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

Senior Compliance Officer - Generalist

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

Head of Compliance, eToro Money UK

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

Senior Compliance Monitoring Officer - Treasury

<ul> <li> Email </li> </ul>Our Business Operational Risk Management team within the Risk Management Group is dedicated to extending and applying non-financial risk expertise across all risk processes managed by Macquarie's global Line 2 risk function. We ensure the effective embedding of the Risk Management Framework across various divisions, including Market, Credit, Compliance, Financial Crime, Operational, Prudential, Internal Audit, and the Risk Management Group Chief Operating Officer function At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility As a Business Operational Risk Manager, you will play a crucial role in embedding the risk management framework across the Risk Management Group's divisions. You will gain a comprehensive understanding of the risks inherent as our global Line 2 risk function, advising on and challenging the effectiveness of mitigating controls. Additionally, you will support incident and issue management, partner with wider Risk Management Group divisions to ensure clear understanding of their role in operational risk management, and facilitate risk and control self assessments. What you offer Press space or enter keys to toggle section visibility <ul><li>Experience within non-financial risk, operational risk management, or a similar discipline </li><li>Tertiary education in accounting, finance, or a related discipline </li><li>Strong analytical skills and ability to draw out insights </li><li>Good attention to detail together with excellent organisation &amp; coordination skills </li><li>Exceptional stakeholder management and clear communication skills </li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About the Risk Management Group Press space or enter keys to toggle section visibility Our Risk Management Group works as an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. We are a global team that aims to manage the risks of today and anticipate the risks of tomorrow. Our divisions include compliance, credit, financial crime risk, internal audit, market risk, operational risk, aggregate risk and prudential, and central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

Business Operational Risk Manager | 12 Mth Fixed Term Contract

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

Compliance Officer - Advisory

About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. The role Reporting to the Chief Operating Officer, the successful candidate will provide strategic leadership and direction across the first line of defense with regards to executing the Enterprise Risk Management Framework, with special focus on Legal Entity Governance, Compliance, and Intra-Company Arrangements. The successful candidate will demonstrate some of the following skills: <ul><li>Executive Leadership and Strategy: Provide strategic leadership and direction across the first line of defense with regards to executing the Enterprise Risk Management Framework, with special focus on Legal Entity Governance, Compliance, and Intra-Company Arrangements. Engage with the Board of Directors, Risk and Operating Committees, internal Executive Leadership and external regulatory bodies on risk and resiliency matters. Participate in key committees to provide insights and guidance on risk and resiliency matters.</li><li>Legal Entity Oversight: Oversee the organization's legal entities to ensure they are operating in compliance with all relevant laws and regulations. This includes ensuring that each legal entity is appropriately structured and capitalized, monitoring their activities to ensure alignment with its stated purpose and business strategy, and overseeing the governance arrangements for each legal entity, including the composition and effectiveness of its board of directors.</li><li>Compliance Governance: Ensure compliance with all relevant laws and regulations and develop and implement risk management policies and procedures. Work with regional Conduct Offices to optimize compliance processes and reporting within the first line of defense.</li><li>Business Process Transition Risk Management: Review process transitions, escalate migration issues, and ensure operational readiness.</li><li>Intercompany Arrangements (ICA): Provide functional oversight and completion of Intra-Company Arrangements (ICA), maintain the register of ICAs, support due diligence, and track ICA issues.</li><li>Service Level Agreements: Maintain the inventory of internal service level agreements (SLAs) between the COO Business Services organizations and internal customers - Business Units/Corporate Groups and Legal Entities (LE). Establish tracking and reporting to measure the effectiveness and efficiency of the COO operational units in delivering its services to the rest of the enterprise.</li><li>Content Management &amp; Reporting: Develop and maintain a centralized systems to provide a comprehensive view of the legal entities management and COO business services. Aggregate, produce and distribute non-risk reporting to Legal Entities and COO to enable discharge of duties - e.g., COO operational SLAs, ICAs, performance metrics, etc. Consult with the Data Governance, 2LOD Enterprise Risk Management, and other Corporate Group support teams to ensure content, templates, metrics, and dashboards are useful and easily consumed by various stakeholders.</li><li>Risk Culture: Promote a culture of risk awareness and compliance within the organization, ensuring that all employees understand their role in managing risk.</li><li>Stakeholder Management: Collaborate with other departments, including the second line of defense and internal audit, to ensure alignment on risk management practices. Function as the "enterprise 1LOD hub" to support Legal Entity Owners and other stakeholder groups across our Lines of Defense, providing leadership and driving regulatory change best practice.</li></ul>Qualifications: The successful candidate will benefit from having: <ul><li>15+ years of experience in risk management or compliance; preferably within a GSIB/GSIFI organization.</li><li>Deep understanding of legal entity governance and the regulatory landscape.</li><li>Proven history in managing regulatory changes and overseeing legal entities.</li><li>Strong leadership skills, with experience in managing and developing teams.</li><li>Excellent communication and people skills, with the ability to consult effectively with stakeholders at all levels.</li><li>Strong analytical skills, with the ability to identify, assess, mitigate, and monitor risks.</li><li>Leadership skills to influence and engage stakeholders at all levels.</li><li>Aptitude in decision-making, problem-solving, and applying judgment.</li><li>A relevant degree in Law, Business, Finance, or a related field. Advanced degrees or certifications in risk management or compliance would be a plus.</li></ul>This job description provides a general guide to the duties and responsibilities of the role and is not an exhaustive list of all duties and responsibilities. Working with Us: As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose. We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater Reasonable accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at <a href="mailto:MyHRHelp@ntrs.com" target="_blank">MyHRHelp@ntrs.com</a>. We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater.

Global Head of Governance & Compliance (1LOD)

At Perrigo, we are driven by our mission to Makes Lives Better Through Trusted Health and Wellness Solutions, Accessible to All. We are proud to be a Top 10 player in the European Consumer Self-Care market and the largest U.S. store brand provider of over the counter and infant formula. Dedicated to providing The Best Self-Care for Everyone, we are the people behind the brands you trust. We are Opill®, Compeed®, Solpadeine®, NiQuitin®, ACO®, and many more. We Are Perrigo. We are committed to enhancing the wellbeing of our colleagues and consumers alike. We pride ourselves on fostering an inclusive, collaborative culture where each person can experience a sense of belonging. Join us on our One Perrigo journey as we evolve to a blended-branded business to win in self-care. Description Overview This role will be responsible for promoting and monitoring ethical practices within Perrigo's supply chain, while proactively ensuring we comply with Perrigo's human rights commitments and ethical standards, as well as those of our customers. In this position you will collaborate with our suppliers, customers, vendors and international businesses units to ensure ethical &amp; social compliance within our US business, while providing input and expertise into the global ethical, social and sustainability strategy. The successful candidate will be influential and able to build robust relationships across the supply chain; with Perrigo customers; internal stakeholders and external associations such as auditing companies. Scope of the Role <ul> <li>E&amp;SC auditing program support: Engage suppliers, customers, procurement, project teams and other internal departments to coordinate and manage supplier Ethical &amp; Social Compliance Programs.</li> <li>This includes but is not limited to: coordination and management of social audits and the oversight and approval of corrective actions.</li> <li>Administration of various E&amp;SC related databases and systems, including: Sedex, UL CAPA Portal, self-assessment questionnaires, internal dashboards, project plans and more</li> <li>Audit tracking, schedule management, status reporting, supplier scorecard input, and stage gate project support</li> <li>Develop and deliver training programs to suppliers, internal departments, and other stakeholders as needed to promote compliance and continuous improvement, collaborating as needed with international peers</li></ul>Experience Required <ul> <li>Bachelor's degree, preferably in a compliance, supply chain or related discipline </li> <li>3-5 years of relevant experience in business, compliance or supply chain</li> <li>Strong project management and detailed tracking skills</li> <li>Excellent written and verbal communication skills, especially with customers</li> <li>High proficiency in MS Office including PowerPoint and Excel</li> <li>A passion and aptitude for learning and staying at the forefront of the Ethical and Social Compliance arena</li> <li>Experience with Sedex, BSCI, and other social auditing tools/standards is strongly preferred </li> <li>Social auditing experience and/or an accreditation is desirable</li> <li>International business experience is desirable</li></ul>Benefits We believe our people are our greatest asset. Alongside competitive compensation, we offer benefits tailored to supporting you and your family, as well as career development opportunities to ensure you feel valued and supported, both professionally and personally. Find out more about Total Rewards at Perrigo. Hybrid Working Approach We love our offices and the setting they provide for in-person collaboration and celebration. But we also appreciate the opportunity to work remotely can energise you too, so we promote flexibility with the ability to work two days a week from home in many roles. We are proud to be included in the Forbes list of "America's Best Employers by State 2024". Find out more here Applicants please note: To apply to this position please click the APPLY button at the bottom of the application. (The SAVE button will only save your profile information but not submit an application for this open position.) Thank you. We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or other characteristics protected by law. Our full Equal Employment Opportunity and Affirmative Action Policy Statement is available on our main career site in English and Spanish and will be provided in other accessible forms for persons with disabilities. #DIV #weareperrigo

Ethical Compliance Program Manager

Job Description We're AtkinsRéalis, a world-leading design, engineering, and project management organization. We connect people, data, and technology to transform the world's infrastructure and energy systems. Become a vital member of our Project &amp; Programme Services team, proudly taking on some of the world's most exciting and prestigious projects. Join us, and you'll be part of our genuinely collaborative environment, where everyone is supported to make the most of their talents. It's about recognizing everyone's contributions equally while delivering excellence together. Flexible and remote working are central to our culture, so talk to us about what's important to you, from reduced weeks to buying more leave, and how we can make reasonable adjustments for you or support your ambitions outside of work. Join our Risk Management team and make a positive impact working on the most significant and complex infrastructure projects. Here your expertise in risk management across the construction, energy, or infrastructure sectors is highly valued. Collaborating with colleagues as talented as you, you'll lead projects ranging in value from £20m+ to £20Bn+, gaining diverse experience with a rewarding variety of high-profile clients across multiple sectors. Responsibilities: <ul><li>Support the successful delivery of risk management services in a consistent, professional manner with the aim of exceeding client expectations.</li><li>Implement effective risk management activities to actively reduce risk exposure and uncertainty on projects &amp; programmes.</li><li>Support development and implementation of risk management approaches/systems for clients, incorporating best practice and procedures.</li><li>Facilitate workshops and engage with project teams to ensure the effective implementation of risk management.</li><li>Support risk analyses using industry recognised software / databases.</li><li>Support preparation of risk reports summarising outputs to suit needs of the project / programme.</li></ul>Requirements: <ul><li>A recognised diploma or degree with a qualification in risk management is desirable.</li><li>Awareness of Risk Management processes aligned with ISO31000/ Institute of Risk Management / Association of Project Management methodologies and techniques.</li><li>Aptitude for learning and motivated to take on new challenges.</li></ul>To do well in this role you'll need to be able to demonstrate the following: <ul><li>A confident and professional manner, coupled with excellent communication skills, with clients and colleagues alike, to ensure clarity in all situations and to effectively influence.</li><li>An analytical thinker, you'll also be able to show initiative and examples of creativity.</li><li>Self-motivated and able to work well on your own initiative.</li><li>Highly organised and able to prioritise.</li><li>Ability to collaborate and build relationships across the wider teams.</li><li>Ability to work well under pressure and proven ability to deliver to deadlines.</li></ul>Why work for AtkinsRéalis? Join our Project &amp; Programme Services team and expand your career on some of the industry's most exciting and newsworthy construction projects - from Sizewell C to the world's tallest hotel, London's Heathrow Airport to Europe's first eco-friendly mosque. You'll enjoy invaluable exposure to international expertise as well as innovation in local niche areas. Communities are at the heart of our work and our people are proud to be working towards a Net Zero Carbon future and regenerating cities across the UK. <a href="https://careers.atkinsrealis.com/csr" target="_blank">https://careers.atkinsrealis.com/csr</a> AtkinsRéalis is committed to developing its people both personally and professionally. Our colleagues have the advantage of access to a high ranging training portfolio and development activities designed to help make the best of individual's abilities and talents. We also actively support staff in achieving corporate membership of relevant institutions. <a href="https://careers.atkinsrealis.com/" target="_blank">https://careers.atkinsrealis.com/</a> Meeting your needs: To help you get the most out of life in and outside of work, we offer employees "Total Reward." It's a package that can be tailored to your changing lifestyle, career and personal needs. Making sure you're supported is important to us. So, if you identify as having a disability, tell us ahead of your interview, and we'll discuss any adjustments you might need. New name, new era. We are AtkinsRéalis. It will take some time for all our information to update - you can still refer to our fantastic benefits via the link below. YourReward at AtkinsRéalis (atkinsrealis.com) Additional Information: This role may require security clearance and offers of employment will be dependent on obtaining the relevant level of clearance. If this is necessary, it will be discussed with you at interview. The vetting process is delivered by United Kingdom Security Vetting (UKSV) and may require candidates to provide proof of residency in the UK of 5 years or longer. If applying to this role please do not make reference to (in conversation) or include in your application or CV, details of any current or previously held security clearance. We are committed to promoting a diverse and inclusive community - a place where we can all be ourselves, thrive and develop. To help embed inclusion for all, from day one, we offer a range of family friendly, inclusive employment policies, flexible working arrangements and employee networks to support staff from different backgrounds. As an Equal Opportunities Employer, we value applications from all backgrounds, cultures and ability. Equality, diversity &amp; inclusion in the UK &amp; Europe (atkinsrealis.com) #LI-UK#LI-ATKINS #PPSProContr Worker Type Employee Job Type Regular At AtkinsRéalis, we seek to hire individuals with diverse characteristics, backgrounds and perspectives. We strongly believe that world-class talent makes no distinctions based on gender, ethnic or national origin, sexual identity and orientation, age, religion or disability, but enriches itself through these differences.

Assistant Risk Manager (Infrastructure)

Stenn is one of the leading FinTechs in Europe and a category leader in the verticals and markets it operates in. Founded in 2015, Stenn's purpose is to connect international SMEs to the global financial system, helping to bridge a reported $3.6 trillion (USD) financing gap through a fast, simple online platform. To date, Stenn has enabled over $18 billion (USD) of finance to SMEs in 3 verticals and 4 markets, with capital provided by several blue-chip banks and institutional fund managers across the globe. Rapid expansion continues at Stenn, as under-served SMEs seek financing solutions to manage significant macroeconomic and supply chain disruption; and this follows our $50 million Series A fundraise in 2022, valuing Stenn at $900 million. Our HQ is in London with employees across the globe, including the USA, Europe and China. We are made up of diverse, highly skilled professionals who work in an innovative way to develop and drive our business further. Our people are empowered to work autonomously through a trusting leadership style which encourages learning. The Role This role is a newly exciting opportunity to join Stenn as a Compliance Analyst. This role involves a blend of quality assurance, management information reporting, policy development, and data analysis. You will work closely with both the Compliance and other business functions to ensure our operations not only meet but exceed regulatory compliance standards and best practices in combating financial crimes. Responsibilities <ul><li>Quality Assurance: Conduct thorough audits and assessments of compliance and fraud prevention controls and policies, ensuring their effectiveness in mitigating financial crime risks.</li><li>Management Information: Produce detailed reports for senior management, highlighting key compliance and anti-fraud metrics, risk assessments, and the efficacy of control measures.</li><li>Policy Development: Draft, revise, and uphold comprehensive compliance and anti-fraud policies and procedures, aligning them with both regulatory mandates and industry best practices.</li><li>Data Analysis: Perform in-depth analysis of data to identify trends, unusual patterns, and potential fraud, using these insights to bolster our risk management strategies.</li><li>Training and Development: Assist in creating and delivering educational programs on compliance and fraud prevention, enhancing company-wide awareness and understanding.</li></ul>A little bit about you <ul><li>0 - 3 years of professional experience in consulting or related fields within the FinTech or Financial Services sectors.</li><li>Degree in Finance/Economics/Criminology or related fields.</li><li>Excellent communication skills and report writing skills.</li><li>Experience with spreadsheets would be an advantage, as would the ability to produce accurate and timely management information and dashboards.</li><li>High work standards with a strong attention to detail.</li><li>Self starter; proactive attitude, committed to continuous improvement and willing to drive different initiatives.</li></ul>We appreciate the support recruitment agencies can provide, however our in-house team do not require any 3rd party assistance at this time. At Stenn, we believe that every team member deserves to feel like they belong. We foster a culture of inclusivity, respect, and collaboration where everyone's unique perspectives are valued. Join us and be part of a team where you can thrive and grow, both professionally and personally.

Compliance Analyst

What you can expect to be doing: <ul> <li>Review financial promotions, providing education and training to the business towards continuous improvement. Working to regulatory requirements to review, challenge (as necessary) and approve app, website copy and marketing material falling within the definition of Financial Promotions ensuring we are Fair, Clear and Not Misleading. </li> <li>Provide product specific advice, guidance as well as independent challenge and oversight to 1LOD business teams.</li> <li>Gathering MI, taking minutes and managing stakeholders for Chip's monthly Consumer Outcomes Committee </li> <li>Reviewing and updating policies as part of our governance Risk &amp; Compliance Committee </li> <li>Overseeing all UK regulatory reporting, ensuring timely and accurate submission of reports to the FCA (PSD2 &amp; MiFID II)</li> <li>Build strong relationships with 1LoD to deliver a collaborative working environment between Compliance and the business. </li> </ul>What we're looking for: <ul> <li>Must have good experience of Financial Promotions sign-off</li> <li>A thorough understanding of the Financial Services regulatory framework that exists in the UK</li> <li>Deep working knowledge of relevant laws, regulations and industry best practices related of compliance and financial services </li> <li>Previous experience in a financial services Compliance role, in particular Payment Services and Investments</li> <li>Excellent written and verbal communication skills</li> <li>Critical thinking and problem-solving skills.</li> <li>Attention to detail and organisational skills.</li> <li>Competence in planning and conducting of monitoring/assurance reviews.</li> <li>A Compliance qualification (desirable). </li> </ul>What we're really looking for: Someone with a genuine interest in Chip and is excited about being part of a fast-growing company and our mission to build the investment super app of the future. Although we're in the financial space, and under the scrutiny that comes with it, the current compliance team works well together, and even sometimes with a smile. We're sure you've got the technical skills, otherwise, you would have stopped reading by now, so let us be clear on what will make us want to work with you. We want a real person, with interests outside of work, to join our team. You could be a dancer, a gamer, a musician, a parent, a hockey fan, or even that one person that still writes Twilight fan-fiction. Doesn't matter to us. At the interview stages, we will be looking for empathy, eq, fun stories, and the ability to smile even when things are tough. PERKS <ul> <li>£60,000 - £75,000 per annum</li> <li>Discretionary share option bonus</li> <li>Workplace pension scheme</li> <li>Private medical insurance (medical history disregarded)</li> <li>Employee Assistance Programme</li> <li>Cycle to work scheme</li> <li>Season ticket loan</li> <li>Free ChipX subscription for UK-based employees</li> <li>We are an equal-opportunity employer and value diversity</li> <li>Flexible working arrangements</li> <li>Unlimited holiday (policy not to count) </li> <li>Annual £1500 Personal Learning Allowance</li> <li>£30 per monthChip Fitness Benefit to suit your Mental/Physical Wellbeing</li> <li>Company laptop</li> <li>Opportunity to have a huge impact on our product while fast-tracking your knowledge, responsibility and skills in a high-growth fintech startup </li> </ul>Our Interview Process: <ol> <li>Video screen with someone from our Talent team</li> <li>Video interview with the hiring manager</li> <li>Final interview with Group Head of Compliance</li> </ol> Our mission is to build wealth for our generation Chip started out in 2017 as a clever app to help people save without lifting a finger. Fast forward five years, and now we've grown into an award-winning wealth app used by over 500,000 people and managing over 4 billion pounds. And we're not slowing down. Our vision We know planning for your future can be a tedious, daunting task often avoided, so we want to change that. We're building the wealth app for our community, giving them one place for saving and investing. We're giving customers control and guidance to effortlessly build their long-term wealth using award-winning tech, while celebrating their achievements along the way. Who we are Chip has a creative and diverse team of 160, from all different backgrounds and industries. We're driven and passionate people, but no one takes themselves too seriously. Don't just take our word for it. We have a few awards under our belt, including Best Personal Finance App at the 2022 &amp; 2024 British Bank Awards. Our Values Be ACCOUNTABLE Everything you do matters, Care about the end result, Challenge the norm, Disagree, yet commit to making it happen once a decision has been made, Do the best job possible Be BOLD Share our Ambition and do your bit to achieve it, Innovate: challenge the norm, break the mould and make it happen, Set goals that truly align with our mission, Do your best for our customers Be COLLABORATIVE Work cross-functionally - we win as a team, Build strong relationships based on trust, Treat others fairly and respectfully, Hold others to account, Be supportive and inclusive, Have fun together Equal Opportunities We are passionate and committed to our people and go beyond the rhetoric of diversity and inclusion. You will be working in an inclusive environment and be encouraged to bring your whole self to work. We will do all that we can to help you successfully balance your work and home life. As a growing business we will encourage you to develop your professional and personal aspirations, enjoy new experiences, and learn from the talented people you will be working with. It's talent that matters to us and we encourage applications from people irrespective of their gender, race, sexual orientation, religion, age, disability status or caring responsibilities. Note to Agencies Chip does not accept unsolicited CVs from recruiters or employment agencies in response to any of our live roles on our career page. Chip will not consider or agree to payment of any referral compensation or recruiter fee relating to these unsolicited CVs. Chip explicitly reserves the right to hire those candidate(s) without any financial obligation to the recruiter or agency. Any unsolicited CVs, including those submitted to hiring managers, are deemed to be the property of Chip. Department Compliance Role Senior Compliance Manager Locations Shoreditch Remote status Hybrid Remote

Senior Compliance Manager

<ul><li>Provide expert support and advice to Business lines and intra-team, on Regulatory Compliance processes, systems &amp; controls.</li></ul><ul><li>Act as a senior subject matter expert (SME) on legal and regulatory Compliance subjects of interest, sharing key information and supporting the Team/Bank and on any queries in this regard.</li></ul><ul><li>Keep abreast of regulatory changes that will impact the business.</li></ul><ul><li>Assist the Compliance Manager in providing advice and guidance on new regulations which impact the business. </li></ul><ul><li>Identify potential areas of compliance vulnerability and risk, direct such vulnerabilities to the Compliance Manager, Money Laundering Reporting Officer, and the Chief Risk Officer; maintain and report on the development and implementation of corrective action plans for the resolution of problematic issues, including the guidance provided on how to avoid similar situations in the future.</li></ul><ul> <li>Assist in supporting and overseeing other members of the team in carrying out their assigned roles ensuring continuity within the team in cases of absence;</li> <li>Attend project work group meetings and training events to support designing and implementation of new products and services within the Bank.</li> <li>Assist in reviewing and approving CM Testing Reports completed by other staff in the department; escalate any urgent findings to the Compliance Manager.</li> <li>Assist in conducting the required checks to effectively support the Compliance Monitoring Plan and to identify any deficiencies in control procedures through:</li> </ul>- review/inspection of policy/process/procedure or other relevant document - interviews with appropriate personnel - observation of the application of the control procedure <ul> <li>Preparing the Compliance Monitoring Test report, outlining the findings and corresponding remedial work required to bridge any gaps identified in the execution of the bank's internal policies and procedures.</li> <li>Monitor remedial actions and maintain Master Tracker for compliance monitoring findings.</li> <li>Preparation of management information for Senior Management Committees, such as the Executive Risk Committee.</li> <li>Assisting with other compliance related projects.</li> <li>Support the Financial Crime Team in the preparation of periodic reviews and transaction screening as required.</li> </ul>Requirements EDUCATION &amp; TRAINING Bachelor's degree or equivalent. EXPERIENCE AND SKILLS Minimum 3 years' experience preferably in a Compliance/AML related role. <ul><li>High standard of accuracy and attention to detail</li></ul><ul> <li>Good analytical skills</li> <li>Excellent research skills </li> <li>Strong written and verbal communication skills</li> <li>Advanced knowledge of MS Office</li> <li>Problem solving skills</li> <li>Strict work ethics</li> </ul>Benefits <ul><li>Competitive salary of £30K - £40K depending on experience </li></ul><ul> <li>25 days annual leave entitlement plus 8 bank holidays </li> <li>Pension scheme, 4% employer contribution </li> <li>Private Medical Insurance </li> <li>60-40 Hybrid working after successful probation period </li> <li>Training and development </li> <li>Free gym access in the building </li> </ul>

Senior Compliance Officer

Graduate Assistant Risk Manager Application Deadline: 28 February 2025 Department: Infrastructure Employment Type: Permanent - Full Time Location: G&amp;T London Description Summary: The role of a G&amp;T Graduate Risk Manager is to support the successful delivery of construction projects and facilitate a broader understanding of the challenges faced. Risk Managers ensure that risks and opportunities are identified early, communicated clearly, and managed effectively: we do this using a range of tools and techniques to track and escalate risks, as well as using risk data and statistics to drive better decision making by project leadership. Role Overview: As a Graduate Risk Manager, you will spend 2-2.5 years working towards Chartered membership of RICS or APM with the opportunity to also study The International Certificate in Enterprise Risk Management (IRM), while also gaining valuable work experience. You will be working towards becoming a professional with expert knowledge of leading and managing the risk function within a project team. You will also be picking up key skills across all project controls disciplines, to provide a greater breadth of understanding and progression opportunities. The role will be varied, and the actual experience gained will be dependent on the team and sector you are working in. You will join the G&amp;T Chartership Programme to ensure you can relate the theoretical aspects of your studies to actual work experience. Working within a team, you will be assisting your Line Manager with various aspects of daily work. In this role you will be expected to work with a certain level of autonomy while also knowing when to discuss and ask questions to ensure the best outcome. You will be building a solid knowledge base of your role, the firm and the industry, and how they all fit together. General Responsibilities Working with your line manager, the role will typically involve the following: Schedule: <ul><li>Review project schedules, using the principles of schedule management, to identify potential timeline risks, determine risk proximity, and calculate float adjusted impact </li><li>Interrogate the technical quality of project schedules and assess their appropriateness for Monte Carlo risk modelling</li><li>Build a schedule at the appropriate level for Monte Carlo risk modelling (either through rolling up an existing project schedule, or generating a new schedule through Interactive Planning Workshops with the project team)</li></ul>Cost: <ul><li>Develop an understanding the principles of estimating / cost management, in order to challenge risk quantification figures provided by the project team</li><li>Perform gap analysis exercises on a project estimate against a defined scope of works</li><li>Provide recommendations on CBS structure, to ensure it is appropriate for Monte Carlo risk modelling</li></ul>Risk Management: <ul><li>Develop and maintain project risk registers, aligned to client governance processes (and G&amp;T best practice)</li><li>Assess likelihood, impact (schedule and cost) of risks and propose mitigation strategies, where appropriate</li><li>Provide recommendations on RBS structure, to ensure it is appropriate for Monte Carlo risk modelling</li><li>Review and develop large risk data sets in preparation for risk modelling utilising various tools such as MS Excel and Safran Risk</li></ul>Risk Modelling: <ul><li>Describe the Quantitative Risk Assessment (QRA) process to clients and establish a tailored process for delivery (with associated agendas)</li><li>Facilitate and lead QRA workshops, in order to attain the required information for Monte Carlo risk modelling</li><li>Build a risk model (in appropriate software) and run Monte Carlo analysis for a schedule</li><li>Build a risk model (in appropriate software) and run Monte Carlo analysis for a cost estimate</li><li>Interpret risk modelling results, defining key risk and uncertainty drivers </li></ul>Reporting: <ul><li>Produce technical reports on the suitability of project information (schedule, estimate, risk register) for Monte Carlo risk modelling </li><li>Produce QRA reports detailing probability dates, costs and key drivers</li><li>Present reports to the client organisation, including any subsequent recommendations</li></ul>Skills Knowledge and Expertise <ul><li>2.1 or above in your degree</li><li>Excellent working knowledge of current IT systems </li><li>Understand the importance of client care &amp; building relationships </li><li>Excellent communication skills</li><li>Trustworthy and reliable </li><li>Ability to prioritise work efficiently </li><li>Ability to work to deadlines </li><li>Ability to work as part of a team and on own initiative </li><li>Proactive and flexible approach to different situations </li><li>Dedication and commitment </li><li>Desire to learn </li><li>Genuine interest in social and economic infrastructure, and property </li></ul>Please note : We are unable to support/sponsor individuals who require a work permit to work in the UK for our early experience roles. We also recruit on a rolling basis and reserve the right to close applications for this role if all positions have been filled ahead of the date advertised.

Graduate Assistant Risk Manager

Fixed Term Contract Duration - 6 Months About the Business Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK's best wealth manager for clients and their advisers. Quilter oversees £116.2 billion in customer investments (as 30 September 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth. Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business. High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning. At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us! About the Role Level: 4 Department: Compliance Location: London OR Southampton based Contract: 6 Month FTC In this role you will perform compliance monitoring and thematic review activity across the Affluent function, leveraging support from other Risk teams where required, and providing services to the high net worth segment, Quilter Cheviot, as required. You will be responsible for delivering compliance monitoring, surveillance and oversight activities assigned to you, including: <ul><li>Undertaking rule based thematic monitoring reviews involving interpretation of regulation; designing and executing testing to assess Quilter's compliance; reporting findings to the business.</li><li>Taking full ownership of reviews where allocated as review leader, and fully supporting the review leader where assigned in a supporting role, ensuring all tasks associated with a review are completed to a high standard.</li><li>Completing periodic reviews and oversight of areas such as PA dealing, G&amp;H, complaints.</li><li>Undertaking investment surveillance activities.</li><li>Assisting the Head of Compliance Monitoring &amp; Thematic Reviews with other surveillance and oversight activities as required.</li><li>Planning and prioritising time to ensure the successful execution of individual activities and the plan.</li><li>Ensuring focus on the quality of review documents and outputs, highlighting the 'so what' factor, and being clear how these add value for Quilter and address compliance risks.</li><li>Tracking agreed review actions to completion and supporting risk owners to understand their actions commitments through regular engagement and/or communication, and escalating any risks of overdue actions ahead of time; and</li><li>Ensuring alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.</li></ul>About You You will have: <ul><li>Experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments and financial advice</li><li>Good understanding of risk and regulation, particularly FCA.</li><li>Strong attention to detail, and the ability to see the bigger picture.</li><li>Strong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence others.</li><li>High energy and drive and be delivery focused, and the ability to work well on your own or within a team.</li><li>Resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations</li></ul>#LI-KH1 #Quilter Inclusion &amp; Diversity We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring that no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential. We celebrate the unique contributions of a diverse workforce and create a respectful, nurturing environment where every colleague can thrive. Values Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities. Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures. Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation. Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions. Core Benefits Holiday: 182 hours (26 days) Quilter Incentive Scheme: All employees are eligible to participate in incentive scheme, to incentivise business performance and their contribution. Pension Scheme: A non-contributory company pension scheme that can be boosted through personal contributions. Healthcare Cash Plan: Jersey employees only. Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits. In addition to our core benefits, we offer a range of flexible benefits to UK employees that you can choose from and pay for conveniently via a salary deduction.

Compliance Manager - Monitoring & Thematic Reviews

The Risk &amp; Compliance team plays a key role in protecting our customers and Moneybox and works closely with the rest of the business. This Senior Compliance Manager role will be a subject matter expert in payments and conduct, and be responsible for advising on and overseeing Moneybox's payments processes, as well as broader conduct risk responsibilities. What You'll Do <ul><ul><li>Working closely with the rest of the Risk &amp; Compliance team and the business, you will help Moneybox build a best in class payments system as well as ensure effective management of key aspects of conduct risk. You will be involved in, but not limited to, these duties:</li><li>Advise the business to help build a great payments experience so our customers can seamlessly contribute to and withdraw from their Moneybox products</li><li>Be the Compliance lead on key aspects of conduct risk, including but not limited to: consumer duty; vulnerable customers; senior managers and certification regime; conflicts of interest; and whistle blowing</li><li>Provide compliance oversight of payment services and conduct risk through monitoring and periodic reviews to ensure they work as planned and deliver good customer outcomes</li><li>Manage relationships across the business</li><li>Carry out regulatory projects to deliver change</li><li>Prepare and maintain policies and procedures</li><li>Promote awareness and provide training when necessary on regulatory requirements and expectations</li><li>Contribute to broader work carried out by the team to continually enhance controls</li><li>Keep up to date with regulatory developments and initiatives impacting your responsibilities</li></ul>&gt;</ul>Who you are <ul><ul><li>A driven, motivated person who's looking to build their career at an exciting, fast-growing company that's trying to make a positive mark on the world.</li><li>Has a strong bias for action.</li><li>Has an independent and questioning mind.</li><li>Able to adapt quickly and manage competing priorities.</li><li>Takes a methodical, analytical approach to make good judgements.</li><li>Unafraid to take on new challenges, developing deep knowledge in new areas.</li><li>Naturally personable, a great communicator who has a passion for their work and the people they work with.</li><li>Knows how to have fun whilst maintaining a professional outlook.</li></ul></ul>Experience and Skills <ul><ul><li>Experience in overseeing payments and conduct risk</li><li>Detailed knowledge of UK regulatory requirements, particularly requirements relating to the Payment Services Directive </li><li>University educated with at least one degree</li><li>Great communication and listening skills</li><li>Fluency in English</li><li>Ability to work with minimal guidance</li></ul></ul>What's in it for you? <ul><ul><li>Opportunity to join a fast-growing, award-winning and super ambitious business.</li><li>Work with a friendly team of highly motivated individuals.</li><li>Be in an environment where you are listened to and can actually have an impact.</li><li>Thriving collaborative and inclusive company culture.</li><li>Competitive remuneration package.</li><li>Company share options.</li><li>A benefits package that includes Gympass, a personal learning budget, subsidised private medical insurance, matched pension contributions up to an additional 2% and more!</li><li>25 days holiday + bank holidays.</li> This is a hybrid role. Our office is in London, by the Oxo Tower</ul>&gt;</ul>

Compliance Manager (payments & conduct)

Red Bull UK is recruiting for a Credit Risk Manager - Treasury, to be based within London UK. The Credit Risk Manager is required to take full responsibility for Red Bull UK's accounts receivable management, maximizing incoming cash receipts and continually looking to optimise the order-to-cash cycle with a progressive and solutions-focused mindset. This role involves overseeing the Accounts Receivable team, implementing effective credit policies in line with Red Bull HQ, and optimizing cash flow while minimizing bad debt. The Credit Risk Manager plays a crucial role in supporting the company's financial health and operational efficiency, creating value for internal and external stakeholders. Managing a team of three, you will maintain a high-quality and professional sales ledger function, bringing accounts receivable to life through a philosophy of active business partnering and personal development. With our People Strategy at the core of everything we do, you will engage, develop, and retain your direct reports through active hands-on, day-to-day management and the definition of longer-term development goals, exciting the team with opportunities inside and outside the traditional AR landscape. The role will embody Red Bull's philosophies on progression and development and will support the pipeline of future finance talent. RESPONSIBILITIES Areas that play to your strengths All the responsibilities we'll trust you with: <ul><li>Order-To-Cash Define, influence, and lead a right-first-time process mentality, challenging existing ways of working and standard operating procedures. Drive and lead process design and continuous improvement opportunities, identifying actionable insights to support team efficiencies. Work closely with the Operations teams to ensure order processing efficiency and accuracy, with a total OTC ownership mindset. Engage local and HQ stakeholders to recommend system improvements, innovations, and enhancements across the Treasury &amp; Finance organisations. Hands-on approach and inquisitive nature.</li><li>Credit Risk &amp; Accounts Receivable Management Support the Treasury Manager and Financial Accounting team by owning and redefining month-end reporting obligations &amp; responsibilities. With a hands-on approach, maximize cash collection and mitigate bad debt exposure within our customer portfolio. Create regular insights and assessments on the credit risk exposure of Red Bull's customer portfolio, providing recommendations to mitigate any exposure. Engage and develop relationships with Key Account teams and customer contacts, driving efficiencies and challenging existing ways of working throughout the OTC cycle. Ensure the accuracy and cleanliness of Red Bull's sales ledger by creating SOPs and standardized routines across the team to deliver DSO and Net High Risk targets. Oversee the internal rebate approval process, ensuring on-time invoice approvals and balance sheet cleanliness, engaging with key internal stakeholders to improve ways of working and processes.</li><li>People Management Take full responsibility for the performance monitoring of the team, defining short, medium, and long-term operational goals, and owning monthly, quarterly, and yearly performance appraisals. You will be responsible for the team's KPIs and deliverables, creating an environment of progression and innovation, and crafting bespoke performance objectives and personal development plans while always keeping the team's brand in mind. Define, manage, and review the roles &amp; responsibilities of the team, always ensuring an appropriately resourced and engaged team is in place. By living Red Bull's people values and philosophies, you will create a positive culture based on feedback, coaching, and development.</li><li>Business Partnering Establish and develop a key senior internal and external stakeholder network, becoming a credible Business Partner at all levels and always driving the Finance agenda. Create successful partnerships with the Financial Accounting and Sales Controlling teams, creating transparency, visibility, and support on planning cycles and key statutory deadlines. Create successful partnerships with Key Account teams and key customers, influencing ways of working and successful outcomes in the Finance teams. Use data to communicate key messages to drive change and influence key stakeholders. Get out there and seek answers to questions that haven't been answered before.</li></ul>EXPERIENCE Your areas of knowledge and expertise that matter most for this role: <ul><li>CIMA/ACCA/AAT/CICM qualifications a plus but Red Bull also values experience over formal education.</li><li>Strong experience in accounts receivable or credit management, preferably within the FMCG sector.</li><li>Proven track record of managing a high-volume receivables portfolio and leading a professional team in a dynamic environment. Change management experience is a plus.</li><li>A solid understanding of financial accounting and reporting.</li><li>Experience with SAP ERP systems and OTC process enhancements and optimisations. Proficient use of Microsoft Excel and other Microsoft products.</li><li>Demonstrated success in maximising incoming cash receipts and improving accounts receivable processes, reducing days sales outstanding (DSO), and other KPIs in the FMCG or retail space.</li><li>Sound commercial understanding and curiosity about the wider business and development opportunities.</li><li>Outstanding communication and interpersonal abilities, with the ability to effectively communicate information verbally, in writing, and with graphical tools as necessary.</li><li>Analytical, with an eye for detail and capable of working quickly to a high standard of accuracy.</li><li>Ability to work under pressure, prioritising one's own work and the work of the team in an organised and accurate manner within tight deadlines, while remaining calm and focused.</li><li>Be enthusiastic and versatile, and be able to build, develop, and maintain good working relationships with colleagues.</li><li>Comfortable operating in a fast-paced environment.</li></ul><ul><li>Travel 0-10%</li></ul>WHERE YOU'LL BE BASED LondonEngland, United Kingdom United KingdomRed Bull UK JOIN THE TEAM

Credit Risk Manager - Treasury

You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career journey that's unique and meaningful to you with benefits, programs, and flexibility that support you personally and professionally. At American Express, you'll be recognized for your contributions, leadership, and impact-every colleague has the opportunity to share in the company's success. Together, we'll win as a team, striving to uphold our company values and powerful backing promise to provide the world's best customer experience every day. And we'll do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong. Join Team Amex and let's lead the way together. How will you make an impact in this role? The Outcomes Testing Manager plays a crucial role in the implementation of an effective Compliance Monitoring and Testing Programme, focusing on the end-to-end outcomes that American Express is delivering for our customers. In addition the Outcomes Testing Manager will undertake and support additional testing from the annual plan as required. The Outcomes Testing Manager will assist in the design and maintenance of a comprehensive testing plan for all Lines of Business and initiatives in the UK - for both the card issuing, and the acquiring business. This includes the review and oversight of policies, procedures and frameworks to enable compliance to be effectively managed in the first line. Reporting into the Director for Regulatory Affairs and Testing, duties will include: <ul><li>Proactively assist and support the Director for Regulatory Affairs and Testing with the overall design and delivery of a proportionate and risk-based Outcomes Testing programme, and in conjunction with other team members, to continually identify key regulatory risks applicable to American Express.</li><li>Lead the embedding of a customer outcomes approach in compliance testing, ensuring that testing is focused on the identification of and enhancements to customers outcomes for American Express customers. </li><li>Perform thematic testing reviews and escalate findings to key stakeholders, working with team leaders across the Business to address and mitigate concerns identified in a timely manner. </li><li>Work with key stakeholders to ensure actions are tracked to closure appropriately. </li><li>Track, monitor and report on progress of the annual monitoring programme, updating it as appropriate to adapt to the changing environment and risks as appropriate. </li><li>Assist with the identification and assessment of current and future regulatory risks across key areas in compliance monitoring and escalate issues in a timely manner - making recommendations to mitigate those risks where appropriate.</li><li>Make recommendations to improve policies, processes and rules to improve the effectiveness of the controls, identify non-compliance with regulations or policies, identifying gaps in systems, processes and policies. </li><li>Keep up to date a working knowledge of applicable laws, regulations and company policies to identify the Company's legal obligations.</li></ul>Minimum Qualifications <ul><li>Significant experience as an Outcomes Testing Manager with a working knowledge of the UK Credit Card / Payments / Retail Banking industry.</li><li>Proven ability to understand wide range of legal and regulatory concepts and convert them into relevant, practical business requirements and compliance solutions.</li><li>Proven ability to understand complex business systems &amp; processes, and perform value-added testing that cuts across multiple business areas and multiple customer touchpoints. </li><li>Self-motivated, energetic, collaborative team player with proven ability to work effectively in a matrix international organization and across all levels of management.</li><li>Excellent written and oral communication skills, delivers clear messaging in a constructive manner</li><li>Strong influencing, and relationship / stakeholder management skills at all levels of management.</li><li>Strong organizational, time management and prioritisation skills.</li></ul>Preferred qualifications <ul><li>Significant experience as an Outcomes Testing Manager with a working knowledge of the UK Credit Card / Payments / Retail Banking industry.</li><li>Proven ability to understand wide range of legal and regulatory concepts and convert them into relevant, practical business requirements and compliance solutions.</li><li>Proven ability to understand complex business systems &amp; processes, and perform value-added testing that cuts across multiple business areas and multiple customer touchpoints. </li><li>Self-motivated, energetic, collaborative team player with proven ability to work effectively in a matrix international organization and across all levels of management.</li><li>Excellent written and oral communication skills, delivers clear messaging in a constructive manner</li><li>Strong influencing, and relationship / stakeholder management skills at all levels of management.</li><li>Strong organizational, time management and prioritisation skills. </li></ul>Qualifications We back our colleagues and their loved ones with benefits and programs that support their holistic well-being. That means we prioritize their physical, financial, and mental health through each stage of life. Benefits include: <ul><li>Competitive base salaries </li><li>Bonus incentives </li><li>Support for financial-well-being and retirement </li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) </li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need </li><li>Generous paid parental leave policies (depending on your location) </li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) </li><li>Free and confidential counseling support through our Healthy Minds program </li><li>Career development and training opportunities</li></ul>Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

UK Regulatory Compliance - Manager - Compliance Testing

We're Capital on Tap Capital on Tap was founded with the mission to help small business owners and make their lives easier. Today, we provide an all-in-one business credit card &amp; spend management platform that helps business owners save time and money. Capital on Tap proudly serves over 200,000 businesses across the world and our goal is to help 1 million small businesses by 2030. Why Join Us?We empower you to be innovative and solve complex problems. Take ownership, make an impact, and thrive in our scaling and agile environment. This is a Hybrid role, the Financial Crime Compliance team work from our London (Shoreditch) Offices 3 days per week. Financial Crime Compliance Team at Capital on TapThe Financial Crime Compliance team is responsible for ensuring that Capital on Tap meets its regulatory obligations in relation to all things AML and CTF. What You'll Be DoingYou will support the 2nd line Financial Crime Compliance Team to oversee adherence to the business' AML/CTF program through the following: • Act as a subject matter expert for financial crime escalations from the 1st line FinCrime Operations team and other areas of the business. • Assist with Adverse Media, PEPs, Sanctions, Complex Ownership and High Risk onboarding escalations. • Review internal suspicious activity reports raised from other areas of the business such as credit or customer operations. Support the MLRO with preparing and filing SARs where appropriate. • Maintain AML policies, procedures, and standards that the 1st line must follow, ensuring updates to regulations and feedback from Compliance Monitoring, Quality Assurance and Independent Audit are appropriately captured. • Ongoing management of our AML/CTF risk assessment, identifying areas of emerging and ongoing risk and recommending controls to mitigate such risks. • Participate and provide input to FinCrime-wide team meetings, sharing knowledge on identified emerging trends and threats to assist in the building of a high performing team. • Coordinate with internal teams to gather and provide necessary documentation and information for law enforcement enquiries as well as for partner banks. We're Looking For Required skills: • A minimum of at least 3 years experience making independent and complex risk-based assessments in CDD or EDD, and AML investigations. • A thorough understanding of how the requirements of the UK's Money Laundering Regulations and/or the JLMSG apply within the regulated financial services sector; gained through practical experience or relevant qualifications. • An understanding of conducting AML risk assessments, horizon scanning and/or a gap analysis. • Experience in providing advice on financial crime risks and acting as a subject matter expert. • The ability to write clear, concise and detailed suspicious activity reports. • The ability to communicate your decisions to internal team members, senior leadership or customers directly. • Confidence in asking questions and suggesting improvements where you see them. • A critical eye and strong attention to detail with an eagerness to work efficiently in a demanding, high volume environment. Diversity &amp; Inclusion We welcome, consider and encourage applications from anyone who shares our commitment to inclusivity. Join us in creating a space where authenticity thrives, and everyone can do their best work. Great Work Deserves Great PerksWe try not to take ourselves too seriously (all the time) so we make sure our office is decked out with a pool table, arcade machine, beer tap, and a couple of office dogs thrown in for good measure. Check out our benefits: Private Healthcare including dental and opticians services through Vitality Worldwide travel insurance through Vitality Anniversary Rewards (£250, £500, £750, 4-week fully paid sabbatical) Salary Sacrifice Pension Scheme up to 7% match 28 days holiday (plus bank holidays) Annual Learning and Wellbeing Budget Enhanced Parental Leave Cycle to Work Scheme Season Ticket Loan 6 free therapy sessions per year Dog Friendly Offices Free drinks and snacks in our offices Check out more of our benefits, values and mission here. Interview Process First stage: 30 minute intro and values call with Talent Partner (Video call) Second stage: 45 minute interview with Financial Crime Manager (Video call/In person) Final stage: 30 minute interview with Head of FinCrime Compliance (In person) Other Info Check out our 'Top Tips' for interviewing. • Keep updated on new job opportunities by following us on Linkedin. Email <a href="mailto:careers@capitalontap.com" target="_blank">careers@capitalontap.com</a> if you have any questions. Excited to work here? Apply!If you'd like to progress your career within our fast growing, profitable fintech then click apply and we will aim to get back to you within 3 working days (during busy periods this could take up to 5 working days.)

Financial Crime Compliance Specialist

Job Description What We Do At Goldman Sachs, our Engineers don't just make things - we make things possible. Change the world by connecting people and capital with ideas. Solve the most challenging and pressing engineering problems for our clients. Join our engineering teams that build massively scalable software and systems, architect low latency infrastructure solutions, proactively guard against cyber threats, and leverage machine learning alongside financial engineering to continuously turn data into action. Create new businesses, transform finance, and explore a world of opportunity at the speed of markets. Engineering, which is comprised of our Technology Division and global strategists groups, is at the critical center of our business, and our dynamic environment requires innovative strategic thinking and immediate, real solutions. Want to push the limit of digital possibilities? Who We Look For Goldman Sachs Strats are innovators and problem-solvers, building solutions in risk management, big data, mobile and more. We look for creative collaborators who evolve, adapt to change and thrive in a fast-paced global environment. At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally. From collaborative work spaces and ergonomic services to wellbeing and resilience offerings, we offer our professionals the flexibility and support they need to reach their goals in and outside of the office. RESPONSIBILITIES AND QUALIFICATIONS Electronic Trading Risk One Delta Electronic Trading Risk is a front-office team within the equities one delta business unit, responsible for management and governance of electronic trading controls and real-time monitoring of electronic flows. This role is Team Lead for the group who work closely with several trading desks including GSET Sales trading, Portfolio trading, Shares trading, Systematic market making as well as Execution Strats, Legal and Compliance, Internal audit and various other 2nd line control functions. The role requires a combination of technical capability, risk judgement and knowledge of markets. The team's core responsibilities include: <ul> <li>Manage and streamline governance processes within the One Delta business unit for new and existing business initiatives (e.g. conformance testing and material change reviews)</li> <li>Development and support of tools &amp; dashboards for monitoring the risks related to e-trading</li> <li>Design and calibration of e-trading risk controls, including analysis of historical electronic trading patterns and measures</li> <li>Real-time monitoring of electronic trading activity and control alerts (Algo, SOR, DMA)</li> <li>Assisting with the preparation of responses to regulatory enquiries</li> <li>Liaising with 2nd line of defence control functions </li> <li>Contribution to periodic e-trading ad-hoc projects</li></ul>The successful candidate will have: <ul> <li>Several years of relevant experience (we are open to candidates from either asset managers, banks, exchanges or technology firms)</li> <li>A major in Computer Science, Electrical Engineering, Mathematics, Statistics, Financial Engineering, Finance or Economics</li> <li>Ability to communicate with different stakeholders at different levels of the organisation</li> <li>Detailed knowledge of electronic trading systems and controls</li> <li>Thorough knowledge of European equity market structure including detailed understanding of Regulated Markets, MTFs, Systematic internalisers etc. </li> <li>Familiarity with European equity regulation and exchange rules</li> <li>A strong grasp of securities databases, SQL and data visualisation</li> <li>A track record of sound risk management judgement</li> <li>A drive to both reduce operational risk and facilitate rapid business development</li></ul>ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: <a href="https://www.goldmansachs.com/careers/footer/disability-statement.html" target="_blank">https://www.goldmansachs.com/careers/footer/disability-statement.html</a>

Global Banking & Markets, Electronic Trading Risk Manager, VP, London

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. OVERVIEW OF THE DEPARTMENT/SECTION EMEA Financial Institution Credit Risk Management ("CRM FIG") is a credit risk team within 2LoD Risk department. It is responsible for credit risk management inclusive of review and approval of banks, insurance companies, funds and sovereigns within the EMEA region. The team is entity agnostic and cover both MUFG Securities ("MUS") and MUFG Bank for counterparty credit risk. Across borrowing and trading activities. Major functions are outlined as follows: <ul><li>Assessment and management of credit risks and related risk Credit Risk Approval</li><li>Management of problematic assets</li><li>Monitoring, reporting and early action</li><li>Portfolio analysis and management</li></ul>MAIN PURPOSE OF THE ROLE <ul><li>Assign credit ratings and formulate credit proposals in support of financing solutions, primarily for financial sponsors and inclusive of NAV Financing; Private Equity Portfolio Financing (Secondary NAV); Equity Margin Loans; Subscription Facilities and Hybrid NAV/Subscription Facilities.</li><li>Set risk appetite for client and product scope above and approve/recommend transaction within Delegated Credit Authority where applicable. Evaluate transactions for approval in accordance with applicable policies, procedures and delegated authorities. Ensure that risk appetite is clearly understood by 1LoD stakeholders through active dialogue with trading; sales and relationship manager counterparts.</li><li>Monitor and exercise oversight over own portfolio of clients and take proactive actions when necessary.</li><li>Work closely with the front office to assist business initiatives, new product launches and develop risk culture across 1st and 2nd line of defense.</li><li>Collaborate across the wider FIG Credit team as well as EMEA Risk Management function and relevant global functions in MUBK and MUS.</li><li>On an ad-hoc basis, support the enhancement of monitoring efficiency, system developments and risk measure as part of multi-department projects.</li></ul>KEY RESPONSIBILITIES <ul><li>Assessment and recommendation of appropriate rating and credit limits financing solutions, primarily for financial sponsors and inclusive of NAV Financing; Private Equity Portfolio Financing (Secondary NAV); Equity Margin Loans; Subscription Facilities and Hybrid NAV/Subscription Facilities.</li><li>Oversee the annual review of existing limits and counterparties.</li><li>Maintenance of EMEA portfolio across MUBK and MUS within areas of responsibility.</li><li>Run periodic due diligent meetings with clients.</li><li>Support on new product adoption including defining risk acceptance criteria, rating models and credit risk measurements.</li><li>Provide creative solutions by influencing transaction structures and credit risk related terms/conditions when required.</li><li>Present transactions to senior management (including the Chief Risk Officer) for discussion and approval. Analyse and present complex structures and make recommendations to senior Risk management staff, in a concise and clear manner.</li><li>Opine on credit risk related terms in trading documentation to mitigate credit risk and ensure transactions perform as expected. This will involve liaison with Legal department, Structuring and clients or their lawyers.</li><li>Monitor that transactions of the delegated responsibility perform within the terms of the credit approval. Assess portfolio level risks.</li><li>Compliance with all regulatory requirements as well as internal policy and procedure</li></ul>WORK EXPERIENCE <ul><li>Strong financial sector experience in a credit risk management role with a focus on funding solutions for financial sponsors.</li></ul>SKILLS AND EXPERIENCE Functional / Technical Competencies: <ul><li>Experience from NAV Financing and Private Equity Portfolio Financing (Secondary NAV) is required with additional experience from other fund financing solutions such as subscription lines being preferred.</li><li>Competence in analysing financial sponsor investment strategies with a focus on buy-out, private credit and infrastructure funds.</li><li>Experience from opining on legal documentation from a credit perspective. Familiarity with key regulatory frameworks and relevant banking regulation that impact credit risk management.</li></ul>Education / Qualifications: Essential <ul><li>Bachelor Degree or equivalent with a focus in the areas of finance, economics or accounting (Essential) Preferred:</li><li>Master's Degree and relevant industry accreditation (Beneficial)</li></ul>PERSONAL REQUIREMENTS <ul><li>Excellent communication skills with the ability to convey credit arguments clearly and concisely</li><li>Results driven, with a strong sense of accountability</li><li>The ability to operate with urgency and prioritize work accordingly</li><li>Strong decision-making skills, the ability to demonstrate sound judgement</li><li>A structured and logical approach to work</li><li>Excellent interpersonal skills</li><li>The ability to manage large workloads and tight deadlines</li><li>Excellent attention to detail and accuracy</li><li>A calm approach, with the ability to perform well in a pressurised environment</li><li>Excellent Microsoft Office skills</li></ul>We are open to considering flexible working requests in line with organisational requirements. MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership. We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

Vice President, Credit Risk Manager

Your new company Joining Allianz Partners means you will join a world leading B2B2C specialist forming part of the Allianz Group, one of the world's largest insurance and financial services group. This is an exciting opportunity for a Compliance Manager (UK &amp; Ireland) to join the UK &amp; Ireland business unit at a time of significant growth. Following the appointment of a new executive level UK Compliance Officer (SMF 16), we are further investing in our compliance framework by creating this new role to support the continued sustainable growth that we have seen across all of our core business lines. Our culture and values are very important to us and we are focused on creating the best conditions to deliver good outcomes for our customers and colleagues. The structure of our organisation means you will have the opportunity to work in an international environment, partnering with local, regional and global colleagues in driving the UK compliance framework forward. About the Role As the Compliance Assurance Manager (UK &amp; Ireland), you will be responsible for building a UK compliance assurance programme and then maintaining and progressively improving it over time. The programme will provide an independent second line view of the systems, processes and controls in place to achieve compliance with Allianz Partners UK and Ireland's regulatory obligations and relevant policies and procedures, with a strong focus on customer outcomes. The programme development aspect of the role in particular requires a strategic approach, strong stakeholder management skills and solid experience of applying different compliance assurance methodologies, ideally in a general insurance setting. You will report to the Compliance Officer UK and be part of the regional and global compliance team which actively supports and oversees the UK and Ireland business in managing its regulatory risk profile. Main Duties • Developing and implementing a UK focused compliance assurance programme, methodology and toolset to meet regulatory and internal standards. • Executing compliance assurance reviews to identify and address areas for improvement. • Provide timely and considered assurance to the first line of defence on a range of general insurance topics, including, but not limited to: Product Governance; ICOBS; Conduct Risk; Consumer Duty; • Developing assurance plans, preparing compliance reports, and communicating findings to senior management. • Identifying and mitigating compliance risks in collaboration with senior stakeholders. • Partner with other Compliance team members and first line colleagues to identify areas of high regulatory and conduct risk. • Collaborating with legal, risk management, and internal audit teams for a unified compliance approach. • Support the continued evolution of a proportionate control environment so that key regulatory risks are appropriately managed. About you • Specific experience of leading compliance assurance programmes, ideally in a general insurance context. • 5+ years of experience within a Compliance function. • A sound knowledge of FCA regulatory requirements and key conduct related priorities within insurance. • Excellent verbal and written communication skills and able to take complex issues and communicate them in a simple, easily understood way. • Can independently manage a portfolio of work and balance the demands of maintaining high quality work and delivering to deadlines. • Quickly master unfamiliar businesses, process or products. Able to logically analyse and assess them. • Empathy, including the ability to anticipate the impact of our activities for retail customers. • Pro-active and not afraid to challenge the status quo. • Professional approach and delivery of work product. • Energy, enthusiasm, persistence and adaptability. • Can challenge and raise your point of view across to senior individuals and can defend it constructively. • Focus on timely delivery of quality outputs. • Fully understands the concepts of risk, controls and materiality and can be proportionate when making decisions 59128 | Legal &amp; Compliance | Professional | Non-Executive | Allianz Partners | Full-Time | Permanent Allianz Group is one of the most trusted insurance and asset management companies in the world. Caring for our employees, their ambitions, dreams and challenges, is what makes us a unique employer. Together we can build an environment where everyone feels empowered and has the confidence to explore, to grow and to shape a better future for our customers and the world around us. We at Allianz believe in a diverse and inclusive workforce and are proud to be an equal opportunity employer. We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in. We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation. Join us. Let's care for tomorrow.

Compliance Assurance Manager UK

Your new companyJoining Allianz Partners means you will join a world leading B2B2C specialist forming part of the Allianz Group, one of the world's largest insurance and financial services group. This is an exciting opportunity for a Compliance Manager (UK &amp; Ireland) to join the UK &amp; Ireland business unit at a time of significant growth. Following the appointment of a new executive level UK Compliance Officer (SMF 16), we are further investing in our compliance framework by creating this new role to support the continued sustainable growth that we have seen across all of our core business lines.Our culture and values are very important to us and we are focused on creating the best conditions to deliver good outcomes for our customers and colleagues.The structure of our organisation offers the opportunity to work in an international environment, partnering with local, regional and global colleagues to strengthen the UK compliance framework.Reporting to: Head of Compliance UK About the RoleAs a Compliance Manager (UK &amp; Ireland), you will part of a Business Partner team of three who will drive the development of the UK compliance framework.You will provide a blend of practical, proactive compliance advice, guidance, support and oversight to the first line. Your role will support the business to manage regulatory risk in line with our risk appetite.You will have a broad remit of responsibilities spanning across all of the Business Unit's lines of business. You will report to the Compliance Office UK (SMF 16) and be part of the regional and global compliance team which actively supports and oversees Allianz Partners UK &amp; Ireland in managing its regulatory risk profile. Main Duties • Provide timely and considered advice and guidance to the first line of defence on a range of general insurance topics, including, but not limited to: o ICOBS; o Product Governance; o Conduct Risk o Consumer Duty; • Support and oversee conduct and regulatory risk in the context of projects, product development, bids and tenders, including supporting agile product development processes with timely and comprehensive regulatory advice. • Partner with other Compliance team members and first line colleagues to identify areas of high regulatory and conduct risk. • Support the continued evolution of a proportionate control environment so that key regulatory risks are appropriately managed. • Provide timely and accurate reporting and, where necessary, ensure escalation of regulatory matters such as risk incidents to senior management and relevant governance fora. • Support first line teams to assess the impact of regulatory changes and the development of necessary controls through the implementation of a pro-active engagement model. • Utilise regulatory risk assessment tools to assess the impact and likelihood of risks related to new product developments. • Support oversight of the company's ARs and IARs. • Administer and review adherence to the SMCR regime. • Regular review of policy framework and implementation of required updates to ensure compliance with the changing regulatory landscape. • Work closely with the regional and global team to monitor adherence to group framework and standards. • Oversight of the first line of defence through review of KPIs and follow up on identified risks. About you &amp; what we require • 5+ years of experience within a Compliance function. • A sound knowledge of FCA regulatory requirements and key conduct related priorities within insurance. • Excellent verbal and written communication skills and able to take complex issues and communicate them in a simple, easily understood way. • Can independently manage a portfolio of work and balance the demands of maintaining high quality work and delivering to deadlines. • Quickly master unfamiliar businesses, process or products. Able to logically analyse and assess them. • Pro-active and not afraid to challenge the status quo. • Professional approach and delivery of work product. • Energy, enthusiasm, persistence and adaptability. • Can challenge and raise your point of view across to senior individuals and can defend it constructively. • Focus on timely delivery of quality outputs. • Fully understands the concepts of risk, controls and materiality and can be proportionate when making decisions. 59242 | Legal &amp; Compliance | Professional | Non-Executive | Allianz Partners | Full-Time | Permanent Allianz Group is one of the most trusted insurance and asset management companies in the world. Caring for our employees, their ambitions, dreams and challenges, is what makes us a unique employer. Together we can build an environment where everyone feels empowered and has the confidence to explore, to grow and to shape a better future for our customers and the world around us. We at Allianz believe in a diverse and inclusive workforce and are proud to be an equal opportunity employer. We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in. We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation. Join us. Let's care for tomorrow.

Compliance Manager UK

The Opportunity: The individual in this position is responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA for clients. The individual in this position will conduct careful analyses of clients' books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. They are strongly encouraged to utilize additional training and development resources available to continue their development. What you'll do: <ul> <li>Assist with ACA service offerings including, but not limited to: Regulatory filings; Expert network chaperoning; Anti-money laundering support; Electronic communication review; Code of ethics and personal trading reviews; Marketing review.</li></ul><ul> <li>Analyze clients' books and records for potential regulatory issues.</li> <li>Interpret complicated and nuanced documents to identify potential regulatory risks.</li> <li>Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to understand project scope and applicable regulatory risks.</li> <li>Draft reports for clients summarizing ACA's review and any findings from such reviews.</li> <li>Perform other ad-hoc work/special projects as necessary to support ACA's various client and internal initiatives including, but not limited to: Analyst training; Attend conferences and roundtable events; Assist with customized client engagements.</li></ul>To qualify for the role, you must have: <ul> <li>Strong academic background (i.e. degree level or recognized professional certification)</li></ul>Skills and attributes for success: <ul> <li>0-2 years relevant financial services experience and/or knowledge of the UK regulatory regime, such as Financial Services and Markets Act 2000, the Markets in Financial Instruments Directive, the Alternative Investment Funds Managers Directive, other applicable FCA rules and guidance.</li></ul>Ideally, you'll also have: <ul> <li>Demonstrated professional integrity</li> <li>Dependable, flexible, and adaptable to new ACA initiatives and changing client needs</li></ul><ul> <li>Ability to exercise discretion and make independent judgments on matters of significance</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</li> <li>Highly motivated and goal oriented; pro-active in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.</li> <li>Dedicated to upholding ACA's high-quality standards and customer service focus</li></ul><ul> <li>Strong organizational and problem-solving skills with attention to detail</li> <li>Strong oral and written communication skills</li> <li>Proficient with Microsoft Office applications and comfortable working 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.

Compliance Analyst (MS)

<ul> <li> Email </li> </ul>This is an exciting opportunity within Macquarie's Commodities &amp; Global Markets (CGM) first line Operational Risk Management Team in London. This team works directly with the business to ensure the key operational risks are being effectively managed and monitored and to facilitate the continued improvement in processes, controls and operational risk awareness and culture across our businesses. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility You will be required to partner with the trading desks, operations and wider group functions to develop a comprehensive knowledge of the front to back processes and proactively manage operational risks. You would also be involved in contributing on a broad range of risk matters, assessing new product and business initiatives, investigating incidents, risk control self-assessments and testing the effectiveness of controls. What you offer Press space or enter keys to toggle section visibility <ul><li>2+ years of financial market experience in a risk, trading or support roles, or in audit/assurance for trading businesses</li><li> An appetite to learn knowledge across multiple business groups. </li><li> High achievement drive, with strong resilience and tenacity. </li><li> An innovative mindset, strong relationship building, collaboration skills and commitment to integrity. </li><li> Ability to manage assurance projects to ensure controls are working as designed. </li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About Commodities and Global Markets Press space or enter keys to toggle section visibility Commodities and Global Markets is a global business offering capital and financing, risk management, market access, physical execution and logistics solutions to its diverse client base across Commodities, Financial Markets and Asset Finance. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

Business Operational Risk Manager - Senior Analyst/Associate

As one of the world's largest networks of audit, tax and consulting firms, RSM delivers big ideas and premium service to help middle-market businesses thrive. We are a fast-growing firm with big ambitions -- we have a clear goal to become the premium adviser to the middle market, globally. This vision touches everything we do, motivating and inspiring us to become better every day. If you are looking for a firm where you can build a future and make an impact, then RSM is the place for you. Make an Impact at RSM UK Step into a pivotal role in VAT compliance with RSM UK! As a Compliance Analyst in our Global VAT Compliance Reporting (GVCR) team, you'll drive VAT compliance for international clients, engaging with global stakeholders to enhance tax efficiency. Help deliver top-quality, centralised VAT services across the UK and EU. Reporting to the head of the GVCR team, you'll oversee service delivery for a dynamic client portfolio. From client onboarding to VAT compliance across jurisdictions, you'll be the go-to for indirect tax. This role includes quality assurance on filings, identifying VAT opportunities, and supporting process improvements alongside RSM experts. You will make an impact by: <ul><li> Leading the onboarding process for UK and multi-country clients, ensuring smooth setup and documentation of tax processes. </li><li> Acting as the key contact for clients, managing indirect tax compliance and ensuring timely, accurate filings. </li><li> Reviewing client data, identifying potential VAT advisory opportunities, and collaborating with global VAT experts to meet client needs. </li><li> Managing and developing junior team members, fostering a supportive and high-performance environment. </li><li> Working on VAT process improvements and supporting efficiency projects that enhance client service. </li></ul> What we are looking for: Are you someone who thrives on variety, loves learning new things, and enjoys connecting with people? If you can spot inefficiencies in everyday life and are passionate about making improvements, this role is perfect for you! We value diverse experiences and perspectives. Here's what we're looking for in our ideal candidate: <ul><li> Strong VAT technical skills, ideally with experience in a European role. </li><li> A talent for process improvement and VAT technology enablement. </li><li> Proficiency in Microsoft Office, especially Excel. </li><li> Solid relationship management and communication skills, with an appreciation for global client needs. </li><li> Ambitious, motivated, and ready to take on a clear progression path in VAT compliance. </li></ul> What we can offer you: We recognise that our people are our most important assets. That's why we offer a flexible reward and benefits package that will help you have fulfilling experience, both in and out of work. <ul><li> Hybrid and Flexible working </li><li> 25 Days Holiday (with the option of purchasing additional days) </li><li> Lifestyle, Health, and Wellbeing including financial wellbeing benefits such as financial tools, electric car scheme and access to a virtual GP. </li><li> Access to a suite of 300+ courses on demand developed by our inhouse Talent Development team. </li></ul>#LI-HF1 Diversity and Inclusion at RSM At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client's needs. Diverse teams bring a broader range of ideas and insights to work. That's why we're working together to ensure our firm's principles and processes support a firm culture that embraces difference and strengthens inclusion.

VAT Compliance Analyst

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary Marex Financial Ltd are searching for Surveillance Compliance officer to join their team in London. The role focusses on Trade Surveillance across a variety of asset classes; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company. The successful candidate will focus on listed activity in Nasdaq SMARTS and assist in the wider Surveillance space Responsibilities <ul><li>Conduct T+1 Trade Surveillance in Nasdaq SMARTS. </li><li>Escalating any suspicious activity findings to management and reporting to regulators. </li><li>Ensuring compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory bodies.</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with the FCA's Code of Conduct and Marex's Code of Conduct. </li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required</li><li>To escalate risk events immediately </li><li>To provide input to risk management processes, as required.</li></ul>Competencies <ul><li>Strong knowledge of Trade Surveillance, MAR scenarios and vendors, specifically Nasdaq SMARTS</li><li>A collaborative team player, approachable, self-efficient</li><li>Demonstrates curiosity</li><li>Resilient in a challenging, fast-paced environment</li><li>Ability to take a high level of responsibility in a fast pace and high-volume environment</li><li>Excels at building relationships, networking and influencing others</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness</li></ul>Skills and Experience <ul><li>5+ years* transferable skills gained in a similar role / organisation </li><li>Strong team player, experience of dealing with a variety of stakeholders </li><li>Strong Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS or similar surveillance tools is essential)</li><li>Educated to degree level in a related subject would be beneficial, but not essential</li><li>Excellent verbal and written communication skills</li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. *candidates outside of the indicated range will also be considered Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-MH1

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