compliance colleagues across multiple sites.</li><li>Strong business report writing and presentation skills.</li><li>Strong organisational skills.</li><li>Strong influencing skills (negotiation, persuasion, leadership).</li><li>GCSE English and Maths (or equivalent).</li></ul>Beneficial skills and qualifications <ul><li>Understanding of Shariah Banking.</li><li>ICA (or equivalent) qualification in Compliance, Risk and/or Governance, or working towards.</li><li>Certificate in Mortgage Advice and Practice (CeMap) or working towards.</li></ul>Application To apply, please send your CV to <a href="mailto:careers@gatehousebank.com" target="_blank">careers@gatehousebank.com</a> Back to careers

Compliance Officer FTC 6 months

Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent. Headquartered in London, we manage $172.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at <a href="http://www.man.com" target="_blank">www.man.com</a> * As at 31 March 2025 This role sits in the Distribution Compliance team and is responsible for compliance oversight of the Group's operations with a focus on financial promotions compliance and related advisory tasks in respect of the distribution of financial products and services on a cross-border basis. Responsibilities: <ul><li>Review marketing and advertising literature, for example: adverts, social media posts, factsheets, presentations and press releases for audiences in the UK and multiple overseas jurisdictions including EMEA, LATAM, and APAC in alignment with applicable regulation such as MiFID, FCA COBS 4, CBDF, SDR/SFDR and Anti-greenwashing.</li><li>Provide constructive and accurate feedback, ensuring that required amendments are made.</li><li>Provide guidance and mentoring to less experienced colleagues, deputising for the team manager as needed.</li><li>Maintain close working relationships with Investment Services, Marketing, Communications and other stakeholders, offering pro-active, accurate and timely advice and support.</li><li>Provide training to business teams on marketing compliance regulation and industry best practices.</li><li>Work closely with US Compliance colleagues on approval of materials intended for a Rest of World ("RoW") and US audience and in respect of systems and controls and consistency of standards.</li><li>Contribute expertise towards projects and initiatives that require Marketing Compliance input.</li></ul>Technical Competencies <ul><li>Proven experience reviewing Financial Promotions the marketing and sale of investment products and services more widely</li><li>Good understanding of financial products and global regulation relating to financial services</li><li>Ability to operate at all levels within the Firm and wider industry groups</li><li>Self-motivated mindset with strong organisational and communication skills and a pragmatic, solutions-oriented approach</li><li>Knowledge and familiarity with Outlook, Word, Excel and common financial services systems</li></ul>Our Culture, Values and Benefits at Man Man Group is proud to provide the best working environment possible for all of its employees, and we are committed to equal opportunities. At Man Group we believe that a diverse workforce is a critical factor in the success of our business and this is embedded in our culture and values. There are a number of external and internal initiatives, partnerships and programmes that help us to attract and develop talent from diverse backgrounds and that encourage inclusion and diversity across our firm and the industry. Man Group is a Signatory of the Women in Finance Charter and the Race at Work Charter. Man Group supports many charities, and global initiatives. We support professional training and development, and requests for flexible or part-time working. Employees are also offered two 'Mankind' days of paid leave per year as part of the Man Charitable Trust's community volunteering programme. We offer comprehensive, firm-wide employee benefits including competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Additional benefits are tailored to local markets and may include private medical coverage, discounted gym membership and wellbeing programmes. Man Group is a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact <a href="mailto:Peopleoperations@man.com" target="_blank">Peopleoperations@man.com</a>. Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent. Headquartered in London, we manage $168.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at <a href="http://www.man.com" target="_blank">www.man.com</a> * As at 31 Dec 2024

Marketing & Distribution Compliance Officer

About Lendable Lendable is on a mission to make consumer finance amazing: faster, cheaper, and friendlier. We're building one of the world's leading fintech companies and are off to a strong start: <ul><li>One of the UK's newest unicorns with a team of just over 500 people</li><li>Among the fastest-growing tech companies in the UK</li><li>Profitable since 2017</li><li>Backed by top investors including Balderton Capital and Goldman Sachs</li><li>Loved by customers with the best reviews in the market (4.9 across 10,000s of reviews on Trustpilot)</li></ul>So far, we've rebuilt the Big Three consumer finance products from scratch: loans, credit cards and car finance. We get money into our customers' hands in minutes instead of days. We're growing fast, and there's a lot more to do: we're going after the two biggest Western markets (UK and US) where trillions worth of financial products are held by big banks with dated systems and painful processes. Join us if you want to <ol><li>Take ownership across a broad remit. You are trusted to make decisions that drive a material impact on the direction and success of Lendable from day 1</li><li>Work in small teams of exceptional people, who are relentlessly resourceful to solve problems and find smarter solutions than the status quo</li><li>Build the best technology in-house, using new data sources, machine learning and AI to make machines do the heavy lifting</li></ol> About the role We're on the hunt for a Senior Compliance Monitoring Officer to help take our compliance efforts for our UK business activities to the next level! In this dynamic role, you'll lead thematic reviews and conduct ongoing monitoring activities, working closely with our Compliance team to deliver impactful insights and guidance, and support the delivery of great customer outcomes. Your mission? Support with shaping and executing our compliance monitoring programme and while conducting thorough reviews, analyse data, and deliver high quality reports that keep us ahead of the curve. As a key player in the team, you'll not only support and mentor our Compliance Monitoring Officers but also bring fresh ideas to the table and tackle compliance challenges with confidence. If you're passionate about making compliance proactive, precise, and impactful, this is your chance to make a real difference! What you'll be doing <ul><li>Identify and document potential compliance risks and gaps, and provide recommendations for improvement</li><li>Prepare and present comprehensive compliance reports for senior management, outlining findings, recommendations, and remedial actions</li><li>Maintain accurate records and documentation of compliance monitoring activities, including test results, actions taken, and follow-up activities</li><li>Collaborate with relevant teams, such as product development, customer experience, and operations, to implement enhancements that drive better customer outcomes</li><li>Investigate and escalate potential compliance matters, suspicious activityties, or unusual patterns to the appropriate internal colleagues</li><li>Perform additional second-line assurance activity for the Quality Assurance team and other first line functions by reviewing and validating the effectiveness of their activities. Risk Governance and Compliance Management</li><li>Support with risk assessments to identify and mitigate compliance risks related to the firm's activities Regulatory Compliance</li><li>Stay up-to-date with relevant laws, regulations, regulatory updates, industry best practices and news sources pertaining to financial services to identify potential impacts on compliance requirements</li><li>Collaborate with the Legal team and all other key business areasrelevant teams to ensure compliance programs align with regulatory requirements</li></ul>Your experience <ul><li>Minimum of 2-3 years of recent experience in a compliance monitoring or similar role (e.g. risk, audit or other assurance role), ideally within the consumer credit industry.</li><li>Knowledge of financial services regulations and compliance requirements, such as AML, KYC, UK GDPR, DISP, CONC, Consumer Duty etc.</li><li>Demonstrated experience in conducting end-to-end compliance monitoring reviews from setting the terms of reference, testing activities, stakeholder engagement and issuing final reports.</li></ul>Desirables <ul><li>Experience in ongoing testing and review activity e.g. case file reviews, end-to-end customer journey testing, and control testing.</li><li>Understanding of risk management practices and methodologies and using this information to inform compliance monitoring activities.</li><li>Experience in providing guidance and support to colleagues and developing team skills.</li></ul>What you'll need to succeed <ul><li>Excellent communication skills, both written and verbal, to effectively convey complex information and interact with stakeholders at all levels.</li><li>Strong attention to detail to ensure accuracy and precision in compliance monitoring activities.</li><li>Analytical mindset with the ability to interpret data, identify patterns, and draw meaningful insights to support compliance efforts.</li><li>Strong problem-solving skills to proactively identify compliance risks, propose solutions, and implement effective controls.</li><li>Strong organisational skills and the ability to manage multiple tasks, prioritise work, and meet deadlines in a fast-paced environment.</li><li>Collaborative and team-oriented approach with the ability to work effectively with cross-functional teams and build positive working relationships.</li><li>Proactive and self-motivated attitude with a continuous improvement mindset to enhance the efficiency and effectiveness of compliance monitoring processes.</li><li>Resilience and adaptability to navigate through challenges, embrace change, and thrive in a dynamic regulatory environment.</li><li>Strong commitment to professional development.</li><li>High ethical standards, integrity, and the ability to handle sensitive and confidential information appropriately.</li></ul>Life at Lendable <ul><li>The opportunity to scale up one of the world's most successful fintech companies.</li><li>Best-in-class compensation, including equity.</li><li>You can work from home every Monday and Friday if you wish - on the other days, those based in the UK come together IRL at our Shoreditch office in London to be together, build and exchange ideas.</li><li>Enjoy a fully stocked kitchen with everything you need to whip up breakfast, lunch, snacks, and drinks in the office every Tuesday-Thursday.</li><li>We care for our Lendies' well-being both physically and mentally, so we offer coverage when it comes to private health insurance</li><li>We're an equal-opportunity employer and are looking to make Lendable the most inclusive and open workspace in London</li></ul>Check out our blog!

Senior Compliance Monitoring Officer

Vacancy Name Junior Governance, Risk and Compliance Analyst Employment Type Permanent Location UK - London Office Job Details Summary Reporting to the Governance, Risk &amp; Compliance Manager, the Junior GRC Analyst will support various Governance, Risk, and Compliance activities, helping to strengthen the security culture within the organisation. The role would suit a career driven individual with a passion to develop their own skills and knowledge in GRC and Information security for this challenging but highly rewarding position. About Smart Communications Smart Communications is a leading technology company focused on helping businesses engage in more meaningful customer conversations. Its Conversation Cloud™ platform uniquely delivers personalized, omnichannel conversations across the entire customer experience, empowering companies to succeed in today's digital-focused, customer-driven world while also simplifying processes and operating more efficiently. Smart Communications is headquartered in the UK and serves more than 650 customers from offices located across North America, Europe, and Asia Pacific. Smart Communications' Conversation Cloud platform includes the enterprise-scale customer communications management (CCM) power of SmartCOMMTM, forms transformation capabilities made possible by SmartIQTM and the trade documentation expertise of SmartDXTM. In 2021, the company acquired Assentis, a leading European software solutions provider specializing in customer communications management (CCM) with a focus on the financial services industry. To learn more, visit smartcommunications.com. The responsibilities of the role include:<ul><li>Assisting in the creation and maintenance of policies, standards, and guidelines related to Information Security. </li><li>Supporting the third-party security risk management process by reviewing vendor security measures. </li><li>Assisting with internal audits to check compliance with security policies and tracking corrective actions. </li><li>Supporting risk assessments and security audits under guidance from senior team members. </li><li>Assisting in projects and supplier/customer onboarding, ensuring security requirements are considered in contracts. </li><li>Preparing reports on operations, security and compliance status across the business. </li><li>Completing security questionnaires and Requests for Proposals (RFPs). </li><li>Working closely with project teams to ensure that new initiatives align with compliance requirements.</li></ul>What we're looking for: Must have skills/experience:<ul><li>University graduate with a degree in Information Systems, Computer Science, Cybersecurity, or a related field.</li><li>Basic understanding of ISO27001, PCI DSS</li><li>Awareness of compliance regulations such as DPA (Data Protection Act) and GDPR. </li><li>Understanding of cloud environments (AWS, Azure). </li></ul>Desirable Skills/Knowledge:<ul><li>Any relevant GRC or Information / Cyber certifications (e.g.CompTIA Security+).</li><li>Exposure to internal audit processes.</li><li>Familiarity with ITIL or similar frameworks</li></ul>We look for the following SMART values in everyone we hire at Smart Communications:<ul><li>peak Openly - We are positive, creative, helpful, kind and we have fun. We listen and provide constructive feedback. Through meaningful conversations we encourage each other to be the best that we can be. We're not complainers we're problem solvers.</li><li>Make a Difference - We focus on the things that matter and prioritize the things that have the greatest impact. We celebrate success and hold ourselves accountable for our choices. We don't sit on the sidelines.</li><li>Agile &amp; Flexible - We are focused on evolving, improving and growing. We think differently and challenge the status quo with open minds. We ask 'why?' so that we can help remove complexity. We don't allow hurdles to get in our way.</li><li>Results-Focused - We get stuff done by being efficient, working at pace and paying attention to detail. We focus on finding solutions and fixing things. We don't believe in being busy for the sake of being busy, we focus on productivity.</li><li>Teamwork - We are stronger and better together. We collaborate, trust and support each other to deliver results for our company and our customers. We don't want anyone to feel disengaged, we're in this together!</li></ul>What's the deal? We will provide you with the tools, equipment and support to give you the best possible chance of success and over-achieving your goals. Salary will depend on your experience and will be highly competitive. In addition to a friendly and fun working environment, we provide a range of other benefits, including extensive health insurance, income protection, life assurance, subsidised gym membership, leisure travel insurance, pension contribution and 25 days' holiday allowance plus an additional day off for your birthday! Located in Covent Garden, our offices are comfortable, flexible, and are always stocked with free beverages and fresh fruit. This role has a hybrid setup with occasional work from the office required. So, if we interest you, please let us know by applying for this position and tell us all about yourself. Please note: we only consider applicants with current legal right to work in the countries in which our positions are based. All qualified applicants will receive consideration for employment regardless of colour, religion, sex, national origin, sexual orientation, age, disability, marital status or gender identity. To learn more about Smart Communications visit: <a href="https://www.smartcommunications.com/" target="_blank">https://www.smartcommunications.com/</a>

Junior Governance, Risk and Compliance Analyst

About PIC Pension Insurance Corporation ("PIC") provides secure retirement incomes through comprehensive risk management and excellence in asset and liability management, as well as exceptional customer service. Our purpose is to pay the pensions of our current and future policyholders. We achieve our purpose by setting Companywide strategic objectives and driving a healthy culture based on our PIC Values of Resilient, Adaptable, and Loyal. Role purpose Role purpose <ul> <li>The role requires the ability to effectively collaborate with your business areas of responsibility to secure their buy-in and implement improvements to systems, processes, and technology, as appropriate.</li> <li>To apply knowledge and insights concerning the Internal Audit function and how this impacts our policyholders.</li> <li>To deliver strong business outcomes relating to capital, profitability, the Company brand and market reputation whilst achieving positive outcomes to our Board Committees on a consistent basis.</li> <li>Our Company values are expected to be reflected in the delivery and performance of every role</li> </ul>Specific accountabilities assigned to the role of Internal Audit Manager within the Internal Audit function: <ul> <li>Responsible for the delivery of internal audits, including developing the internal audit scope, carrying out test plan, drafting audit reports, and documenting the audit work consistently with the IIA standards and the PIC IA audit manual. Some reviews will be undertaken individually, and some will be delivered alongside one or more internal audit team members.</li> <li>Carry out regular issue assurance to ensure adequate closure of actions.</li> <li>Demonstrate good practice and standards of internal audit, and, where relevant, make recommendations for improvement, helping design new templates and contributing to the development of the PIC IA manual.</li> <li>Contribute to the preparation of internal audit status update reports and integrated assurance reports to management and Board committees.</li> <li>Contribute to the production of the annual written assessment of the adequacy and effectiveness of PIC's risk management, internal control and governance processes and systems.</li> <li>Develop a partnership and trust relationship with designated business areas to propose relevant and proportionate actions to address issues identified.</li> <li>Takes ownership of defined projects and initiatives (in Internal Audit or in the business), agreeing scope and objectives, undertaking work, producing reports, presenting reports and measuring outcomes. This will be as part of developing broader experience and capability across PIC.</li> </ul>Requirements Knowledge <ul> <li>Familiar with regular committee and integrated assurance reports, in order to support the production.</li> <li>Understand the attestations process and annual written assessment of the adequacy and effectiveness of PIC's risk management.</li> </ul>Skills <ul> <li>Skilled in Internal Audit planning, fieldwork, and drafting findings.</li> <li>Structured, organised approach and ability to plan work.</li> <li>Strong communication skills, both in report writing and verbal.</li> <li>Ability to work effectively as part of a team whilst being an ambassador of PIC Internal Audit.</li> <li>Skilled in working collaboratively to deliver a "no surprises" audit approach.</li> <li>Experience of delivering of audits in the internal audit plan</li> </ul>Experience <ul> <li>Experience of internal control and governance processes and systems.</li> <li>Willingness to learn, understanding the business and internal audit.</li> <li>Capable and willing to work towards passing apprentice scheme or relevant qualifications, including further studying in business, finance or audit, in order to develop internal audit skills.</li> </ul>Benefits In addition to a competitive base salary and the opportunity to participate in our annual, performance-related bonus plan, upon joining us here at Pension Insurance Corporation, you will get access to some great benefits, including private medical insurance, 28 days' annual leave (excluding bank holidays), a generous pension scheme and much more.

Internal Audit Manager

About Griffin Hi, we're Griffin! We're the bank for companies who want to build and launch financial products. Our context We're rapidly heading towards a future where most of us access financial services through technology companies rather than high street banks. All sorts of companies are now embedding financial products into their apps and user journeys so that their customers can seamlessly make payments, manage expenses, take out loans, save, invest, and do more. The problem is that companies are still dependent on legacy banking infrastructure if they want to offer regulated financial products. They need to either partner directly with an (slow-moving, risk-averse) incumbent bank and/or stitch together middleware from various Banking as a Service (BaaS) providers. This process is slow, expensive, and complex and makes it very hard for companies to get new financial products off the ground. At Griffin, we want to change this. Our purpose We want to make it easy for companies to bring finance to their customers at the point of greatest relevance. So, we built a bank. But not just any bank! Griffin is a technology platform and a bank: fully regulated, API-first, developer-centric, and purpose-built to serve innovative fintechs and brands who want to build and embed financial products. Learn more about what we do. Our culture Our culture is our most important asset, and one of the ways we safeguard it is by being extremely intentional about hiring the right people. We won't hire people who don't seem like a strong fit for our core values, even if they're otherwise extremely qualified. We also believe that smart, motivated, conscientious people thrive in high-trust, high-autonomy environments. That's why we're transparent by default, and we encourage open discussion and challenge across all levels of the organisation. We're also remote-first, asynchronous, and fully flexible - because you're the expert on how and when you do your best work. Learn more about our culture. The Risk and Compliance team Since we launched, we have been working to build a second line that is a highly respected and integrated part of the business and somewhere our colleagues go to for expert and pragmatic advice, while remaining independent from the first line. Our aim is no less than to be the best in class. We are not putting patches on legacy frameworks, we're laying the foundations of the future of global financial infrastructure. Who are you? The ideal candidate for this job will have most of the following: Experience <ul><li>Knowledge of the UK's financial services regulatory framework.</li><li>Experience of working for or closely with a regulatory body (FCA, PRA, Bank of England, FSA, HMT or Financial Ombudsman).</li><li>Experience in working within financial services in the UK (ideally within the EMI/PI, fintech or a challenger bank) or in a professional services firm.</li><li>Experience in implementing and overseeing Consumer Duty and most of the following regulatory areas: conduct, payments, data protection, SM&amp;CR, product governance.</li><li>Experience in either operational risk and assurance is highly desirable.</li></ul>Qualities <ul><li>Pragmatic and collaborative mindset, with an interest in working closely with all other parts of the business to embed a strong three lines of defence model.</li><li>We are a new bank so it is imperative that you are comfortable in going outside your comfort zone. This means that you may be asked to do other second line related activities as required.</li><li>We're hybrid-remote, and most of your colleagues will not share an office with you on a day-to-day basis. This means you should also have:</li><li>Comfort with solo execution and managing people remotely - we're a small team so you'll need to be happy rolling up your sleeves and help more junior colleagues to succeed.</li><li>A high degree of comfort adopting new software tools for document drafting, collaboration and communication.</li><li>You love writing - we have a lot of documents to draft and we place a high degree of importance on clarity and readability (read more about how we write).</li></ul>What will you be doing here? As Compliance Manager, you will: <ul><li>Act as subject matter expert, providing independent guidance to the first line and oversight of conduct risk, regulatory compliance and product.</li><li>Carry out second line assurance reviews.</li><li>Support SM&amp;CR processes.</li><li>Monitor conflict of interest, gifts and hospitality and other compliance activities.</li><li>Identify new laws and regulations applicable to the bank.</li><li>Writing ToRs, risk management policies and standards, and other governance documents to to be implemented by the first line.</li><li>Prepare and improve MI packs to various committees.</li><li>Oversee the embedding of Consumer Duty across the business.</li></ul>What can we offer you? We are an early stage startup and we're working hard to expand our benefits package. We're planning to add to this list in the future. <ul><li>25 days off a year (pro rata) + bank holidays and winter break closure</li><li>Flexible, remote-friendly working - including supporting home office setup</li><li>Auto-enrolment into company pension scheme</li><li>Coaching and therapy via our wellbeing partnership with Oliva</li><li>Access to a global network of co-working spaces via Desana</li></ul>This role will have an annual salary of £65,000 - £80,000 (pro rata), depending on experience. How do I apply? Are we your next move? Apply via the link below, if there's a match our Talent team will reach out to schedule an initial conversation and talk you through our what happens next. We're remote-first We have a small London office in Moorgate, but we are comfortable hiring people to work from anywhere in the UK. About a third of the company is based within occasional commuting distance of London, the rest are full-time remote. Under representation Our goal is for Griffin to proportionally represent the diversity of the working population in society. We're working to ensure that Griffin is a supportive, empowering and inclusive environment for every member of our team - whatever your combination of race, ethnicity, gender, age, sexual orientation, physical ability, nationality, neurodiversity, and religious beliefs. If you're part of a group that is under-represented in fintech, we'd love to hear from you

Compliance Manager (6 month FTC)

Since being founded in 2018, Copper has been building the standard for institutional digital asset infrastructure with a focus on custody, collateral management, and prime services. Led by Amar Kuchinad, Copper's Global CEO, the firm provides a comprehensive suite of custody, trading and settlement solutions that reduce counterparty risk and bring greater capital and operational efficiency to digital asset markets. At the heart of Copper's offering is Multi-Party Computation (MPC) technology - the gold standard in secure custody. Copper's multi-award winning custody system is unique in that it can be connected to centralised exchanges, DeFi applications and even staking pools without the assets leaving the custody. Built on top of this state-of-the-art custody, ClearLoop is the first solution in the market that overcomes a growing industry challenge; counterparty risk with exchanges. This solution underpins a full prime services offering, connecting global exchanges, and enabling customers to trade and settle directly from the safety of their MPC-secured wallets. By reducing settlement time for transfers to a few milliseconds (without blockchain network dependency) and offering enhanced security measures, ClearLoop is rapidly reshaping the way asset managers trade and manage capital. In addition to industry-leading security certifications, Copper has one of the strongest insurance coverages in the industry from an A+ rated insurer, positioning the firm as the partner of choice for institutions seeking to safeguard their assets. Department environment The Compliance team is a collaborative and high energy group of driven and intellectually curious professionals. We take our work but not ourselves incredibly seriously, tackling novel issues and supporting the business with focus, precision, and relentless good humour. We know and support each other deeply as professionals and humans. We proudly hold a range of passports and qualifications and speak as many languages as we have team members - diversity on all levels is deeply valued. Key Responsibilities of the role Copper is looking for a skilled and collaborative Regulatory Compliance Manager to join our growing digital assets infrastructure business. The role holder will be deputy to the Regulatory Compliance Director, supporting and advising 1st and 2nd line teams in the UK and Internationally. As a committed and experienced Regulatory Compliance Manager, you will align and operationalise local policies and procedures as required in support of the wider systems, controls and responsibilities of the Regulatory Compliance Director. <ul><li>Compliance Oversight: Support local leadership in the UK Compliance team ensuring that all activities of the organisation comply with applicable laws, regulations, and industry standards.</li><li>Policy Development: Conduct Horizon Scanning to ensure policies and procedures reflect changes in regulations and industry best practices, develop new policies and procedures to meet new regulations as necessary.</li><li>Market Abuse: Manage systems and controls to meet regulatory obligations relating to Market Abuse and Insider risk.</li><li>Shared Service Oversight: Support the teams who are responsible for outsourced compliance systems and controls to adhere to monthly SLA timelines.</li><li>Dashboards: Support the Regulatory Compliance Director in maintaining SharePoint Dashboards for tracking/approving Conflicts of Interest, Gifts &amp; Entertainment, Outside Business Interests, Marketing and Financial Promotions</li><li>Risk Assessment: Co-ordinate and collate data to support the annual AML/BWRA risk assessments and monitor compliance risks, implementing measures to mitigate potential issues.</li><li>Training and Education: Provide compliance training in support of the Learning and Development Programme to ensure awareness and understanding of compliance requirements.</li><li>Management Information: Support the Regulatory Compliance Director in the preparation of weekly/monthly and quarterly MI reporting and prepare materials for applicable compliance forums and committees.</li><li>Audits and Examinations: Support the Compliance Management Team with data collection and coordination of regulatory audits and examinations, liaising with functional leads and local MLRO's as needed.</li><li>Compliance Monitoring: Work with compliance monitoring team to ensure the effective tracking and reporting of compliance activities.</li><li>Advisory Role: Provide compliance advice and guidance to the business, in particular those in client facing roles. </li><li>Business &amp; Product: Support the Regulatory Compliance Director as compliance advisor for new product approvals and product/service reviews</li></ul>Your experience, skills and knowledge Essential <ul><li>Knowledge of regulatory frameworks with particular expertise in Market Conduct, Financial Promotions and Marketing.</li><li>Sound understanding of KYC/AML, sanctions &amp; embargoes screening, payments, transaction / trade monitoring, general compliance aspects and outsourcing requirements.</li><li>Knowledge of crypto, custody, derivates, buy/sell side, funds, trading, technology, including product suite, services, systems, and key risks. </li><li>Proven experience in the provision of compliance advisory and/or management in digital asset / crypto business. Additional experience in traditional banking, finance or similar business is an advantage. </li></ul>Desirable <ul><li>Bachelor's degree in a relevant field.</li><li>Professional certification in compliance (e.g., ICA Diploma or CAMS) is a plus.</li><li>Commercial awareness with the ability to make decisions that identify and consider risks specific to a growing business. </li><li>Experience with prime brokerage, collateral management, stock borrow lending is preferred. </li><li>Ability to make, support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced environment.</li><li>Extensive prior professional compliance working knowledge &amp; experience gained from applicable financial services firm (or equivalent). Must be capable to work effectively within a fast-growth technology environment.</li></ul>The benefits offered <ul><li>Holidays: 27 days per annum paid holiday, in addition to bank holidays</li><li>Years of Service Days: Employees are awarded one additional day of paid time off per year of service (up to three years)</li><li>Vitality Health:<ul><li>Medical Insurance: Copper provides all employees with individual cover. Medical history is disregarded, and a 24/7 virtual GP is available (£100 excess per person per year)</li><li>Dental Insurance: Comprehensive dental cover for preventative, restorative and emergency treatment</li><li>Audiology Cover: Employees can claim back up 80% of costs, up to £300, for any hearing tests or hearing aids</li><li>Optical Cover: £500 optical cover (through Vision Express) or 80% reimbursement up to £300 for any other optician</li><li>Menopause Support: Unlimited support for those experiencing symptoms of the menopause, such as video consultations with a dedicated menopause practitioner</li><li>Vitality services also include an additional £100 for minor diagnostic tests and private prescriptions, including home diagnostics</li><li>Headspace - Copper's policy provides all employees with a free Headspace subscription. Headspace provides great resources to manage stress, improve sleep, meditate and enhance mindfulness</li><li>Discounts and free benefits - the Vitality programme has been designed for preventative care to encourage members to improve their overall health and will reward those for doing so. Employees can access additional benefits such as 50% off running shoes, discounted health screenings, 50% off at Nuffield Health or Virgin Active gyms and much more</li></ul></li><li>Home Working Energy Support Scheme: to combat energy prices increasing globally, Copper will provide you, in addition to your salary, with a monthly top-up of £60 or £75 (subject to your energy supplier)</li><li>Pension up to 10% matched contribution to our company pension scheme via Smart Pensions</li><li>Cycle to Work</li><li>Life Insurance cover: Four times your base salary</li><li>EAP: access unlimited mental health consultations and contact a 24/7 confidential helpline for emotional support</li><li>Unmind</li><li>Sponsored Learning and Development opportunities</li><li>Regular company events and social activities</li></ul>In return for everything you can bring to Copper, we can offer you an exciting, challenging role in a fast-growing and dynamic business, with career opportunities and welcoming working environment. If you think you have everything we're looking for and more, then we'd love you to apply for the opportunity. Copper is an equal opportunity employer. We embrace diversity and equal opportunities in a serious way. We are committed to building a team that represents a variety of backgrounds, perspectives, and skills. The more inclusive we are, the better our work will be. So, bring us your experience, perspectives, and skills. It is in our differences that we will continue to grow and ensure Copper is transforming how institutional investors engage with digital assets. Copper is a Disability Confident Employer, please let us know if you have a disability. If you require us to provide any assistance during the recruitment process, then we would ask you to highlight this to us and we will be happy to accommodate.

Regulatory Compliance Manager

The University of West London (UWL) is ranked the best modern* university (non-specialist) in London in the Complete University Guide 2025. We are ranked 30th university in the UK in The Guardian University Guide 2025, Number 1 London university for overall student satisfaction in the National Student Survey 2024 and Best university for Student Experience and Teaching Quality in the UK in The Times and Sunday Times Good University Guide 2024. The UWL community is a diverse body of students and staff who work together to create an environment of success and achievement. We celebrate the diversity of our staff and promote our values in practice through our commitment to inclusivity, progression, and success. *University status awarded in or after 1992. The UKVI Compliance Team The UKVI Compliance team plays a pivotal role within UWL to ensure the UKVI sponsor license is maintained and fully compliant with student visa sponsorship duties. The Compliance Assistant will be part of a small team ensuring that the university remains compliant in all aspects of its student visa sponsorship duties as set by the Home Office. The Compliance Team does not work alone and liaises with other university wide departments The Role The postholder is required to support the UKVI Compliance Manager to ensure the University remains complaint under the UKVI sponsorship license duties. Work collaboratively and liaise with colleagues across the University departments and undertake the various activities required as part of the UKVI procedures and processes. Liaise regularly with students and maintain up to date records of all student visa holders and home students subject to immigration control. Ensure accurate student records and documentation is kept, maintained and up to date, ready for audit purposes in line with UKVI requirements. The Person As well as excellent IT skills, the post holder will have proven experience of recording, analysing and reporting data, using different data systems. A methodical approach, ability to balance conflicting workloads and attention to detail is essential. They should have good oral and written communication skills and the ability to proactively deal with staff and students across the organisation. Experience of compliance or working with students will be an advantage. Experience of providing excellent customer service in person, by telephone and via email, ensuring an excellent student experience is offered and maintained. How to Apply To apply click on 'Apply Online' and fill out the application form. Further information about the application process can be found here: <a href="https://jobs.uwl.ac.uk/display.aspx?id=1253&amp;pid=0" target="_blank">https://jobs.uwl.ac.uk/display.aspx?id=1253&amp;pid=0</a> Please email <a href="mailto:hr.recruitment@uwl.ac.uk" target="_blank">hr.recruitment@uwl.ac.uk</a> if you need any assistance with the application process. Interviews are expected to be held in the week commencing 5th May 2025. Additional Information Read more about working at the University of West London at <a href="https://www.uwl.ac.uk/about-us/how-university-works/why-work-uwl" target="_blank">https://www.uwl.ac.uk/about-us/how-university-works/why-work-uwl</a> Our department/school is under-represented in terms of staff from BAME (Black, Asian and minority ethnic) backgrounds, of LGBT+ identities, and with disabilities. UWL is committed to having a diverse and inclusive workforce, supports the gender equality Athena SWAN Charter, and is a Disability Confident Employer. We welcome applications from all sections of the community, particularly those mentioned above to increase diversity in our workforce. Candidates must be able to demonstrate their eligibility to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006. Please be advised that it is expected that appointment within a grade will normally be at the minimum point. Previous applicants for this post need not apply again. This position does NOT meet the University criteria for Skilled Worker sponsorship. The University of West London reserves the right to close the role prior to this date should a suitable applicant be found.

UKVI Compliance Assistant (1 year Fixed term contract)

Are you prepared to lead compliance at the highest level? As YouGov's Senior Compliance Manager, you will be entrusted with delivering exceptional compliance management across our global operations. This role is perfect for someone with robust senior compliance management experience, a passion for data ethics, and prior exposure to ESG initiatives and reporting. This is a hybrid role, requiring at least two days per week in the office. We support your work-life balance with a mix of in-office collaboration and home-based productivity. Regrettably, we are unable to provide visa sponsorship, so you must be eligible to work in the UK on a permanent basis. Here's a breakdown of what you'll do (not all of it, just the important stuff): <ul><li>Risk Management </li><li>Support the Head of Compliance &amp; ESG on crisis management procedures, testing and training</li><li>Lead the annual risk review process and managing the corporate risk register</li><li>Advise on potential governance and compliance risks and impacts</li></ul><ul><li>Internal Controls Monitoring and Enforcement</li><li>Identify areas of inefficiency and create new processes to resolve them</li><li>Support with ethical considerations in respect of surveys</li><li>Support on maintenance of standards certifications, such as ISO 27001</li><li>Investigate and respond to alleged violations of our compliance policies</li><li>Lead the design and implementation of Compliance function related training and support with training programmes for the wider Governance department</li><li>Support the business continuity planning and develop new compliance policies and delivering training to the business</li><li>Manage submissions to the Ethics Committee</li><li>Be the Compliance advisor to the Data Privacy &amp; Security Committee and other such committees</li><li>Manage the whistleblowing procedure</li></ul><ul><li>Working with Third Parties</li><li>Management and enforcement of the group delegated authority rules</li><li>Oversight of the Company's supplier approval process as required</li></ul><ul><li>Reporting</li><li>Oversight of compliance content on corporate website and Intranet</li><li>Support with the production of board and management reports on compliance, risk management and ESG activities and metrics</li></ul><ul><li>ESG</li><li>Support with the oversight of the Company's ESG initiatives as and when required</li></ul><ul><li>Insurance </li><li>Oversight of the Group's global insurance programme and relationship with brokers as and when required</li></ul><ul><li>Line Management </li><li>Deputise for the Head of Compliance &amp; ESG as and when required</li><li>Line manager of the Compliance resource</li></ul>These are the essential you will need to get an interview: <ul><li>3-5 years of experience working in compliance or related areas</li><li>2-3 years of experience leading a compliance team and developing compliance programmes</li><li>Strong knowledge of standards, laws and regulations relevant to YouGov as a global business</li><li>Proficiency in Excel with strong numerical and analytical abilities, as the role involves extensive data analysis</li><li>ICA or a similar qualification is essential</li></ul>It would be great if you had these too, but we'll support you if you don't: <ul><li>Familiarity with data protection and privacy regulations</li><li>Familiarity with market research standards and guidance</li><li>Experience in delivering compliance-related training</li><li>Professional certification in compliance</li><li>Experience in managing a global insurance programme</li><li>Familiarity with ESG regulations and standards</li><li>Experience of working in a listed company environment</li></ul>Behavioural competencies <ul><li>Ability to build strong relationships with peers, liaise effectively at all levels, act with discretion, and be service-oriented</li><li>Ethical decision-making and a commitment to upholding integrity</li><li>Well organised, strong attention to detail and accuracy</li><li>A critical thinker</li><li>Ability to be dynamic</li><li>Solution driven</li></ul>What can you expect when you become a YouGover? <ul><li>In the UK you'll get 25 days annual leave + Bank holidays throughout the year to take a well-earned rest, plus 1 extra day off for your birthday. In addition to this YouGov offers a designated day off that you can use to rest and recharge as we understand the importance of health and wellbeing</li><li>You will also have the option to work abroad for up to 30 days in a calendar year </li><li>We're big on learning, so all YouGovers have access to the vast number of courses to help develop your career</li><li>Auto-enrolled pension scheme </li><li>BUPA Private Medical Insurance </li><li>Health Cash Plan </li><li>Cycle to work scheme </li><li>Employee Assistance Programme </li><li>Workplace Savings Plan </li><li>Eyecare Vouchers </li><li>Annual Season Ticket Loan </li><li>Corporate Gym Membership Discount </li></ul>Company Description and Culture YouGov is a global online research company, offering insight into what the world thinks. We speak daily to our panel of over 27 million registered members to understand opinion and behaviors around the world. We have a strong reputation as a source of accurate data and we're trusted by the world's biggest brands to get it right, making us the most quoted market research source in the world. Why join YouGov? Join our global team to help us achieve our social mission: to make millions of people's opinions heard for the benefit of our local, national, and international communities. Understanding diversity of opinion requires diversity of background. Although our global panel of millions of people worldwide powers our research, our biggest asset is our people. If our research is to be truly representative of what the world thinks, we need people from all walks of life to be part of the team to bring their perspective to the work we do. Life at YouGov We are driven by a set of shared values. We are fast, fearless, and innovative. We work diligently to get it right. We are guided by accuracy, ethics, and proven methodologies. We respect and trust each other, bringing these values into everything that we do. We strive to provide YouGovers with best-in-class benefits to support their physical, financial, and emotional wellbeing. We want our employees to have a sense of belonging and uniqueness in a supportive workplace, so they can bring their full selves to work. Equal Opportunity Employer As an Equal Opportunity Employer, qualified applicants will receive consideration for employment without regard to race, color, religion, sex (including pregnancy, gender identity or expression, and sexual orientation), parental status, national origin, marital status, age, disability, genetic information, HIV status, political affiliation, socioeconomic background, veteran status or any other characteristic protected by law or in line with our responsibilities as a fair and ethic employer. All employment decisions are made based on occupational qualifications, merit, and business need. Data Privacy To find out how we collect and use your personal data when you apply for a role at YouGov, please read our privacy notice at <a href="https://jobs.yougov.com/privacy" target="_blank">https://jobs.yougov.com/privacy</a>

225 Jobs in Borehamwood, UK