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This is a varied and interesting role with excellent potential for development. You will work closely with, and act under direction of more experienced colleagues providing regulatory consulting services to FCA-regulated businesses, such as hedge funds and private equity firms. ACA is committed to supporting you in your career journey, providing you with formal training and experience working alongside industry leaders in their field. What you'll do: <ul> <li>Providing general and proactive support to more senior colleagues to manage client accounts and to ensure that a high standard of client service is delivered to clients and undertaking direction from more senior colleagues, where relevant. </li> <li>Proactively supporting senior colleagues in undertaking regular compliance reviews for clients, including scheduling said reviews, preparing document request lists, undertaking document review and drafting preliminary written reports. </li> <li>Tailoring client policies and procedures and/or updating client policies and procedures to a high standard to reflect regulatory updates and changes to clients' businesses. </li> <li>Assisting with the preparation of FCA applications, including Part 4A authorisation applications, variation of permission applications, change in control applications and senior management function (Form A) applications.</li> <li>Proactively supporting more senior colleagues to provide ad-hoc advice to clients, including undertaking research and having some interaction with clients, where required. </li> <li>Contributing to internal research, such as drafting summaries of regulatory developments and preparing internal briefing notes and making contributions to internal compliance update meetings.</li> <li>Preparing training presentations for clients and assisting with the conduct of compliance training for clients. </li></ul>To qualify for the role, you must have: <ul> <li>Strong academic background (i.e. degree level, LPC or recognised professional qualification).</li> <li>Minimum 12 to 18 months of relevant financial services or legal experience, including knowledge of the UK regulatory regime. (You will be provided with support to study for, and complete, the Investment Management Certificate, CISI Diploma in Investment Compliance or similar.)</li></ul>Skills and attributes for success: <ul> <li>Demonstrated professional integrity.</li></ul><ul> <li>Excellent oral and written communication skills (including excellent grammar). </li></ul><ul> <li>Superb attention to detail.</li> <li>Ability to work in a fast-paced small team environment</li> <li>Ability to establish and maintain effective working relationships with colleagues and clients and to provide proactive support to senior colleagues</li></ul><ul> <li>Dedication to upholding ACA's high standards and customer service focus</li> <li>Strong organisational and problem-solving skills.</li> <li>Proficiency with Microsoft Office applications and ability to work comfortably and to thrive in a tech-enabled environment.</li></ul>What working at ACA offers: We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering. About ACA: ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. What we commit to: ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.

Senior Compliance Analyst

At Zego, we understand that traditional motor insurance holds good drivers back. It's too complicated, too expensive, and it doesn't reflect how well you actually drive. Since 2016, we have been on a mission to change that by offering the lowest priced insurance for good drivers. From van drivers and gig workers to everyday car drivers, our customers are the driving force behind everything we do. We've sold tens of millions of policies and raised over $200 million in funding. And we're only just getting started. ROLE OVERVIEW As the Head of Risk and Compliance you will be responsible for designing, implementing, and overseeing Zego's risk management and compliance strategies. You will ensure that the business operates within regulatory requirements while proactively managing risks to safeguard customers, stakeholders, and Zego. This role requires a strategic thinker who can balance regulatory obligations with commercial objectives in a fast-paced, tech-driven environment. WHAT YOU'LL BE WORKING ON Risk Management: Your role will be central to keeping Zego on solid ground, ensuring the business is prepared for the challenges of a fast-moving and competitive industry while prioritizing good customer outcomes. Here's what that means in practice: <ul> <li>You'll refine and strengthen Zego's existing risk management framework, ensuring it remains aligned with strategic goals and incorporates a focus on protecting customer interests. The framework will support identifying, assessing, and mitigating potential risks while safeguarding Zego's ability to deliver fair value and reliable services to customers.</li> <li>You'll keep a watchful eye on risks across all areas of the business: financial, operational, IT-related, regulatory, or reputational. By anticipating issues before they arise, you'll help Zego stay ahead while ensuring potential risks do not compromise the customer experience or the delivery of good outcomes.</li> <li>You'll oversee the implementation of scalable risk controls and monitoring processes. These controls will be designed to minimise disruption to customers while ensuring their needs and expectations are consistently met.</li> <li>You'll work to deepen Zegons' understanding of risk management at all levels, helping them recognise how effective risk management supports good customer outcomes. Through targeted training sessions, open communication, and ongoing engagement, you'll embed a culture that prioritises customer protection alongside business resilience.</li> </ul>Compliance Management: Compliance isn't just about ticking boxes, it's about building trust and ensuring Zego consistently delivers on its promises to customers. You'll lead the way by: <ul> <li>Supporting the team to monitor FCA requirements and other regulatory obligations, keeping Zego compliant while ensuring good customer outcomes are met.</li> <li>Refining and enhancing compliance policies and procedures to ensure they are clear, actionable, and customer-focused. By improving Zegons' understanding of these policies, you'll empower them to take ownership of their role in maintaining compliance and delivering good outcomes for customers.</li> <li>Leading the team to conduct regular reviews and audits of the Compliance Monitoring Programme, identifying gaps and ensuring control measures are working effectively, evaluation improvements made for their impact on customer outcomes.</li> </ul>Reporting: Effective reporting is vital to governance, ensuring transparency, accountability, and a commitment to good customer outcomes. <ul> <li>You'll ensure reporting mechanisms are robust and aligned with regulatory expectations while highlighting their impact on customers. This includes tracking performance metrics related to customer outcomes, such as complaints resolution and value assessments.</li> <li>You'll prepare and present detailed reports to the Board, Risk Committees, and other stakeholders. These reports will include compliance performance, emerging risks, and regulatory updates, with a particular focus on how these factors influence customer trust and satisfaction.</li> <li>You'll manage the preparation and submission of regulatory filings, ensuring they meet deadlines and reflect Zego's commitment to transparency and delivering fair value to customers.</li> <li>In the event of regulatory breaches, you'll lead the response and reporting process, emphasising how corrective actions will minimise customer impact and prevent future occurrences.</li> </ul>Operational Leadership: You'll lead by example, ensuring Risk and Compliance delivers real impact while keeping customer needs at the forefront: <ul> <li>You'll mentor Risk and Compliance team members, helping them understand the importance of aligning their work with customer-centric goals and equipping them to meet those objectives effectively.</li> <li>As Zego develops and launches new products, you'll ensure they meet regulatory requirements and align with the company's risk appetite. You'll prioritise customer protection, ensuring new offerings provide fair value and deliver positive outcomes.</li> <li>Support the Director of Legal and Regulatory Affairs in building a high-performing, collaborative, and engaged team by contributing to talent acquisition, development, and retention strategies. </li> <li>Help foster a culture of excellence, trust, and accountability, ensuring the team is equipped with the skills, structure, and mindset to consistently deliver exceptional results aligned with the Zego's goals</li> </ul>HOW WE WORK We believe that teams work better when they have time to collaborate and space to get things done. We call it Zego Hybrid. Our hybrid way of working is unique. We don't mandate fixed office days. Instead, we foster a flexible approach that empowers every Zegon to perform at their best. We ask you to spend at least one day a week in our central London office. You have the flexibility to choose the day that works best for you and your team. We cover the costs for all company-wide events (3 per year), and also provide a separate hybrid contribution to help pay towards other travel costs. We think it's a good mix of collaborative face time and flexible home-working, setting us up to achieve the right balance between work and life. BENEFITS We reward our people well. Join us and you'll get a market-competitive salary, private medical insurance, company share options, generous holiday allowance, and a whole lot of wellbeing benefits. And that's just for starters. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, national origin, gender, sexual orientation, age, marital status, or disability status. #LI-Hybrid #LI-IL1

Head of Risk and Compliance

Company purpose: Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. Our employer promise is built around three pillars: • Being a great place to work • Committed to sustainability and having a positive impact • Being dedicated to the development of our people Business area CIB UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in adhering to internal controls and external rules and managing compliance risks. The function acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison. The Compliance CIB Controls Europe (CCC-E) team is part of the Compliance Controls and Risk Management ('CCRM') department at Regional Compliance CIB level, with team members located in UK and France. The CCC-E team mission is to deploy and execute a coherent and consistent 2LoD compliance control programme covering CIB business lines and activities in Europe. This encompasses overseeing the 1LoD control framework through Independent Testing by performing, verification and re-performance of 1LoD controls and Thematic Reviews. Within CCC-E, the Compliance Reviews Team ('CRT') main mandate is to carry out risk-based compliance reviews with a focus on UK specific Compliance risks. Job purpose Manage and deliver high quality Compliance Reviews / Independent Testing and controls in a timely manner across CIB business lines throughout Europe. Subject matter expert on any control subjects on the given areas of expertise. Look for opportunities to continuously improve the Independent Testing and Compliance Reviews methodology and engage proactively and effectively with key stakeholders. Key responsibilities Control planning • Contribute to the planning of independent testing and control execution, using the Risk Control Self-Assessment ('RCSA'), incidents and other available information (e.g. regulatory watch, newsletters). • Take ownership of allocated sections of the testing plan. Control execution • Lead and drive forward the allocated program of risk-based thematic, transversal, targeted and desk focused Compliance reviews / Independent Testing or 2LoD control execution primarily across BNP Paribas' CIB activities within EMEA as set out in the Compliance Review/ Independent Testing Plan • Challenge the 1 LoD control framework including control applicability, design, methodology (for sampling v and rating) as well as other factors to ensure that the compliance risk articulated in the key objectives of the Generic Control library (GCL) or the Central Control Library (CCL) is appropriately mitigated. • Deliver Independent Testing and Controls within the deadlines set to the expected standards and leave sufficient time for manager review prior to reporting deadlines. • Maintain an audit trail for all work carried out during the control testing, reporting and Action Plan stages. • Prepare a high-quality detailed report concluding the work done during the review outlining key findings and agreed remediating actions. • When required, provide guidance to other team members at Assistant Vice President, Associate or Analyst level to help them carry out their work • Share and discuss control and Independent Testing results with Compliance and Business stakeholders and proactively manage challenge. • Liaise with all necessary senior key stakeholders to inform, influence and achieve mutual agreement of any recommendations raised during the review with allocated assignees. • Analyse submitted evidence by Action Plan Owners to ensure evidence is sufficient for Team Manager(s) to accept closure. • Escalate significant issues and challenges identified promptly to the Team Manager and the Head of CCC-E, with proposed solutions. Control reporting • Take ownership of the team's reporting tasks when required. • Record Independent testing and controls results and action plans in the reporting tools. • Assist in the design, preparation and presentation of Management Information. • Coordinate and consolidate reporting of control results with other controllers and teams. Control framework and methodology • Cooperate effectively with colleagues in CCC-E and across the compliance department to share relevant information and improve efficiency • Liaise effectively with stakeholders in the Business, RISK ORC, Inspection Generale and other functions. • Actively contribute to the planning process for the annual Independent Testing Plan, identifying relevant topics. • Look to improve the effectiveness and efficiency of the 2 LoD control framework and methodology. • Assist the 1LoD in developing and improving its control framework Other • Contribute to CCRM's strategic goals to develop and maintain a comprehensive Compliance risk management and controls framework, by participating or leading specific projects when required. • Respond to regulatory and internal audit queries. • Train, coach and mentor team members when required. Requirements • Professional qualification and prior experience in a Compliance role in controls testing in a financial services environment. • Detailed knowledge of specific Compliance principles and processes in control testing applicability, testing programmes, controls results and reporting. • Good understanding of global markets, global banking, securities services and or treasury products • Excellent analytical skills and an ability to translate knowledge and experience into advice and recommendations. • Good working knowledge of the UK regulatory framework and its application to banking. • Strong people management skills and an ability to work with individuals to train and mentor them. • Excellent written and oral English skills in order to articulate technical issues and effectively communicate with individuals across the business. • Ability to speak French or other European languages is desirable. • Computer literacy and a good knowledge of common software e.g. Microsoft Office. Experience of relevant specialist Compliance software. And of course, we expect all our colleagues to embody and practice the Group values (alignment with the Bank's strategy, commitment, work ethic, integrity and Code of Conduct). A bit more about why you should join us 1. We're a great place to work We aim for optimal work/life balance (depending on role, this includes hybrid working, flexible working and agile) We are proud of our award-winning flexible benefits and health &amp; wellbeing strategy. Our flexible benefits include: • Generous holiday allowance of at least 26 days (plus bank holidays) with option to buy and sell holidays. • Valuable financial plans a 12% non-contributory pension which has been moved to sustainable investments*, life assurance*, income protection and personal accident insurance. • Extensive wellbeing and mental health offering one of the most advanced private medical schemes in the UK, dental cover, wellbeing app, Cognitive Behavioural Therapy support, subsidised gym memberships, bespoke health assessments including genetic testing, Private GP (including digital GP services to parents of employees), Employee Assistance Programme, menopause &amp; fertility support (we are an accreditedMenopause Friendly Employer), neurodiversity assessment and support. • Key onsite services and facilities in London include physiotherapy, nutrition, massage therapy, physiology, mental health first aiders, seasonal flu vaccinations and free onsite fitness centre. • Plus, emergency back-up care for dependants,green car leasing, season ticket loan, and a range of other benefits. * Subject to relevant caps 2. As the eurozone's largest bank, we are committed to having a positive impact in the world. For example, we are committed to Net Zero in all of our financing and investment portfolios by 2050. By 2030, 80% of our energy production financing will be low carbon. But impact for us means more than climate. It means empowering our people every day. Everyone gets four volunteering days each year - in 2023, we achieved over 18,000 hours of volunteering across the UK and reaching over 4,500 young people. 3. We believe in our people We support our people to develop skills to adapt to the ever-evolving world of work and to prepare for the jobs of today and tomorrow. We do this through a comprehensive training offering, talent programmes, mentoring, career days and inhouse career tools. We are proud of the number of our people who progress and secure new roles internally. In fact, in 2023, nearly half of our positions in UK CIB were filled internally. Investing in our people also means we have a collaborative and inclusive culture: • Direct feedback from our people shows that our internal culture sets us apart from our industry peers. • Each year, nearly 30,000 employees globally are involved in professional networks that play an active role in promoting Diversity and Inclusion within the Group. These include our: Pride Network, Ability Network (which supports disabled employees), MixCity (gender equality network), Women in Global Markets, Women in Global Banking, Women in IT, Diversity Equity &amp; Inclusion in Technology, Early Careers Network, Multicultural Network and Parents &amp; Carers Network. Equal opportunities BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or any other legally protected status. Adjustments We don't want anyone to be disadvantaged in our recruitment processes, so if you have a disability or health condition which may mean that you'd benefit from some adjustments or additional support, please let us know as early in the process as possible. #LI-Hybrid

Compliance Manager, Compliance CIB Controls Europe Vice President

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

Head of Regulatory Compliance

Job Summary Join our dynamic team as a Risk Manager for B&amp;C Solutions in the UK or France. In this role, you will be pivotal in identifying, assessing, and mitigating risks within the Markets business. Collaborating with internal teams and stakeholders, you will ensure regulatory compliance, implement risk management strategies, and support operational excellence across jurisdictions. Key Responsibilities <ul> <li>Risk Strategy: Develop and maintain a robust risk framework for the Markets team, ensuring alignment with industry standards and regulatory requirements (e.g., EMIR, MiFID, Dodd-Frank).</li> <li>Incident Management: Respond to and manage risk incidents, ensuring timely reporting, stakeholder communication, and policy adherence.</li> <li>Audit Preparedness: Lead preparation for audits, document concerns, and serve as a focal point during fieldwork.</li> <li>Regulatory Compliance: Collaborate with operations, risk, and compliance teams to address incidents requiring regulatory reporting.</li> <li>Risk Oversight: Ensure risks are accurately logged in the bank's monitoring systems, including M7, and escalate as needed to relevant committees.</li> <li>Control Implementation: Oversee the integration of policies and procedures into BAU activities, including RCSA completion, service management, and business continuity planning.</li> <li>Stakeholder Engagement: Build strong relationships with Trading, Sales,</li></ul>Skills and Qualifications Skills <ul> <li>Expertise in operational risk management within financial markets.</li> <li>Strong knowledge of regulatory frameworks (e.g., EMIR, MiFID, Dodd-Frank).</li> <li>Proven ability to manage change and drive process improvements.</li> <li>Exceptional communication and stakeholder management skills.</li> <li>Experience with operational tools like M7 and risk assessment methodologies.</li></ul>Qualifications <ul> <li>University degree preferred.</li> <li>Background in operations, process improvement, or Middle Office functions.</li> <li>Demonstrated ability to navigate complex regulatory environments and mitigate risk.</li></ul>About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us. Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we: <ul> <li>Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do</li> <li>Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well</li> <li>Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term</li></ul>What we offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing. <ul> <li>Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.</li> <li>Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.</li> <li>Flexible working options based around home and office locations, with flexible working patterns.</li> <li>Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits</li> <li>A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.</li> <li>Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.</li></ul><a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> 17180 Apply now &gt; Back to search results

Market Business and Clients Solutions Business Risk Manager

Why Deliveroo? Our mission is to transform the way you shop and eat, bringing the neighbourhood to your door by connecting consumers, restaurants, shops and riders. We are transforming the way the world eats and shops by making access to food and products more convenient and enjoyable. We give people the opportunity to buy what they want, as they want it, 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, looking 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. The Role This is an exciting opportunity to join our Internal Audit team as the Internal Audit Manager in a technology-driven, fast-paced, and high-growth company. This is an exciting opportunity to contribute to a well-established team that has been instrumental in Deliveroo's success since its formation in 2022. There is a real opportunity for the right individual to drive impact and help further the Internal Audit function that is proactively enhancing and protecting organisational value by providing risk-based and objective assurance, advice and insights. What you'll do <ul><li>Leading and hands-on delivery of audit engagements within the annual audit plan, which includes planning, executing, reporting and following-up on audits to assess internal controls, reporting systems and compliance processes. </li><li>These engagements will include risk-based cyclical audits, evaluating emerging risks and evaluating Management's Internal Controls over Financial Reporting</li><li>Establishing and maintaining strong and transparent relationships with stakeholders and ability to source information quickly and efficiently.</li><li>Drafting audit reports which are impactful, balanced and address the root cause of issues.</li><li>Ensuring recommendations are followed up to closure, driving timely issue resolution with sustainably implemented controls;</li><li>Identifying processes and opportunities to improve controls and/or developing recommendations to ensure risks are adequately mitigated.</li></ul>What You'll Bring <ul><li>Relevant professional accounting qualification, such as ACA, ACCA, CGMA </li><li>Minimum 5 years of relevant experience in financial or operational auditing associated with complex business processes and systems, showing progression in areas of responsibility.</li><li>Willingness to occasionally travel when required.</li><li>Proactive individual with a strong desire to learn and the capability to navigate and manage uncertainty.</li><li>Demonstrable knowledge of control frameworks (e.g. COBIT, COSO) to identify, prioritise, and assess risks. </li><li>Proven ability to critically assess controls and risks, drive actions, and deliver meaningful results as an individual contributor as well as team player in a fast-paced tech environment. </li><li>Ability to effectively deliver multiple projects concurrently and develop audit programs and procedures with minimum established guidance.</li><li>Proficient with auditing, internal controls, business and operations processes, finance and risk identification and management.</li><li>Ability to present views effectively, persuasively, and with appropriate conviction to stakeholders and senior leadership.</li><li>Understanding of data interrogation skills and ability to analyse and interpret (big) data and solve problems is highly desirable.</li><li>Analytical abilities with a high affinity for numbers and experience with data analytics or data science tools (e.g., Excel, Alteryx, SQL, Python, R) would be preferred.</li></ul>Benefits &amp; Diversity At Deliveroo we know that people are the heart of the business and we prioritise their welfare. We offer multiple great benefits in areas including health, family, finance, community, convenience, growth, time away 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 judgment 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 experience with (most) food and a desire to be part of one of the fastest growing start-up's around Please click here to view our candidate privacy policy.

Internal Audit Manager

Job Title: Senior Compliance Officer (Export Control) Location: Rochester. We offer a range of hybrid and flexible working arrangements - please speak to your recruiter about the options for this particular role. Salary: £40,000 - £45,000 Depending on skills and experience What you'll be doing: <ul> <li> Act as a key point of contact/subject matter expert for day-to-day advice and guidance on Export Control regulatory and procedure requirements, including engagement with regulatory bodies to obtain export/re-export authorisations </li> <li> Oversee and participate in external &amp; internal audits of compliance against business processes across the site, functions and projects </li> <li> Undertake Export Control investigations, draft Disclosure letters, identify corrective actions and lead root cause analysis and lessons learned reviews </li> <li> Prepare and introduce appropriate compliance training and guidance materials and policies for dissemination to the business </li> <li> Support local implementation of compliance related aspects of the Rochester site Transformation programmes where export control protocols/checks are needed </li> <li> Supervise and develop junior practitioners/team members </li> </ul> Your skills and experiences: Essential: <ul> <li> Working knowledge of US export regulations and up to date with Export Control laws. </li> <li> Investigative &amp; probing skills when conducting investigations, ensuring accurate results are concluded &amp; recorded in a timely manner, and clear root cause(s) identified </li> <li> Excellent communication skills to relay regulatory requirements into the business at all levels </li> <li> Ability to engage at numerous levels within the organisation and ensure interaction with team, Customers, Suppliers and external auditors </li> </ul>Desirable: <ul> <li> Understanding of UK export regulations </li> <li> Exposure to complex export audits with internal and external auditors </li> </ul> Benefits: As well as a competitive pension scheme, BAE Systems also offers employee share plans, an extensive range of flexible discounted health, wellbeing and lifestyle benefits, including a green car scheme, private health plans and shopping discounts - you may also be eligible for an annual incentive. The Compliance Team: As a Senior Compliance Officer you will work with numerous business functions to provide day-to-day guidance on compliance issues, with particular emphasis on meeting UK &amp; US Export Control regulations and appropriate corporate/local policies. Within the Compliance Team you will collaborate to seek and introduce best practice and drive compliance related continuous improvement initiatives. The Senior Compliance Officer applies their subject matter expertise in an area of Export Control, including application or development of policy and procedure, or resolution of problems and issues in complex, sensitive/difficult, high risk/impact situations. Why BAE Systems? This is a place where you'll be able to make a real difference. You'll be part of an inclusive culture that values diversity, rewards integrity, and merit, and where you'll be empowered to fulfil your potential. We welcome candidates from all backgrounds and particularly from sections of the community who are currently underrepresented within our industry, including women, ethnic minorities, people with disabilities and LGBTQ+ individuals. We also want to make sure that our recruitment processes are as inclusive as possible. If you have a disability or health condition (for example dyslexia, autism, an anxiety disorder etc.) that may affect your performance in certain assessment types, please speak to your recruiter about potential reasonable adjustments. Please be aware that many roles at BAE Systems are subject to both security and export control restrictions. These restrictions mean that factors such as your nationality, any nationalities you may have previously held, and your place of birth can restrict the roles you are eligible to perform within the organisation. All applicants must as a minimum achieve Baseline Personnel Security Standard. Many roles also require higher levels of National Security Vetting where applicants must typically have 5 to 10 years of continuous residency in the UK depending on the vetting level required for the role, to allow for meaningful security vetting checks. Closing Date: 28th January 2025 We reserve the right to close this vacancy early if we receive sufficient applications for the role. Therefore, if you are interested, please submit your application as early as possible. #LI-JM1 #LI-Hybrid

Senior Compliance Officer (Export Control)

Job Title: Compliance Assistant Location: Rochester. We offer a range of hybrid and flexible working arrangements - please speak to your recruiter about the options for this particular role. Salary: £25,000- £26,000 Depending on skills and experience What you'll be doing: <ul> <li> Maintain Compliance registers, update records, provide primary administration of functional shared mailbox - including daily maintenance, follow-up and organisation of admin tasks and correspondence </li> <li> Work with other members of the team and business functions through planning, supporting and capturing results of internal audits and compliance checks </li> <li> Provide support to UK &amp; US Export Control Licencing activity within the team, including but not limited to record-keeping, compliance checks and licence management </li> <li> Work with other members of the team to prepare and deploy relevant compliance documents in support of International trading activity </li> <li> Provide support to the team on compliance investigations, process improvement initiatives and site-wide business tool transformation programmes </li> </ul> Your skills and experiences: Essential: <ul> <li> Min 5 x GCSEs A*-C or 9-4 (or equivalent) including Mathematics and English </li> <li> Previous office administration experience </li> <li> Meticulous administrative skills to ensure creation and maintenance of compliance records is of a high standard. </li> <li> Excellent IT skills including Microsoft office and the ability to present information in a clear and concise way </li> <li> Tactful and able to deal with sensitive information to ensure such data is handled appropriately </li> </ul>Desirable: <ul> <li> Understanding/Experience of working with policy procedures </li> </ul> Benefits: As well as a competitive pension scheme, BAE Systems also offers employee share plans, an extensive range of flexible discounted health, wellbeing and lifestyle benefits, including a green car scheme, private health plans and shopping discounts - you may also be eligible for an annual incentive. The Compliance Team: Work with numerous business functions to provide day-to-day guidance on compliance issues, with particular emphasis on meeting UK &amp; US Export Control regulations and appropriate corporate/local policies. Collaborate with peers to seek and introduce best practice and drive compliance related continuous improvement initiatives. Why BAE Systems? This is a place where you'll be able to make a real difference. You'll be part of an inclusive culture that values diversity, rewards integrity, and merit, and where you'll be empowered to fulfil your potential. We welcome candidates from all backgrounds and particularly from sections of the community who are currently underrepresented within our industry, including women, ethnic minorities, people with disabilities and LGBTQ+ individuals. We also want to make sure that our recruitment processes are as inclusive as possible. If you have a disability or health condition (for example dyslexia, autism, an anxiety disorder etc.) that may affect your performance in certain assessment types, please speak to your recruiter about potential reasonable adjustments. Please be aware that many roles at BAE Systems are subject to both security and export control restrictions. These restrictions mean that factors such as your nationality, any nationalities you may have previously held, and your place of birth can restrict the roles you are eligible to perform within the organisation. All applicants must as a minimum achieve Baseline Personnel Security Standard. Many roles also require higher levels of National Security Vetting where applicants must typically have 5 to 10 years of continuous residency in the UK depending on the vetting level required for the role, to allow for meaningful security vetting checks. Closing Date: 28th January 2025 We reserve the right to close this vacancy early if we receive sufficient applications for the role. Therefore, if you are interested, please submit your application as early as possible. #LI-JM1 #LI-Hybrid

Compliance Assistant

Introduction Discover a world of endless possibilities at Gallagher Benefit Services, where you'll have the power to shape the future of workplaces across industries. As a member of our team, you become the driving force behind positive change, helping clients build environments where employees thrive. Embrace the opportunity to impact lives, unlock potential, and create a legacy of remarkable transformation. We believe that every candidate brings something special to the table, including you! So, even if you feel that you're close but not an exact match, we encourage you to apply. Overview We are looking for a skilled Compliance Analyst to join our GBS UK Risk &amp; Compliance team. Reporting to the Compliance Manager, you'll play a key role in ensuring our Employee Benefits business adheres to regulatory standards. This is an exciting opportunity to work in a dynamic environment, providing proactive advice and guidance on Health &amp; Benefits compliance matters while contributing to the success of a trusted and respected business. How you'll make an impact <ul><li>Act as a trusted advisor, ensuring the business operates in line with regulatory requirements.</li><li>Collaborate with supervisory leaders to provide regulatory support and advice.</li><li>Conduct horizon scanning for updates from the FCA and deliver concise summaries.</li><li>Assist in the production, maintenance, and review of compliance policies and procedures.</li><li>Manage compliance monitoring activities, including desk-based and thematic reviews.</li><li>Investigate regulatory complaints, maintaining accurate records for FCA reporting.</li><li>Maintain the breach register and assist with root cause analysis.</li><li>Design and deliver compliance-related management information (MI).</li><li>Support staff with compliance presentations and practical regulatory guidance.</li><li>Ensure operational procedures meet compliance standards.</li></ul>About you Minimum of 3 years' experience in a compliance function within an employee benefit, insurance broker, or similar business (desirable). Qualifications: <ul><li>Relevant professional qualifications or equivalent experience.</li><li>Evidence of Continuing Professional Development (CPD).</li></ul>Skills &amp; Knowledge: <ul><li>Comprehensive knowledge of employee benefit markets, UK financial services regulations, and industry developments.</li><li>Strong communication skills, including exceptional report-writing and confident presentation abilities.</li><li>Proficiency in Microsoft Office and internal systems, with awareness of regulatory requirements for advised and non-advised sales.</li><li>Proven project management and organizational skills, ensuring accuracy and attention to detail while managing multiple priorities.</li><li>A proactive, solution-oriented mindset with the ability to meet deadlines under pressure.</li><li>Excellent interpersonal skills, fostering trust, collaboration, and maintaining independence where necessary.</li></ul>Compensation and benefits On top of a competitive salary, great teams and exciting career opportunities, we also offer a wide range of benefits. Below are the minimum core benefits you'll get, depending on your job level these benefits may improve: <ul><li>Minimum of 25 days holiday, plus bank holidays, and the option to 'buy' extra days</li><li>Defined contribution pension scheme, which Gallagher will also contribute to</li><li>Life insurance, which will pay 4x your basic annual salary, which you can top-up to 10x</li><li>Income protection, we'll cover up to 50% of your annual income, with options to top up</li><li>Health cash plan or Private medical insurance</li></ul>Other benefits include: <ul><li>Three fully paid volunteering days per year</li><li>Employee Stock Purchase plan, offering company shares at a discount</li><li>Share incentive plan, HMRC approved, tax effective, stock purchase plan</li><li>Critical illness cover</li><li>Discounted gym membership, with over 3,000 gyms nationally</li><li>Season ticket loan</li><li>Access to a discounted voucher portal to save money on your weekly shop or next big purchase</li><li>Emergency back-up family care</li><li>And many more...</li></ul>We value inclusion and diversity Inclusion and diversity (I&amp;D) is a core part of our business, and it's embedded into the fabric of our organisation. For more than 95 years, Gallagher has led with a commitment to sustainability and to support the communities where we live and work. Gallagher embraces our employees' diverse identities, experiences and talents, allowing us to better serve our clients and communities. We see inclusion as a conscious commitment and diversity as a vital strength. By embracing diversity in all its forms, we live out The Gallagher Way to its fullest. Gallagher is Disability Confident Committed. We have pledged to make sure our recruitment process is inclusive and accessible, in addition to supporting our existing employees with any long-term health conditions or disabilities. We understand that applicants may have disabilities, if you do, you may find some parts of the recruitment process more challenging than others. Don't worry, we're here to help, however, we can only do this if you let us know. Should you require reasonable adjustments to your application, please get in touch with <a href="mailto:TAGlobalSupport@ajg.com" target="_blank">TAGlobalSupport@ajg.com</a> . If you'd prefer to speak on the phone, please request a call back, leaving details, so we get in touch. Our employing entity, Arthur J. Gallagher Services (UK) Limited, is proud to be accredited as a Living Wage employer with the Living Wage Foundation. We are committed to diversity and opportunity for all and are opposed to any form of less favourable treatment on the grounds of gender or gender identity, marital status, civil partnership status, parental status, race, ethnicity, colour, nationality, disability, sexual orientation, religion/ belief, age and those with caring responsibilities. Gallagher believes that all persons are entitled to equal employment opportunity and prohibits any form of discrimination by its managers, employees, vendors or customers based on race, color, religion, creed, gender (including pregnancy status), sexual orientation, gender identity (which includes transgender and other gender non-conforming individuals), gender expression, hair expression, marital status, parental status, age, national origin, ancestry, disability, medical condition, genetic information, veteran or military status, citizenship status, or any other characteristic protected (herein referred to as "protected characteristics") by applicable federal, state, or local laws. Equal employment opportunity will be extended in all aspects of the employer-employee relationship, including, but not limited to, recruitment, hiring, training, promotion, transfer, demotion, compensation, benefits, layoff, and termination. In addition, Gallagher will make reasonable accommodations to known physical or mental limitations of an otherwise qualified person with a disability, unless the accommodation would impose an undue hardship on the operation of our business.

Compliance Analyst

Introduction Discover a world of endless possibilities at Gallagher Benefit Services, where you'll have the power to shape the future of workplaces across industries. As a member of our team, you become the driving force behind positive change, helping clients build environments where employees thrive. Embrace the opportunity to impact lives, unlock potential, and create a legacy of remarkable transformation. We believe that every candidate brings something special to the table, including you! So, even if you feel that you're close but not an exact match, we encourage you to apply. Overview Gallagher Benefit Services UK is seeking an experienced Compliance Manager to oversee Compliance Policy and Operations for our regulated activities, focusing on employee benefits, financial services, and workplace retirement solutions. This role involves providing expert regulatory advice, leading compliance monitoring, and managing key projects. You will report to the Head of Compliance or Chief Compliance Officer and may have staff management responsibilities. How you'll make an impact You'll provide: • Regulatory Guidance: Serve as a trusted advisor, ensuring compliance with FCA and industry regulations. Provide advice on training, quality assurance, and advice processes. • Policy &amp; Monitoring: Develop, implement, and maintain compliance policies, procedures, and monitoring plans, including thematic reviews and risk-based priorities. • Compliance Operations: Oversee AML controls, financial promotions approvals, regulatory complaints, breach registers, and compliance-related MI reporting. • Horizon Scanning: Monitor regulatory updates (e.g., MiFID II, IFPR, Consumer Duty) and deliver concise summaries to support business adaptation. • Collaboration &amp; Communication: Build strong relationships with business leaders, deliver compliance roadshows, and maintain effective communication across teams. • Leadership &amp; Development: Support and mentor junior staff, fostering a high-performing, knowledgeable compliance team. About You • Relevant professional qualifications or equivalent experience. • Evidence of Continuing Professional Development (CPD). Technical Knowledge: • Expertise in pensions, investments, and employee benefit markets, with in-depth knowledge of UK regulations (e.g., MiFID II, SMCR, MAR). • Strong communication skills, including report writing and influential presentations. • Proficiency in Microsoft Office and internal systems, with excellent numerical and analytical aptitude. Skills &amp; Capabilities • Extensive experience in compliance or investment roles within financial services or pensions sectors, with strong project management and organizational skills. • Proven ability to manage multiple priorities under pressure, ensuring high accuracy and attention to detail in all documentation and solutions. • A proactive, solution-oriented mindset paired with a "can-do" attitude to overcome challenges effectively. • Strong interpersonal skills, fostering trust, collaboration, and positive working relationships. Compensation and benefits On top of a competitive salary, great teams and exciting career opportunities, we also offer a wide range of benefits. Below are the minimum core benefits you'll get, depending on your job level these benefits may improve: <ul><li>Minimum of 25 days holiday, plus bank holidays, and the option to 'buy' extra days</li><li>Defined contribution pension scheme, which Gallagher will also contribute to</li><li>Life insurance, which will pay 4x your basic annual salary, which you can top-up to 10x</li><li>Income protection, we'll cover up to 50% of your annual income, with options to top up</li><li>Health cash plan or Private medical insurance</li></ul>Other benefits include: <ul><li>Three fully paid volunteering days per year</li><li>Employee Stock Purchase plan, offering company shares at a discount</li><li>Share incentive plan, HMRC approved, tax effective, stock purchase plan</li><li>Critical illness cover</li><li>Discounted gym membership, with over 3,000 gyms nationally</li><li>Season ticket loan</li><li>Access to a discounted voucher portal to save money on your weekly shop or next big purchase</li><li>Emergency back-up family care</li><li>And many more...</li></ul>We value inclusion and diversity Inclusion and diversity (I&amp;D) is a core part of our business, and it's embedded into the fabric of our organisation. For more than 95 years, Gallagher has led with a commitment to sustainability and to support the communities where we live and work. Gallagher embraces our employees' diverse identities, experiences and talents, allowing us to better serve our clients and communities. We see inclusion as a conscious commitment and diversity as a vital strength. By embracing diversity in all its forms, we live out The Gallagher Way to its fullest. Gallagher is Disability Confident Committed. We have pledged to make sure our recruitment process is inclusive and accessible, in addition to supporting our existing employees with any long-term health conditions or disabilities. We understand that applicants may have disabilities, if you do, you may find some parts of the recruitment process more challenging than others. Don't worry, we're here to help, however, we can only do this if you let us know. Should you require reasonable adjustments to your application, please get in touch with <a href="mailto:TAGlobalSupport@ajg.com" target="_blank">TAGlobalSupport@ajg.com</a> . If you'd prefer to speak on the phone, please request a call back, leaving details, so we get in touch. Our employing entity, Arthur J. Gallagher Services (UK) Limited, is proud to be accredited as a Living Wage employer with the Living Wage Foundation. We are committed to diversity and opportunity for all and are opposed to any form of less favourable treatment on the grounds of gender or gender identity, marital status, civil partnership status, parental status, race, ethnicity, colour, nationality, disability, sexual orientation, religion/ belief, age and those with caring responsibilities. Gallagher believes that all persons are entitled to equal employment opportunity and prohibits any form of discrimination by its managers, employees, vendors or customers based on race, color, religion, creed, gender (including pregnancy status), sexual orientation, gender identity (which includes transgender and other gender non-conforming individuals), gender expression, hair expression, marital status, parental status, age, national origin, ancestry, disability, medical condition, genetic information, veteran or military status, citizenship status, or any other characteristic protected (herein referred to as "protected characteristics") by applicable federal, state, or local laws. Equal employment opportunity will be extended in all aspects of the employer-employee relationship, including, but not limited to, recruitment, hiring, training, promotion, transfer, demotion, compensation, benefits, layoff, and termination. In addition, Gallagher will make reasonable accommodations to known physical or mental limitations of an otherwise qualified person with a disability, unless the accommodation would impose an undue hardship on the operation of our business.

Compliance Manager

Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a leading franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. Marex was established in 2005 but through its subsidiaries can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia and America. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. We are seeking an experienced and driven Operational Risk professional who will play a crucial role in assisting the Firm in the oversight and management in all aspects of Operational Risk, with a focus on proactive risk management, and ensuring the identification, assessment, and mitigation of risks across all business functions. The successful candidate will be responsible for continuously improving risk processes, owning risk registers, managing risk assessments, overseeing control effectiveness, and advising the business on decisions in relation to the operating environment as required for a reduction in operational risk. You will promote a strong risk culture and drive engagement with key stakeholders across various business disciplines. This is a highly visible role that requires the development of successful, supportive relationships and the ability to work collaboratively with senior leadership and teams. The ideal candidate will be hands-on, proactive, and anticipatory, with a strong drive to deliver value and the ability to operate independently while influencing outcomes. Responsibilities: • Risk and Control Assessment: Facilitate risk and control assessments to identify potential risks and implement effective controls, validating remediation of operational risk exposure and related control gaps. • Develop and evaluate the design and effectiveness of controls and provide timely and in-depth analysis to Senior Management. This includes challenging management actions to remediate control gaps or weaknesses and track through to closure. Ensure accurate reflection of risk and control information within Risk Registers by providing rigorous challenge where appropriate. • Root Cause Analysis: Conduct root cause analysis of operational events and develop strategies to mitigate future risks. • Manage and contribute to the process for evaluating and rectifying operational risk incidents, ensuring swift resolution of the incident and that client interest is central to the process, capturing root causes, lessons learnt, ensuring actions for future risk mitigation are implemented and relevance to other business areas or processes is considered. • Governance: Lead risk management presence and content in governance forums, ensuring comprehensive oversight and identification of operational risk trends. • Risk Reporting: Preparing and presenting detailed risk reports / dashboards / metrics to senior management and stakeholders, highlighting key risk areas and recommended actions. • Trend Analysis: Identify and analyse operational risk trends to inform strategic decision-making. • Continuous Improvement, providing thoughtful and collaborative leadership promoting risk transparency and business unit-level ownership and accountability over operational risk and control environments, fostering continuous improvement. • Promoting Marex's risk aware culture, serving as the subject matter expert on operational risk initiatives. Identifying, initiating, and fostering relationships with business and operational partners to promote a culture of continuous improvement, driving constructive communication with the ORM team. • Daily management of Broker Losses and reporting to help drive down total value, volumes and learn lessons. • Challenge requests for Risk Acceptance and provide regular review of action status until closure. • Stakeholder at relevant regional risk governance Boards, Committees, and governance forums. Contribution to creation of Risk Committee reporting. • Emerging risk scanning to identify disruptors in the external environment and losses which may lead to the identification of new risks. • Ongoing development of the Operational Risk Framework and roll out of individual components. • Practically maintaining strong relationships with second- and third-line assurance functions, actively participating in forums and promoting information sharing. • Contribute to change initiatives by reviewing new proposals, assessing their impact on the existing environment, and offering guidance and constructive challenge as needed. • Providing recommendations on go-live for change initiatives into BAU for management. • Supporting the integration of New Business. • Contributing to the design of scenario analysis for ICAAP and ICARA. Skills and Experience: • Demonstrable experience in operational risk management, enterprise risk management and/or related experience required; experience in the investment management industry preferred. • Experience facilitating top-down and bottom-up risk assessments, focused on existing and emerging risk areas. • Practical experience with Basel, COSO, ERM, risk and control self-assessment tools, methodologies and concepts. • Outstanding verbal and written communication skills to work cross-functionally and at all levels internally. • Proven capability in collecting and analysing complex data, evaluating information and systems and drawing logical conclusions. • Track record in planning and project management and in maintaining composure under pressure while meeting deadlines. • Strong skills in resolving problems and negotiating issues. • Highly organized and able to manage multiple projects with differing priorities to meet deadlines. • Experience in governance, risk, assurance, compliance, or internal control roles in Financial Services. • Strong technical risk and control knowledge. • Good knowledge of Framework methodology and practice. • Confident working independently and remotely from your team members. • Demonstratable knowledge of assurance, controls models and corporate governance frameworks. • Applying sound judgment in the evaluation of risks and controls; • Challenging the assumptions and conclusions of more experienced staff members; • Facilitating insightful conversations to ensure appropriate consideration and evaluation of risks; • Performing effective root cause analysis to identify control gaps and weaknesses and recommending appropriate corrective course of action; • Collaborating with business managers to promote an effective risk management culture by proactively identifying areas of operational risk; • Strong team worker and able to take initiative to scope and lead enhancement work; • Effective report writing and oral communication skills, including the ability to communicate complex If you're forging a career in this area and are looking for your next step, get in touch! Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process. If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application. #LI-MH1

Operational Risk Manager

As a Credit Risk Manager, you will develop data-driven strategies, analyse trends, and optimize credit policies for credit cards. Collaborating with teams across Europe, you'll provide insights to drive business growth and foster innovation in credit risk management. Key responsibilities: <ul> <li>Be a hands-on expert in credit risk area.</li> <li>Collect and analyze data from various sources, including internal systems, Credit Bureaus, to identify trends, patterns, and opportunities.</li> <li>Analyse and make recommendations that help the development of credit policy, scorecards, and limit management strategies for credit cards.</li> <li>Provide actionable insights and recommendations to stakeholders based on data analysis, helping them make informed decisions and drive business growth.</li> <li>Foster a culture of data-driven decision making within the organization, promoting the use of analytics to drive continuous improvement and innovation.</li> <li>Collaborate with other analytical teams across the European organization.</li> </ul>Qualifications and previous experience: <ul> <li>Master degree in a relevant field such as Mathematics, Statistics, Economics, Quantitative Methods, Computer Science or Engineering.</li> <li>Minimum of 5 years of experience in analytics or a data science field.</li> <li>Practical knowledge of the British credit card market and Credit Bureaus.</li> <li>Experience in consumer finance credit risk area in banks or fintechs.</li> <li>Deep understanding of credit card products, including risk and profitability drivers.</li> <li>Excellent analytical and problem-solving skills, with a strong attention to detail. Algorithmic and creative approach to solving problems.</li> <li>Proven track record of delivering impactful insights and recommendations based on data analysis.</li> </ul>Skills: <ul> <li>Proficiency in data modelling methodologies and statistical analysis techniques.</li> <li>Excellent knowledge of SQL for data extraction and manipulation.</li> <li>Experience in predictive modelling using logistic regression is required.</li> <li>Knowledge of programming languages such as Python or R will be a plus.</li> <li>Fluent English to be able to collaborate with colleagues from other countries.</li> <li>Good communication and presentation skills, with the ability to translate complex data into clear and actionable insights.</li> <li>Ability to work effectively in a fast-paced, dynamic environment, managing multiple priorities and meeting deadlines.</li> </ul>Location: London Department Risk &amp; Decision Analytics Locations London Remote status Hybrid

Credit Risk Manager

Company Description Legal &amp; General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us - from Hong Kong and Singapore, to Chicago and major European financial hubs. Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers - which include individual savers, pension scheme members and global institutions - and deliver enhanced shareholder returns. Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners. Job Description We're recruiting for a Senior Compliance Analyst to join us on a 12 month FTC. We're offering acompetitive base salary good benefits package. What you'll be doing: <ul><li>Providing compliance advisory support to the business and applying relevant rules and regulations to different asset classes</li><li>Supporting and advising the business on new and upcoming regulatory changes and how they may be impacted</li><li>Identifying and investigating new ways of working to add compliance value to the business</li><li>Working with the Head of Asset Class Oversight and MI &amp; Reporting Manager to provide conduct risk metrics</li><li>Assisting in the production of compliance MI and reports</li><li>Keeping an up-to-date knowledge on the latest compliance laws and regulations</li></ul>Qualifications Who we're looking for: <ul><li>Experience in direct investment management across asset classes</li><li>Good understanding of UK and EU regulation and of compliance and conduct risk within an investment management environment</li><li>Good understanding of the end-to-end investment process and previous exposure to investment management across asset classes</li><li>Strong analytical skills to identify impacts of emerging regulations</li><li>Good written and verbal communication skills and the ability to effectively manage stakeholders</li><li>An eagerness to learn new skills and develop new, more efficient processes</li><li>Experienced in presenting to a varied audience</li></ul>Whatever your role, we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer: <ul><li>The opportunity to participate in our annual, performance-related bonus plan and valuable share schemes </li><li>Generous pension contribution </li><li>Life assurance </li><li>Private medical insurance (permanent employees only) </li><li>At least 25 days holiday, plus public holidays, 26 days after 2 years' service. There's also the option to buy and sell holiday </li><li>Competitive family leave </li><li>Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice </li><li>There are the many discounts we offer - both for our own products and at a range of high street stores and online </li><li>In 2023, some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart </li></ul>Additional Information Legal &amp; General is a leading financial services group and major global investor, named Britain's Most Admired Company in 2023, for the second year running. Rated top in our sector and top for inspirational leadership, we have a strong heritage and an exciting future. We aim to build a better society for the long term by investing our customers' money in things that make life better for everyone. If you join us, you'll be part of a welcoming culture, with opportunities to collaborate with people of diverse backgrounds, views and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel. We strive to be open, mindful and inclusive, so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs. If you're open to find out more, we'd love to hear from you. Videos To Watch <a href="https://youtu.be/8ZYGBwImH08" target="_blank">https://youtu.be/8ZYGBwImH08</a> <a href="https://www.youtube.com/watch?v=ZBOaxOH1C2c" target="_blank">https://www.youtube.com/watch?v=ZBOaxOH1C2c</a> <a href="https://youtu.be/YwHNjdPbbkk" target="_blank">https://youtu.be/YwHNjdPbbkk</a>

Senior Compliance Analyst - 12 Month FTC

The Vacancy OVERALL SUMMARY At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don't tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life. Join the Close Brothers Compliance Monitoring team where you will lead a team responsible for developing and executing a programme of compliance monitoring and assurance activities across the deposit taking, lending and corporate functions for Close Brothers. Working as part of the Compliance Monitoring team, our ideal team member will have previous experience in Risk Governance and Risk Management with excellent communication skills. RESPONSIBILITIES <ul> <li>Define and periodically review the strategy for Compliance Monitoring and Assurance, maintaining its alignment with evolving regulatory requirements and industry norms</li> <li>Define and periodically review the Compliance Monitoring methodology and ways of working, enabling an agile and lean approach to the delivery of reviews</li> <li>Develop a risk-based monitoring and assurance plan with a strong focus on regulation and customer outcomes</li> <li>Lead the team's delivery of the agreed plan, with accountability for timely and quality reviews, delivered to budget</li> <li>Establish and utilise processes to identify topical events, business changes and regulatory developments that may impact the compliance monitoring programme, enabling proportionate responses to unexpected developments</li> <li>Build excellent stakeholder relationships</li> <li>Lead, manage and develop the team, in line with the Group's culture. Set the tone within the team by encouraging an inclusive culture and role modelling the company values and expected behaviours</li></ul>Developing Our People: as a line manager, you will be responsible for inspiring and motivating your team, as well as developing performance through coaching. You will encourage your team to take responsibility for their own personal development and provide support through regular feedback. WE WOULD LOVE TO HEAR FROM YOU IF: <ul> <li>You have demonstrable expertise in Risk Governance and Risk Management including risk identification, controls design and controls testing</li> <li>You have considerable experience of monitoring activities within a variety of financial institutions</li> <li>You have demonstrable understanding of existing regulatory expectations in areas such as third-party management/outsourcing, conduct rules, complaints handling, collections and arrears management and treatment of vulnerable customers</li> <li>You have excellent relationship building skills</li> <li>You are credible in Executive level discussions</li> <li>You hold a professional qualification in compliance, law, accounting, risk management or auditing.</li></ul>IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU: <ul> <li>Have strong knowledge and hands on experience of using data analytics tools and interpreting results</li></ul>We are an inclusive organisation and committed to ensuring our recruitment process is as accessible as possible to everyone. We will make adjustments for people who have a disability or long-term condition. If you need the job description or application form in an alternative format or would like to discuss the recruitment process with us, please email us at <a href="mailto:recruit.ssc@closebrothers.com" target="_blank">recruit.ssc@closebrothers.com</a> or request a call back. ABOUT US At Close Brothers we support employees to balance their work life priorities and in this role you will be able to enjoy a mixture of hybrid working. Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading. At Close Brothers we provide financial support and advice to small businesses and individuals in the UK. Our purpose is to help the people and businesses of Britain thrive over the long term. To find out more about Close Brothers, please visit our careers page: <a href="https://www.closebrothers.com/careers" target="_blank">https://www.closebrothers.com/careers</a> To find out more about life at Close Brothers: <a href="https://www.closebrothers.com/life-close-brothers#374017299-899295541" target="_blank">https://www.closebrothers.com/life-close-brothers#374017299-899295541</a> To find out more about our benefits: <a href="https://www.closebrothers.com/employee-benefits" target="_blank">https://www.closebrothers.com/employee-benefits</a> To find out more about our commitment to creating an inclusive environment: Our Responsibility - Diversity and inclusion ¦ Close Brothers Group #LI-TG1 #LI-Hybrid The Company Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading. We employ over 3,500 people, principally in the UK. Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading. We employ approximately 4,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange. Our businesses have remained local as we continue to provide bespoke services, and developing long-term relationships ensuring our success in the future. We value our clients over everything else. What they do is important - they are the doers and makers of things, the wealth creators, the investors and the savers. We ensure our services meet their specific needs and invest to support them as they grow. These principles, founded in our past but applied to the modern world today, represent what we describe as 'modern merchant banking' - values that are embedded in our culture and that underpin everything we do. Inclusion The Benefits Private medical Discounted health checks Stakeholder pension contribution Gym discounts Cycle to work scheme Save As You Earn scheme Purchase additional holiday Previous Next Charity &amp; Sustainable work At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees' favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them. To find out more detail please follow the link below: <a href="https://www.closebrothers.com/charity" target="_blank">https://www.closebrothers.com/charity</a>. Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future. To find out more detail please follow the link below: <a href="https://www.closebrothers.com/sustainability" target="_blank">https://www.closebrothers.com/sustainability</a>.

Head of Compliance Monitoring

Company purpose: Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. Our employer promise is built around three pillars: • Being a great place to work • Committed to sustainability and having a positive impact • Being dedicated to the development of our people Business area CIB UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in adhering to internal controls and external rules and managing compliance risks. The function typically acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison. This includes providing advice on the development of control frameworks and conducting regular assessment of the effectiveness of controls. The Market Abuse Surveillance team is responsible for delivery of a comprehensive compliance market abuse surveillance and risk management framework across all CIB business lines and functions across EMEA. Job purpose As a member of the 2LoD alert investigations team, the individual will be responsible for the management, co-ordination and conduct where directed of investigations relating to instances of significant market misconduct arising across the BNPP Group and the Global markets business in particular. Key responsibilities Market misconduct investigations: • Act as the EMEA MAS team's Legal expert and assist in relation to formal investigations. • Depending on the ownership, scope, subject and complexity of these cases, either coordinate / contribute to the relevant investigations and reporting. • Ensure relevant analysis of data and records, prepare for and conduct interviews, organise / lead investigation team and drive the investigation to a timely and meaningful conclusion. • Liaise with Legal, HR and Compliance teams as necessary in the conduct of these investigations. • Assist in producing clear and concise reports regarding the outcome of the investigation (or relevant part of investigation), make recommendations. • Act as the Legal point of contact for Compliance teams and in particular the Whistleblowing Referents related to cases where market abuse expertise is needed. • Interact with and present to Bank Disciplinary and Conduct escalation processes/committees where necessary. • Develop and maintain a close working relationship with Compliance and other colleagues on market abuse surveillance investigation matters. • Maintain strict confidentiality when managing whistleblowing and other confidential cases. Expert in trade surveillance • When investigations are not prioritised, perform day to day L2 trade surveillance investigations across CIB EMEA and to review STOR's and MO's before submission. • manage alerts for trade surveillance and business escalations, conduct end-to-end investigation and MO's / STOR's filing to the regulators if needed. • Liaise with Compliance teams locally, regionally and globally on escalations and investigations. • Assist with the planning and implementation of any tactical or strategic solutions in order to fulfil Regulator / Internal audit / Compliance requirements. • Contribute to the production and maintenance of relevant Standard Operating Procedures. • Support the L1 offshore team by acting as one point of escalation. • Participate in or lead training initiatives for off-shore based L1 teams. Requirements • Professional qualification and prior Compliance experience in trade surveillance within banking compliance, risk or related field preferred, but not essential • Detailed knowledge of specific Compliance principles and processes in Market abuse surveillance and monitoring. • Understanding of Market Abuse and associated regulation including MAR and MiFID. • Expert level knowledge of the UK and European regulatory framework and its application to banking and markets. • Good analytical skills and an ability to provide legal insights and experience into advice and recommendations. • Previous investigations experience advantageous - Preferably in the context of financial markets or AML activity. The candidate should demonstrate critical thinking and understand the steps required in collecting, documenting and preserving evidence in a manner that meets Group standards. Ability to draft interview questions and be present during interview sessions and assist the primary interviewer. Skilled in the interview process and understanding those techniques that are compliant with legal standards and admissible in court. A keen eye for detail whilst conducting document review, and the ability to spot inconsistencies. • Excellent written and oral English skills in order to articulate technical issues and effectively communicate with individuals across the business. • Strong knowledge of Trader activities helpful but not a must (Transaction/ P&amp;L/ Positions). • Strong knowledge of financial markets and assets classes • Good analytical and research skills and an ability to translate knowledge and experience into advice and recommendations. • Good team working. • Excellent written and oral English skills in order to articulate technical issues and effectively communicate with individuals across the business. Ability to draft reports and legal documentation a plus. • Legal experience or knowledge of EMEA regulations a plus. The candidate will also assist in regulatory RFI and partake in in person meetings with regulators, accompanying the EMEA Head of MAR Surveillance and Investigations. The candidate will preferably have had experience interacting directly with the regulator (FCA) particularly in the context of RFIs, reporting or liaising around particular investigations. The candidate will demonstrate an ability to liaise as well with various members of the internal legal team as well as any external counsel. Computer literacy and a good knowledge of common software e.g. Microsoft Office. Experience of relevant specialist Compliance software. And of course, we expect all our colleagues to embody and practice the Group values (alignment with the Bank's strategy, commitment, work ethic, integrity and Code of Conduct). A bit more about why you should join us 1. We're a great place to work We aim for optimal work/life balance (depending on role, this includes hybrid working, flexible working and agile) We are proud of our award-winning flexible benefits and health &amp; wellbeing strategy. Our flexible benefits include: • Generous holiday allowance of at least 26 days (plus bank holidays) with option to buy and sell holidays. • Valuable financial plans a 12% non-contributory pension which has been moved to sustainable investments*, life assurance*, income protection and personal accident insurance. • Extensive wellbeing and mental health offering one of the most advanced private medical schemes in the UK, dental cover, wellbeing app, Cognitive Behavioural Therapy support, subsidised gym memberships, bespoke health assessments including genetic testing, Private GP (including digital GP services to parents of employees), Employee Assistance Programme, menopause &amp; fertility support (we are an accreditedMenopause Friendly Employer), neurodiversity assessment and support. • Key onsite services and facilities in London include physiotherapy, nutrition, massage therapy, physiology, mental health first aiders, seasonal flu vaccinations and free onsite fitness centre. • Plus, emergency back-up care for dependants,green car leasing, season ticket loan, and a range of other benefits. * Subject to relevant caps 2. As the eurozone's largest bank, we are committed to having a positive impact in the world. For example, we are committed to Net Zero in all of our financing and investment portfolios by 2050. By 2030, 80% of our energy production financing will be low carbon. But impact for us means more than climate. It means empowering our people every day. Everyone gets four volunteering days each year - in 2023, we achieved over 18,000 hours of volunteering across the UK and reaching over 4,500 young people. 3. We believe in our people We support our people to develop skills to adapt to the ever-evolving world of work and to prepare for the jobs of today and tomorrow. We do this through a comprehensive training offering, talent programmes, mentoring, career days and inhouse career tools. We are proud of the number of our people who progress and secure new roles internally. In fact, in 2023, nearly half of our positions in UK CIB were filled internally. Investing in our people also means we have a collaborative and inclusive culture: • Direct feedback from our people shows that our internal culture sets us apart from our industry peers. • Each year, nearly 30,000 employees globally are involved in professional networks that play an active role in promoting Diversity and Inclusion within the Group. These include our: Pride Network, Ability Network (which supports disabled employees), MixCity (gender equality network), Women in Global Markets, Women in Global Banking, Women in IT, Diversity Equity &amp; Inclusion in Technology, Early Careers Network, Multicultural Network and Parents &amp; Carers Network. Equal opportunities BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or any other legally protected status. Adjustments We don't want anyone to be disadvantaged in our recruitment processes, so if you have a disability or health condition which may mean that you'd benefit from some adjustments or additional support, please let us know as early in the process as possible. #LI-Hybrid

Compliance Manager, MAS Investigations (Legal) - Vice President

About the job Our client, a leading Bank, are looking for a 1st Line Operational Risk Manager to join their Operational Risk team based in London. Responsibilities below: <ul> <li>You'll report into the Senior Manager - Lending and work closely with stakeholders across the three lines of defence to ensure it operates within risk appetite, through the application of commensurate mitigating controls. </li> <li>Be able to identify areas of risk and have a strong knowledge of operational risks and controls. </li> <li>Lead in defining solutions in response to risks which are i) smart and proportionate, iii) sustainable (e.g. Automated controls over manual interventions) and iv) considered (i.e. not just plugging the gap but thinking more holistically about the issue and what we need, to improve the risk environment) </li> <li>Be able to manage interdependencies in order to support in the delivery of agreed solutions, change initiatives in a timely and high-quality way. </li> <li>Ensure that MI and reporting is delivered in a timely manner, enabling accountable individuals to make informed, risk-based decisions. </li> </ul>Must have previous experience within Operational Risk. For further information please don't hesitate to contact me on my email: Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative. Morgan McKinley encourages applications from all qualified candidates who represent the full diversity of communities in the UK. Accommodations are available on request for candidates taking part in all aspects of the selection process. BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

1st Line Operational Risk Manager

Qube Research &amp; Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT's collaborative mindset which enables us to solve the most complex challenges. QRT's culture of innovation continuously drives our ambition to deliver high quality returns for our investors. We are looking for an experienced Central Compliance Officer. Your future role at QRT You will be joining a supportive Compliance function, where you will be responsible for: <ul><li>Central Compliance Management: Oversee the daily operation of the Core Compliance program, including Personal Account Dealing (PAD), Outside Business Interests (OBI), Conflicts of Interest, and Gifts and Entertainment policies.</li><li>Investment and Due Diligence Support: Assist with the external manager programme and operational due diligence processes</li><li>Employee Support: Provide advice, guidance, and support to QRT employees on central compliance-related queries.</li><li>Policy and Procedure Advisory: Advise senior management, employees, and the compliance team on compliance arrangements, policies, and procedures, ensuring timely responses and updates.</li><li>Onboarding and Offboarding Management: Oversee weekly New Joiner and Leaver processes, including monitoring the completion of employee certifications for both new hires and existing staff periodically.</li><li>Regulatory Submissions: Support periodic and ad hoc UK and US regulatory filings and submissions.</li><li>Regulatory Monitoring and Policy Enhancement: Track regulatory developments and implement or refine internal central compliance policies and procedures as necessary.</li><li>NFA Training and Registration: Administer training for NFA Associated Persons and manage NFA Principal registration processes.</li><li>Governance and Reporting: Coordinate and produce monthly management information, including data submissions for governance and board committee meetings.</li><li>Stakeholder Collaboration: Deliver mandated initiatives by collaborating with internal and external stakeholders.</li><li>FCA Regulatory Updates: Assist with SMCR processes and maintain the FCA Directory by updating information on Certified Persons.</li></ul>Your present skillset <ul><li>Prior Core Compliance experience is essential.</li><li>Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules.</li><li>Previous experience in a Compliance role at a buy-side firm is desirable.</li><li>Excellent verbal, interpersonal, and written communication skills are essential.</li><li>Strong administrative skills.</li><li>Confident and adaptable, and possess an eye for detail.</li><li>Some team leadership experience is desirable but not essential.</li><li>Demonstrate ability to collaborate and partner effectively with global teams.</li><li>Promote and foster good conduct, culture, and employee engagement.</li></ul>Your Qualifications <ul><li>The ideal candidate will be educated to a degree level and hold relevant Compliance qualifications.</li><li>IT literacy (MS Office, databases etc).</li></ul>QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.

Senior Central Compliance Officer

FCA Regulatory Compliance Specialist Remote - with occasional travel required across the business Full Time Permanent Ref: REQ002707 XPS Group is a leading UK consulting and administration business specialising in the pensions and insurance sectors. At XPS, our vision is to create a vibrant place to work where difference is recognised as a strength and where talented people can flourish and achieve their highest potential . Our Central Functions Compliance team continues to grow and we are now looking for an experienced FCA Regulatory Compliance Specialist to join our vibrant team. This is an exciting role and would most likely suit someone with extensive previous experience in a similar role where they have gained knowledge and experience of managing FCA compliance matters, including regulatory reporting/ leading on regulatory change, and supporting the businesses implementing new and revised regulatory requirements. A FTSE 250 company, XPS combines expertise and insight with advanced technology and analytics to address the needs of over 1,400 pension schemes and their sponsoring employers on an ongoing and project basis. We undertake pensions administration for over one million members and provide advisory services to schemes and corporate sponsors in respect of schemes of all sizes, including 88 with assets over £1bn. We also provide wider ranging support to insurance companies in the life and bulk annuities sector. Our people drive our success and as an XPS employee you can bring your whole self to work - Everyone is treated equally and with respect. We will provide you with the support and training you need to grow and be at your very best. It's about inclusion and diversity, ensuring all our people feel included, that they belong to XPS and that they're happy. Above all, it's about ensuring everyone has a voice and feels valued. Because they are. The Team At XPS Group, everything we do is centred around helping members of defined benefit (DB) and defined contribution (DC) schemes receive the best outcomes and security in retirement. We also provide wider ranging support to insurance companies in the life and bulk annuities sector. Learn more here: <a href="https://www.xpsgroup.com/what-we-do/" target="_blank">https://www.xpsgroup.com/what-we-do/</a> The Compliance Team manage many of the Group's legislative and regulatory obligations to ensure that XPS remain compliant, or that when an issue arises, appropriate action is taken to minimise Group exposure. Just a few of these obligations are set out below. <ul> <li>Ensuring that the FCA regulated firms in the Group provide all services in a way that is consistent with the Financial Conduct Authority's rules and principles.</li> <li>Reporting and/or responding to enquiries from Regulatory Bodies and Organisations</li> <li>Ensuring the Group comply with Data Protection laws, firstly by setting high level standards but also getting involved in all breaches and DSARs, reviewing contracts, and supporting the Group's businesses in developing new services or systems taking into account Data Protection and Privacy laws.</li> <li>Developing, providing, and overseeing mandatory training on financial crime, data protection and other legal/ regulatory requirements.</li> <li>Maintaining Group compliance with anti-money laundering regulations and sanctions rules.</li> <li>Managing Group obligations to respond to legal proceedings linked to AML and Financial Crime.</li> <li>Carrying out audit and review work to manage emerging risks/in response to thematic issues. </li> </ul>The Role As a FCA Regulatory Compliance Specialist with XPS you will: <ul> <li> Ensure ongoing compliance with FCA requirements, as they apply to the FCA regulated firms within the group. </li> </ul> <ul> <li> Identifying and managing FCA regulatory change both ad hoc and project related, including working with the business on Consultation responses and helping the business understand and implement regulatory change in their business. </li> <li> Contributing to Group Project including internal business change, acquisitions, and new business areas initiatives to help the Group businesses grow whilst remaining compliant. </li> <li> Work closely with senior leadership to provide regular reports on compliance and risk management activities, as well as offer strategic input on compliance-related issues. </li> <li> Assisting the business on matters to mitigate Anti-Money Laundering (AML) Risks and prevention of financial crime and terrorist financing. </li> <li> Acting as Deputy MLRO/Nominated officer for XPS firms subject to the Money Laundering Regulations. </li> <li> Writing, updating, and implementing Compliance policies and procedures in line with FCA regulations/business requirements. </li> </ul> <ul> <li> Managing external legal engagement to ensure optimum value achieved from spend. </li> <li> Through business engagement, help to i dentify and assess potential compliance risks across the Group , working with Risk colleagues to develop strategies to mitigate risks, and implement controls to protect the business. </li> <li> Management and reporting (where required ) of FCA breaches. </li> <li> Oversight of the FCA certification process, working with the business on ongoing requirements post certification. </li> <li> Contribute to Compliance monitoring and auditing processes and ensure that actions are tracked to completion. Where audit activity is undertaken jointly with colleagues on the Risk team, work with them to agree r esponsibilities / ensure maximum efficiency . </li> <li> Supporting the HR L&amp;D team by helping to write and review Group mandatory training modules on Compliance related matters. </li> </ul>Your profile Essential Criteria <ul> <li> Knowledge and experience within the UK Pensions Industry </li> <li> FCA regulatory knowledge and experience, including regulatory horizon scanning and analysis , to Consultation responses and implement Policy statement/Rules , preferably in a SIPP/Institutional Investment Consulting firm. </li> <li> Experience of Consumer Duty a nd its application within FCA regulated firms. </li> <li> Operational experience in building and running a robust compliance program me to manage FCA and wider UK regulatory /legislative requirements. </li> <li> A detailed understanding of Know Your Customer, Anti-Money L aundering , Financial Crime related requirements . </li> <li> Strong understanding of regulatory reporting requirements and internal audit processes. </li> <li> Experience/understanding of GDPR and/or UK Data Protection Act compliance.</li> </ul> Desirable Criteria <ul> <li> Excellent analytical skills with a keen attention to detail. </li> <li> Ability to communicate complex compliance issues clearly to various stakeholders. </li> <li> Microsoft Systems (Excel, Word, PowerPoint, Outlook etc.). </li> <li> Presentation skills. </li> <li> Initiative and commitment to continuous improvement. </li> <li> Ability to plan and prioritise own workload and manage that of direct reports. </li> <li> Ability to work quickly and calmly, especially under pressure. </li> <li> Being a team member with a flexible approach. </li> </ul>What we offer: Find out more about Life at XPS Find out more about Our People Approach We offer an attractive reward package, typical benefits can include: <ul> <li>Competitive salary</li> <li>Participation in annual discretionary Bonus Scheme</li> <li>25 days holiday plus flexibility to buy or sell holiday</li> <li>Flexible Bank holidays</li> <li>Pension scheme, matching contribution structure</li> <li>Healthcare cash plan</li> <li>Flexible Benefits Scheme to support you in and out of work, helping you look after you and your family covering Security &amp; Protection, Health &amp; Wellbeing, Lifestyle</li> <li>Life Assurance cover, four times basic salary</li> <li>XPS Rewards (offers High Street discounts and savings from retailers and services providers as well as offers available via phone)</li> <li>Employee Assistance Programme for you and your household</li> <li>Access to a digital GP service</li> <li>Paid volunteering day when participating in Company organised events</li> <li>Staff referral scheme when you introduce a friend to XPS </li> </ul>What next: If you feel XPS could be the next step on your career ladder, please apply directly via the links provided and we look forward to learning more about you. We will consider all applicants and respond swiftly. Please discuss with the recruitment team, via phone or email, if you require any adjustments to the recruitment process. For example, we can provide materials in an alternative format, or give you extra time in interviews or tests. If you do not feel ready to apply or still have questions, please email us by clicking here The successful candidate will need to demonstrate the following requirements: <ul> <li> Right to Work confirmation </li> <li> DBS Disclosure check </li> <li> Employment or educational references covering five years </li> <li> Satisfactory credit check </li> </ul>We continuously strive to build an inclusive workplace where all forms of diversity are valued, including age, background, disability, gender, gender identity, gender expression, race, religion or sexual orientation. Please note we reserve the right to close our vacancies early and we only accept CVs direct from candidates or our preferred supplier list. XPS try wherever possible to respond to all applicants if for any reason you have not heard from us within 28 days of your application, please assume you have been unsuccessful on this occasion.

FCA Regulatory Compliance Specialist

Ref: 39561 Enterprise Risk Management Director - ICARA / ICAAP A leading global bank is seeking an experienced Enterprise Risk Management Director to lead their risk management efforts, focusing on ICAAP, ICARA, and capital assessments. In this senior role, you will oversee the development and implementation of the risk framework, ensuring compliance with regulatory standards and effective capital planning. Your expertise in ICAAP and ICARA will be crucial in preparing reports and providing insights into capital adequacy, stress testing, and scenario analysis. Strong leadership skills are essential as you will guide cross-functional teams, influence senior management, and drive strategic risk decisions across the organization. The ideal candidate will have extensive experience in risk management, a deep understanding of capital assessment processes, and a proven track record in regulatory compliance. You should be highly analytical, strategic, and able to communicate effectively with senior stakeholders and regulators. This is a key leadership role offering competitive compensation, benefits, and opportunities for career development. If you're ready to make a strategic impact in a dynamic environment, I invite you to apply today. Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons - men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

Enterprise Risk Management Director - ICARA / ICAAP

Shangri-La International Hotel Management Pte Ltd At the Shangri-La Group, we are a heart-warming family. We share something powerful - our genuine care and respect for others. Our strength lies beyond our harmonious surroundings and hideaway locations. It lies in our core values that guide us to treat each and everyone with honour, as kin, as family. We strive to be the preferred employer by providing great benefits, tranquil and sincere working environment, work-life balance, and effort recognitions. As an CSRD Compliance Manager, We Rely on You To <ul> <li>Understand and ensure compliance with the Corporate Sustainability Reporting Directive (CSRD) and other emerging European sustainability regulations</li></ul><ul> <li>Stay updated on changes in sustainability legislation and advise the organization accordingly</li></ul><ul> <li>Deliver training and workshops on topics including CSRD, double materiality, and ESG, whilst promoting sustainability awareness across the organization</li></ul><ul> <li>Prepare detailed and accurate sustainability reports for internal and external stakeholders, ensuring compliance with regulatory standards</li></ul><ul> <li>Align with HK Compliance, Legal and Finance departments to ensure all statutory reports are completed and file to the necessary levels with</li></ul>We Are Looking for Someone With <ul> <li>In-depth understanding of CSRD and European sustainability regulations</li></ul><ul> <li>Practical experience in implementing sustainability frameworks and policies is highly desirable</li></ul><ul> <li>Good report writing and analytical skills, with attention to detail</li></ul><ul> <li>Flexibility to perform onsite Hotel audits and management reviews</li></ul>Local package will be offered to successful candidate If you are the right person, what are you waiting for? Click the apply button now!

CSRD Compliance Manager

Job Introduction Compliance Advisory Manager Salary £65 - 70,000 12 Month FTC Hybrid - Home &amp; Hub - London &amp; Kent The Saga Advisory team seeks to safeguard and empower the rest of the business to deliver its strategy and operate its functions compliantly and in a risk-focused way. This is achieved by building and nurturing stakeholder relationships and providing accurate, timely and robust regulatory advice and support. It is a busy and dynamic team that covers all aspects of conduct regulation for 3 regulated firms, a claims handling company, and 3 Appointed Representatives, so our day-to-day work is varied and interesting with no day being the same! Reporting to the Head of Conduct Risk, you will work as a senior Compliance Advisory Business Partner, working closely with business stakeholders on typically more complex or sensitive compliance work. You will also line manage a Conduct Risk Business Partner, providing ongoing coaching, support, and best practices to ensure high-class service delivery in the conduct risk space. At Saga, we work flexibly, which means our colleagues have autonomy over where they work- at home or in a hybrid setting. This role has a small hybrid element, which means that our team comes together when we need to collaborate. Role Responsibility Working as one of our Compliance Advisory Managers, you will be responsible for Insurance Compliance, including managing and prioritising team activities, performance metrics, and engagement initiatives to ensure peak productivity and morale. Other accountabilities will include: <ul> <li>Building and managing effective relationships with key business stakeholders, including senior executives and external partners.</li> <li>Guiding the business in identifying and managing compliance risks, including implementation of appropriate controls.</li> <li>The provision of business-focussed advice and recommendations on all relevant areas of regulation.</li> <li>Fostering strong regulatory relationships including timely, accurate regulatory reporting.</li> <li>Acting as a centre of excellence in all aspects of regulatory compliance, developing and providing training.</li> <li>Maintaining an effective horizon scanning framework to keep the business fully informed on regulatory and legislative initiatives.</li> <li>Providing regulatory insight into change work, led by the first line.</li> <li>Serve as a mentor to colleagues within the team and wider risk function</li> <li>Maintaining the highest level of integrity and confidentiality.</li> <li>Deputise for the Head of Conduct Risk if and when required.</li></ul>The Ideal Candidate You will be seen as an expert compliance and have already worked in the Insurance Industry for some time. Ideally you would hold a relevant professional qualification or CII certificate. You can demonstrate the following skills and experiences; <ul> <li>A sound knowledge of FCA (and ideally Gibraltar) regulatory requirements and key conduct related priorities within insurance.</li> <li>The ability to manage and develop high performing staff</li> <li>Can independently manage a portfolio of work and balance the demands of maintaining high quality work and delivering to deadlines.</li> <li>Demonstrate excellent verbal and written communication skills and able to take complex issues and communicate them in a simple easily understood way</li> <li>Have a methodical, analytical, enquiring mind and tenacity, while maintaining objectivity</li> <li>Quickly gets to grips with understanding unfamiliar businesses, process or products. Able to logically analyse and assess them.</li> <li>Can challenge and raise your point of view across to senior individuals and can defend it constructively. </li> <li>Always able to exercises strong judgement, identifying key issues and suggesting appropriate solutions for them.</li> <li>Fully understands the concepts of risk, controls and materiality and can be proportionate when making decisions.</li></ul>Package Description Everyday our colleagues deliver exceptional experiences to our customers. We believe exceptional work deserves even more exceptional rewards, that's why we have put together an amazing benefits package for all colleagues. We offer total flexibility over where you work you choose a place that you feel most comfortable and productive, either from home or in one of our hubs in London, Ashford or Sandwich. BENEFITS AVAILABLE TO ALL COLLEAGUES: <ul> <li>Our working week is 35 hours per week, these can be worked flexibly to suit your working style</li> <li>25 days holiday + bank holidays</li> <li>Option to purchase additional leave up to 5 extra days</li> <li>Pension scheme matched up to 10%</li> <li>Life assurance policy on joining us</li> <li>Wellbeing programme</li> <li>Colleague discounts including family discounts on cruises and holidays</li> <li>Range of reductions and offers from leading retailers, travel groups and entertainment companies</li> <li>Enhanced maternity and paternity leave</li> <li>Grandparents leave</li> <li>Company performance related annual bonus - Up to 5%</li> <li>Income protection</li> <li>Access to Saga Academy, our bespoke learning platform</li></ul>About the Company Over the past 70 years we have become the UK's specialist provider of products and services to people aged over 50 in the UK. The Saga brand has become one of the most recognised and trusted brands amongst UK consumers in this demographic, recognised for its high quality products and exceptional standards of service. These include cruises and holidays, insurance, personal finance and the Saga Magazine. At Saga we are committed to treating all employees fairly and to offering equal opportunities in all aspects of employment and advancement. We value diversity not just because it is the right thing to do, but because diverse teams perform better. We're passionate about diversity, equity, and inclusion. Championing diversity is important to us, and diverse teams really are the best ones. We're dedicated to creating a culture where every colleague feels like they belong. So that at Saga, more than anywhere else, you can be your best, be yourself and make a difference. Fair consideration is given to all applicants, including those with disabilities and those over who are over the age of 50. As champions of age inclusivity and signatories of the Age-Friendly Employer Pledge, we are proud of our multigenerational teams. We are also an official Disability Confident Committed employer and ensure that our recruitment process is inclusive and accessible and we will make reasonable adjustments as required. For more information on our DEI policies please visit our Saga Careers page. Saga does not accept agency CVs unless specifically engaged on the role by the Talent Acquisition Team. Please do not forward CVs to our recruiters, employees or any other company location. Saga will not be responsible for any fees related to CVs received in this unsolicited manner. #LI-VL1 Saga Group

Insurance Compliance Advisory Manager

About Sayari: Sayari is the counterparty and supply chain risk intelligence provider trusted by government agencies, multinational corporations, and financial institutions. Its intuitive network analysis platform surfaces hidden risk through integrated corporate ownership, supply chain, trade transaction and risk intelligence data from over 250 jurisdictions. Sayari is headquartered in Washington, D.C., and its solutions are used by thousands of frontline analysts in over 35 countries. Our company culture is defined by a dedication to our mission of using open data to enhance visibility into global commercial and financial networks, a passion for finding novel approaches to complex problems, and an understanding that diverse perspectives create optimal outcomes. We embrace cross-team collaboration, encourage training and learning opportunities, and reward initiative and innovation. If you like working with supportive, high-performing, and curious teams, Sayari is the place for you. POSITION DESCRIPTION Sayari's flagship product, Sayari Graph, provides instant access to structured global business information from hundreds of millions of corporate, legal, and trade records. We adhere to US and relevant international laws and believe that publicly available information is inherently public. As a member of Sayari's Security team you will ensure compliance with information security and data privacy related obligations imposed by laws, regulations, standards, contracts, and policies. This role will be instrumental in developing and implementing data protection standards and adoption requirements across the organization. You will work with our Data, Product, and Software Engineering teams to understand the data we have and how it's processed. With this knowledge, you'll analyze global laws and regulations, such as GDPR and EU Member State derogations, to determine actionable items required to ensure compliance. You will enforce data governance practices, inquire legal counsel when necessary, and prepare reports concerning compliance gaps. During compliance audit cycles you will advise on information security and privacy compliance matters, assist with collecting audit evidence of implemented compliance controls, and assist with the drafting, review, and implementation of information security and privacy policies. Job Responsibilities <ul><ul><li>Create and maintain security policies, standards, procedures and guidelines</li><li>Oversee and ensure the company's data privacy practices align with applicable data protection laws, including GDPR (EU), CCPA (US), and other national or international regulations.</li><li>Prepare, plan, and coordinate third-party security compliance audits</li><li>Respond to customer security questionnaires</li><li>Provide guidance on data protection requirements across the organization.</li><li>Facilitate independent security assessments and coordinate third-party penetration tests</li><li>Promote a culture of security &amp; data privacy awareness throughout the organization.</li><li>Help maintain Company's security awareness programs and ensure engineering team stay informed of top security risks and best practices </li><li>Lead investigations into potential data breaches, ensuring timely resolution and compliance with notification requirements.</li><li>Audit and measure security program maturity</li><li>Management of the ISMS with high attention to detail and exceptional organization</li><li>Triage security issues and provide recommended solutions </li><li>Monitor security and data privacy certifications and company compliance requirements</li><li>Manage relationships with vendors and audit their security program</li></ul>&gt;</ul>Required Skills &amp; Experience <ul><ul><li>Minimum of 2 years of professional experience ensuring compliance with global data privacy laws and regulations i.e. GDPR, ISO 27018, ISO 27701, Data Privacy Framework, etc.</li><li>Minimum of 4 years of professional experience participating in one or more external information security and/or data privacy compliance audits i.e. SOC 2, ISO 27018, ISO 27001, ISO 27701, etc.</li><li>Experience responding to customer questionnaires regarding information security and data privacy</li><li>Experience reviewing technical information and data privacy requirements from customers, vendors, and government regulations</li><li>Familiarity with data protection technologies and risk management strategies.</li><li>Experience performing internal security and data privacy audits to assess security maturity and provide recommendations prior to external audits</li><li>Experience using a continuous compliance monitoring tool such as Vanta, Drata, etc. to track compliance with multiple frameworks and regulations</li><li>Ability to comprehend penetration test and vulnerability scan results</li><li>Startup experience, or alternatively a multifaceted skillset </li><li>Excellent organization and professional writing capability with strong communication and presentation skills</li></ul>&gt;</ul>£94,000 - £110,000 a year The target base salary for this position is $94,000 -$110,000 GBP plus bonus and equity. Final offer amounts are determined by multiple factors including location, local market variances, candidate experience and expertise, internal peer equity, and may vary from the amounts listed above. Benefits: • A collaborative, fun and positive culture - you will be part of a successful team passionate about the mission and driving business growth • Outstanding competitive compensation package • Performance and incentive bonuses • Exceedingly generous vacation leave, parental leave, floating holidays, flexible schedule, &amp; other remarkable benefits • Eligibility to participate in our UK pension plan with a company-sponsored match • A strong commitment to diversity, equity, and inclusion • Limitless growth and learning opportunities • Conference &amp; Continuing Education Coverage • Team building events &amp; opportunities

Security Compliance Specialist (Remote, UK)

About the Role Fairbrook Medical Centre located in Borehamwood, is looking to appoint an experienced business and compliance manager to play a vital role in the smooth business operations and compliance within the centre. This is a newly created position, offering the opportunity to influence key operational processes and contribute to the overall efficiency of our practice. This position is offered on a part-time basis working 28-30 hours per week working Monday to Thursday, but we are open to discussion on these days/hours. Duties will include; <ul> <li>Implement necessary contract adjustments for GPs and communicate updates to relevant staff.</li> <li>Draft and update practice policies and/or procedures to ensure compliance with regulations and best practices.</li> <li>Ensure services meet regulatory standards and patient expectations.</li> <li>Lead the preparation for CQC inspections and ensure continuous compliance.</li> <li>Handle patient and staff complaints, ensuring resolution is timely and effective.</li> <li>Oversee communication and document sharing via TeamNet within the practice.</li> <li>Plan and execute team-building initiatives to enhance collaboration and morale.</li> <li>Manage and expand the practice's social media profiles (e.g., Facebook, Twitter, Instagram), ensuring alignment with practice policies and regulations.</li> <li>Regularly update the practice's website to keep it current and compliant with regulatory standards.</li> <li>Lead the adoption of new technologies that improve efficiency, patient care, and practice operations. This includes exploring and implementing technological solutions to streamline workflows, improve communication, and enhance service delivery.</li> <li>Expand the use of digital tools within the practice to improve patient experience, including the introduction of new digital systems where appropriate.</li> <li>Develop strategies to expand the practice's use of social media resources, engaging with the local community and enhancing the practice's online visibility.</li> <li>Oversee staff parking permits and compliance with practice policies.</li> <li>Provide assistance in other areas of the practice as needed.</li> <li>Provide cover for the Operations Manager during absence, ensuring continuity.</li> <li>Lead and manage new projects within the practice to drive innovation and efficiency.</li></ul>Please see job description for further information. About the Candidate If you are an experienced manager looking for a new role, then we would love to hear from you. You will ideally have the following experience and skills; <ul> <li>Experience working within the NHS as a business or practice manager, particularly within a general practice setting.</li> <li>Strong understanding of healthcare regulations and general practice operations.</li> <li>Familiarity with NHS processes, including GP contracts and PCN management.</li> <li>Exceptional organisational and time-management skills.</li> <li>Ability to work autonomously as well as part of a team.</li> <li>Excellent communication skills for engaging with staff, patients, and external partners.</li> <li>Experience in policy and procedure writing is highly desirable.</li> <li>Proficient with IT systems, including TeamNet, website management tools, and office software (MS Office).</li></ul>About Us We see our team as our "Fairbrook Family", supporting 15,000 patients throughout the community. We look to develop and progress each member through regular mentoring, training, and encouraging and supporting your career progress. Although you will solely work for Fairbrook we will also include you in wider mentoring, training, and support through our PCN to help your development. Further information about the surgery can be found at <a href="https://www.fairbrookmedical.co.uk/" target="_blank">https://www.fairbrookmedical.co.uk/</a>. What we offer: <ul> <li>Competitive hourly rate of up to £23 per hour, depending on experience.</li> <li>28 -30 hours per week, with flexible working arrangements.</li> <li>Supportive and friendly work environment.</li> <li>Opportunities for personal and professional development.</li> <li>Involvement in innovative projects that help shape the future of the practice.</li></ul>Disclosure and Barring Service Check Please note this post is subject to the Rehabilitation of Offenders Act (Exceptions Order) 1975 and as such it will be necessary for a submission for Disclosure to be made to the Disclosure and Barring Service to check for any previous criminal convictions.

Business and Compliance Manager

Introduction Join us at Gallagher Re, the trailblazers of the reinsurance world, where every day brings new opportunities to shape the future. We empower our clients with cutting-edge analytics and insights, providing them the confidence to make strategic decisions that transform industries. As a team member, you'll be at the forefront of innovation, translating data into impactful solutions and taking the reins of your career like never before. We believe that every candidate brings something special to the table, including you! So, even if you feel that you're close but not an exact match, we encourage you to apply. Overview We are seeking a Compliance Analyst to join our fantastic team here at Gallagher Re in London! This role provides an outstanding opportunity to work in a world-class organisation, ensuring compliance and regulatory adherence, while contributing to our dynamic and collaborative environment. How you'll make an impact <ul><li>Guide the business to identify, assess and manage compliance risk and meet professional standards set by the Gallagher Group and regulatory requirements. </li><li>Support the Gallagher Re Compliance Business Partners and the wider GGB-Re Compliance function, where necessary in providing support, advice and guidance on the Gallagher control framework and policies and procedures. </li><li>Provide focused specialist compliance advice to divisional staff taking into account business / client needs, external best practice and regulatory requirements. Identify areas where challenge to the senior management of Gallagher Re would be appropriate.</li><li>Involvement in selected projects and assistance with the delivery of material compliance work set out in the Compliance plan as well as ad hoc strategic projects; </li><li>Provide compliance support on business-led projects and M&amp;A integration projects. </li><li>Carry out research and provide expert policy advice on a range of regulatory issues with a special focus on reinsurance conduct risk. Maintain a highly visible and supportive role as a strong influencer and help internal stakeholders to understand conduct risk outcomes to anticipate, understand, prepare for and implement regulatory and policy change. </li><li>Be familiar with the business and current regulatory and compliance initiatives in a way that is likely to meet local regulatory compliance requirements for a firm of our size and sector. </li><li>Support the team in responding to a wide range of complex enquiries, ensuring that the information provided is clearly understood by the business. </li><li>Review and analyse key external trends and influences to ensure that a wide range of information is used to support the development of compliance and business strategies, ensuring they are in line with the planned overall strategy of Gallagher Re. </li><li>Support the delivery of conduct risk training and awareness initiatives within Gallagher Re.</li><li>Carry out duties following internal policies and procedures in accordance with applicable laws, rules, regulations, good governance and Gallagher's shared values, in particular, putting clients at the heart of our business.</li></ul>About you <ul><li>Relevant professional qualification would be advantageous</li><li>Knowledge of key international regulatory concepts, requirements and environments</li><li>Demonstrate solid experience or desire to operate in a regulatory environment</li><li>A good understanding of or interest in the Insurance Broking Market</li><li>Professional and forward-thinking</li><li>Ability to communicate positively and effectively</li><li>Ability to meet timeframes and prioritise workload </li><li>Sound understanding of using MS Word, Excel and PowerPoint </li><li>Eligibility to work in the UK</li></ul>Compensation and benefits On top of a competitive salary, great teams and exciting career opportunities, we also offer a wide range of benefits. Below are the minimum core benefits you'll get, depending on your job level these benefits may improve: <ul><li>Minimum of 25 days holiday, plus bank holidays, and the option to 'buy' extra days</li><li>Defined contribution pension scheme, which Gallagher will also contribute to</li><li>Life insurance, which will pay 4x your basic annual salary, which you can top-up to 10x</li><li>Income protection, we'll cover up to 50% of your annual income, with options to top up</li><li>Health cash plan or Private medical insurance</li></ul>Other benefits include: <ul><li>Three fully paid volunteering days per year</li><li>Employee Stock Purchase plan, offering company shares at a discount</li><li>Share incentive plan, HMRC approved, tax effective, stock purchase plan</li><li>Critical illness cover</li><li>Discounted gym membership, with over 3,000 gyms nationally</li><li>Season ticket loan</li><li>Access to a discounted voucher portal to save money on your weekly shop or next big purchase</li><li>Emergency back-up family care</li><li>And many more...</li></ul>We value inclusion and diversity Inclusion and diversity (I&amp;D) is a core part of our business, and it's embedded into the fabric of our organisation. For more than 95 years, Gallagher has led with a commitment to sustainability and to support the communities where we live and work. Gallagher embraces our employees' diverse identities, experiences and talents, allowing us to better serve our clients and communities. We see inclusion as a conscious commitment and diversity as a vital strength. By embracing diversity in all its forms, we live out The Gallagher Way to its fullest. Gallagher is Disability Confident Committed. We have pledged to make sure our recruitment process is inclusive and accessible, in addition to supporting our existing employees with any long-term health conditions or disabilities. We understand that applicants may have disabilities, if you do, you may find some parts of the recruitment process more challenging than others. Don't worry, we're here to help, however, we can only do this if you let us know. Should you require reasonable adjustments to your application, please get in touch with <a href="mailto:TAGlobalSupport@ajg.com" target="_blank">TAGlobalSupport@ajg.com</a> . If you'd prefer to speak on the phone, please request a call back, leaving details, so we get in touch. Our employing entity, Arthur J. Gallagher Services (UK) Limited, is proud to be accredited as a Living Wage employer with the Living Wage Foundation. We are committed to diversity and opportunity for all and are opposed to any form of less favourable treatment on the grounds of gender or gender identity, marital status, civil partnership status, parental status, race, ethnicity, colour, nationality, disability, sexual orientation, religion/ belief, age and those with caring responsibilities. Gallagher believes that all persons are entitled to equal employment opportunity and prohibits any form of discrimination by its managers, employees, vendors or customers based on race, color, religion, creed, gender (including pregnancy status), sexual orientation, gender identity (which includes transgender and other gender non-conforming individuals), gender expression, hair expression, marital status, parental status, age, national origin, ancestry, disability, medical condition, genetic information, veteran or military status, citizenship status, or any other characteristic protected (herein referred to as "protected characteristics") by applicable federal, state, or local laws. Equal employment opportunity will be extended in all aspects of the employer-employee relationship, including, but not limited to, recruitment, hiring, training, promotion, transfer, demotion, compensation, benefits, layoff, and termination. In addition, Gallagher will make reasonable accommodations to known physical or mental limitations of an otherwise qualified person with a disability, unless the accommodation would impose an undue hardship on the operation of our business.

We have an exciting opportunity for a Compliance Manager to join our UK Compliance team. Reporting into the Deputy Head of UK Compliance, your position will involve supporting the Compliance advisory function in ensuring that the firm meets its regulatory objectives. Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week. Key responsibilities <ul><li>Assist in delivery of an effective compliance advisory function within CMC Markets UK regulated Firms</li><li>Line management of a junior team member (Compliance Analyst)</li><li>Providing daily regulatory advice to the business to ensure that commercial enterprises are conducted wholly in accordance with CMC's regulatory obligations</li><li>Acting as Compliance lead for key commercial and regulatory change projects</li><li> Proactive liaison with project stakeholders across the business and working cooperatively to ensure completion within deadlines. Report progress and escalate issues to the Deputy Head of UK Compliance and the Head of UK Compliance.</li><li>Being a key stakeholder/ Compliance lead for new product launches from a regulatory advisory perspective</li><li>Managing and coordinating key workstreams, projects and tasks within the Compliance team and across the business</li><li>Develop good working relationships with key stakeholders across the CMC Group</li><li>Promotion of a good compliance culture within the Compliance team and across the business, including the continual embedment of the firms' Consumer Duty obligations</li><li>Assisting with Group initiatives and collaborations with wider Group Compliance colleagues</li><li>Production of MI and reports</li><li>Assist the Deputy Head of Compliance in the day-to-day management of the Compliance Advisory team</li><li>Work closely with the wider Compliance team (who focus on monitoring, training and policy) to ensure a joined-up approach across the UK Compliance team</li><li>Proactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance Framework</li><li>Assist with third party queries and requests for information including those from regulators, auditors and counterparties</li><li>Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training</li><li>When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC Markets</li><li>Take all reasonable steps to ensure appropriate confidentiality</li><li>Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role.</li></ul>KEY SKILLS AND EXPERIENCE <ul><li>Experience of working in a Compliance advisory function with an applicable regulatory framework</li><li>Ability to, and experience of management and delivery of compliance projects and being compliance point of contact for business projects and workstreams</li><li>Good, broad understanding of key aspects of the UK regulatory framework applicable to CMC's business model</li><li>Good knowledge of the products offered by CMC</li><li>Proactive in taking ownership of tasks</li><li>Able to liaise and build effective working relationships with a range of stakeholders of all levels of seniority</li><li>Competent in researching regulatory requirements and relating meaningful interpretations and feedback to Compliance colleagues and business stakeholders</li><li>Ability to interpret regulatory publications and assess impact upon CMC</li><li>Able to communicate effectively to all levels of the business</li><li>Excellent report writing and analytical skills</li><li>Can give direction to others to produce high quality work both independently and as part of a team</li><li>Proactive in suggesting and implementing process improvements where required</li><li>Organised and self-motivated working style</li><li>Analytical approach with attention to detail</li><li>Strong communication skills, written and verbal</li><li>Able to respond and adapt positively to changing and competing priorities</li><li>Strong team player with ability to self-manage and manage others</li></ul>CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

221 Jobs in Brentwood, UK