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Bring your IT career and talents to CDW, where you can have a greater impact, be inspired by our mission and excited about your career and future. A Fortune 200 leader, we're the driven professionals and technology experts companies turn to most to solve their IT challenges. About CDW CDW is a leading multi-brand provider of information technology solutions to business, government, education and healthcare customers around the Globe. A Fortune 500 company and member of the S&amp;P 500 Index, CDW was founded in 1984 and employs over 15,000 coworkers, with headquarters across the United States, United Kingdom and Canada. CDW prides itself on "making amazing happen". Our relationships are fueled by our deep expertise and are grounded in the CDW Way. Our empowering leadership makes things happen and inspires their teams to do the same. From the teammates beside us to the leaders who guide us, we move forward together. Job Summary Senior corporate ethics and compliance professional with responsibility for providing a broad range of expertise and practical, business-minded advice and support to the Ethics &amp; Compliance programme internationally. This position will monitor external developments and best practice methodologies and remain current on proposed and enacted legislation and regulations affecting ethics and compliance programmes for public companies, providing guidance on CDW's international compliance and ethics strategy. Reports to the Global Director, Ethics &amp; Compliance based in the U.S. Market competitive compensation. Key responsibilities <ul><li>Lead collaboration with local and global cross-functional teams to manage, maintain and enhance the regulatory and risk framework for the UK and International entities, including controls, policies and procedures and assessment and monitoring of the same.</li><li>Assist in developing a scalable framework for compliance arrangements relying on smart, consistent, streamlined, technology-supported processes and tools including guidance, templates, checklists, training and controls embedded in IT, ERP and cloud platforms to maximize efficiency and quality of experience for CDW and its customers.</li><li>Support corporate/internal audits and closure of any corrective actions.</li><li>Track changes in regulations and laws and analyse their impact on CDW's products, technologies, and supply chain.</li><li>Collaborate with the global Ethics and Compliance team and other risk and assurance functions to develop, provide guidance on and support for the development and execution of global strategic goals and initiatives.</li><li>Build, cultivate and drive a strong culture of high ethical standards of conduct as an organization, including support of ethics and compliance champions across CDW's international locations.</li><li>Oversee and manage CDW's confidential ethics and compliance hotline for UK and international cases, including working with other key internal stakeholders to: manage investigations; identify key trends and outcomes; develop reporting for CDW's Audit Committee; and raise awareness for reporting with international entities/locations</li><li>Build effective relationships with international business leaders to become their go-to, trusted advisor, providing practical guidance on diverse regulatory and compliance matters within function.</li><li>Work with Legal, Risk, Ethics &amp; Compliance team, other departments and external advisors in order to complete projects in an efficient manner.</li><li>Advise upon supplier onboarding, due diligence and ongoing compliance and review to support CDW business activities and relationships.</li></ul>Qualifications, Skills &amp; Experience <ul><li>Experience managing risk, ethics and compliance matters for a global, public company, with particular experience within EMEA and APAC</li><li>Experience with acquisitions, divestitures and similar transactions, including integration of ethics and compliance into M&amp;A diligence and post-close integration activities.</li><li>High degree of technology literacy and familiarity with technology-based compliance systems in particular.</li><li>Experience building, motivating and managing high performance teams.</li><li>Willingness to travel as required (less than 10%).</li></ul>Essential Attributes <ul><li>Bachelor's degree or equivalent experience</li></ul><ul><li>Experience in a senior compliance role, with a demonstrable ability to develop, support, and continuously improve a risk-based global ethics and compliance function.</li><li>Proven success in partnering with and effectively counseling internal stakeholders on a wide array of ethics and compliance-related issues, such as anti-corruption, international trade, anti-trust, internal investigations and issues impacting public sector sales.</li><li>Ability to work autonomously, issue-spot and provide incisive, practical and business-focused advice and counsel. Creativity and resourcefulness. Strong problem-solving skills with a pragmatic orientation. Ability to balance strategic and tactical issues.</li><li>Strong written and verbal communication skills, including the ability to facilitiate workshops and training and to clearly and concisely articulate complex concepts and to interact with stakeholders of all levels, including senior management.</li><li>Proven awareness of risk management and control methodologies and approaches e.g. COSO Framework.</li><li>Excellent analytical skills and the ability to seek out and understand granular levels of detail, ambiguity and complexity and to present and promote practical solutions.</li><li>Service-oriented attitude, high standards of ethics and professional integrity, passionate commitment, intellectual curiosity, growth mindset.</li><li>Exceptional organizational and project management skills and the ability to work under pressure, prioritize, and manage workloads to meet deadlines in a challenging and fast-paced environment.</li><li>Team player who welcomes responsibility and engagement.</li><li>Eagerness to build and maintain strong relationships with stakeholders and other coworkers to maintain an awareness of developments within the wider business and support opportunities for standardisation across geographies where applicable.</li><li>Ability to influence and engage with senior stakeholders and drive actions to completion.</li><li>Adaptable to changing needs, priorities and deadlines.</li></ul>More about CDW and your career with us: At CDW, you'll work with people who inspire you. People with positive, success-driven attitudes whom you will learn and forge strong relationships with. Bring your best true self - and your best ideas - to CDW. Because diverse perspectives bring forth better problem solving - and better solutions for our customers in a rapidly evolving technology landscape. CDW is an equal opportunity employer committed to maintaining a policy of non-discrimination towards all coworkers and applicants for employment in all aspects of employment. CDW does not discriminate against any applicant because of age, disability, gender reassignment, marriage and civil partnership status, pregnancy and maternity, race, religion/belief, sex, sexual orientation, veteran status, or any other basis that is prohibited by local employment law, including those protected by the UK Equality Act 2010. We encourage candidates from all walks of life to apply and join us in our mission of cultivating a culture of belonging, diversity and inclusion for better collaboration, innovation, and business results. Together, we strive to create a workplace where everyone feels like they belong and is empowered to bring their full energy, capabilities and authenticity for coworker and business benefits. Will you be a part of it? What we offer: Life Assurance Competitive Contributory Pension Private Medical Insurance Enhanced Maternity Pay 25 days holiday + bank holidays Option to buy additional holiday Dental Insurance Season Ticket Loan + additional perks Who we are: CDW is a leading technology solutions provider to business, government, education and healthcare organizations across the globe. Our fingerprints can be found on technology in workplaces of more than 250,000 companies; from fresh-faced start-ups to international conglomerates. With the breadth of products and services we offer, there is no request too big or too small. What you can expect from us: Culture, coworkers, careers. CDW is not only the People Who Get IT but the People who get People. Our relationships are fueled by our deep expertise and grounded in the CDW Way. Our empowering leadership makes things happen and inspires their teams to do the same. From the teammates beside us to the leaders who guide us, we move forward together. At CDW, you'll work with people who inspire you. People with positive, success-driven attitudes who you will learn from and forge strong relationships with. Bring your best true self-and your best ideas-to CDW. Because diverse perspectives bring forth better problem solving-and better solutions for our customers on a rapidly evolving technology landscape.

Senior Compliance Manager

The Company Cover Genius is a Series E insurtech that protects the global customers of the world's largest digital companies including Booking Holdings, owner of Priceline, Kayak and Booking.com, Intuit, Uber, Hopper, Ryanair, Turkish Airlines, Descartes ShipRush, Zip and SeatGeek. We're also available at Amazon, Flipkart, eBay, Wayfair and SE Asia's largest company, Shopee. Our partners integrate with XCover, our award-winning insurance distribution platform, to embed protection for millions of customers worldwide each year. Our team and products have been recognized with dozens of awards including by the Financial Times which ranked Cover Genius as the #1 fastest-growing company in APAC in 2020. Our diverse team across 20+ countries and many language groups commit itself to diverse cultural programs, in particular "CG Gives" which makes social entrepreneurs out of us all and funds development initiatives in global communities. Our People are Bold, Authentic, Purposeful and Inspired Our People are not Perfect, Traditional, Complacent or Cautious About the role As an Insurance Regulatory Compliance Manager on our Global Risk Team, you will play a pivotal role in driving our growth and success by contributing to your region's strategy on how we structure our products. You will be the subject matter expert on the different product structure options available in your region and their suitability for different use-cases. You will help coordinate external legal advice and support the Senior Director of Insurance Structures in maintaining an internal library for the business to draw upon. You'll support our Sales and Partner Services teams in pitching different product constructs, working with local insurance teams, and ensuring smooth program implementation and ongoing collaboration. This is an opportunity to be a key and pivotal member of the global CG insurance structures team. To drive success in this role, you must have strong attention to detail and a process-oriented mindset to establish effective workflows within your region and maintain documentation. We are seeking a highly motivated individual with a background in insurance/financial services regulation or a similar field who can bring a strategic and analytical approach to this role. Regular collaboration with our Partnerships, Partner Services, Legal, Compliance and Insurance teams will be key in ensuring that we drive efficient and compliant structures, become experts in advising our partners how to mitigate risk, achieve revenue growth targets through effective and legal structures, grow our margin, with the ultimate goal of becoming IPO ready. What will your day look like? You will... <ul><ul><li>Collaborate with regional Insurance, Compliance and Legal Teams to document and maintain a library of permissible structures for your region </li><li>Owning the structure approval process for your region for new product launches </li><li>Support regional Partnerships team in pitching solutions and defining the different structures available </li><li>Develop and maintain relationships with external legal counsel in your markets in order to obtain effective and practical legal advice that can be shared with distribution partners as required</li><li>Work with your regional Insurance and Partner Services teams to review existing structures and run projects to make improvements where required </li><li>Serve as the internal expert for how we may legally offer different products in your region in order to achieve our partner's goals.</li></ul></ul>To help us level up, you'll ideally have: <ul><ul><li>6 or more years in insurance, consulting or law in UK/Europe, with experience evaluating local regulations and developing legal insurance solutions in major markets</li><li>Strong analytical and problem-solving skills with a detail-oriented and process-driven mindset</li><li>Strong stakeholder management and ability to work cross-functionally to create solutions</li><li>Strong project management skills with the ability to manage multiple initiatives simultaneously and meet deadlines</li><li>Legal degree strongly preferred</li><li>Ability to thrive in a fast-paced, dynamic environment and adapt to changing business priorities</li></ul></ul>Cover Genius not only cares about being the best in our industry, we care about our team. We're a business that understands life can be fluid and so we flex to ensure we provide the environment to suit that. What does that mean? • Flexible Work Environment - we are outcome focussed and understand that for our people to perform at their best flexibility is critical. • Employee Stock Options - we want our people to share in our success, we reward them with ownership for their contribution in creating a world-class company. • Work with like-minded people who are passionate about both the work we're doing and giving back. Our CG Gives programs enables us to all become philanthropists through our peer recognition and rewards system. • Social Initiatives - pictures speak a thousand words! Sound interesting? If you think you have the best composition of the above, send us your resume and let's chat! * Cover Genius promotes diversity and inclusivity. We don't tolerate discrimination, demeaning treatment of anyone, or harassment due to race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or any other legally protected status.

Insurance Regulatory Compliance Manager

We are seeking an experienced Compliance Officer to join our fast-growing London Office. At IMC, the Compliance Officer enjoys a unique opportunity to work closely with our Trading, Legal, Risk and Technology teams, by providing expert compliance support to IMC's FX and Commodity Options business. You will add value in playing a crucial role by ensuring our business operates and grows safely in accordance with exchange rules, regulations, and laws. You will be combining operational experience with regulatory knowledge to improve our compliance framework and monitoring processes. We are looking for someone with a critical, proactive and hands-on approach, who is keen to work with various in-house built and external systems and diverse data sets. The Compliance Officer will report directly to the UK's Head of Compliance. Your Core Responsibilities: <ul><li>Providing compliance advice to IMC's FX and Commodities traders;</li><li>Monitoring our daily trading activity and communications surveillance;</li><li>Investigating and responding to inquiries from exchanges and regulators;</li><li>Managing the daily transaction reporting processes, such as MiFIR and EMIR;</li><li>Interacting with exchanges to ensure correct trading registrations;</li><li>Conducting compliance, anti-money laundering and market abuse risk assessments, and implementing key controls;</li><li>Analysing business development projects and building strong compliance frameworks;</li><li>Assisting with delivering Compliance training to IMC employees;</li><li>Collaborating closely with other IMC global compliance teams.</li></ul>Your Skills and Experience: <ul><li>5+ years of compliance experience in derivatives markets;</li><li>Strong knowledge in FX and Commodity derivative trading rules;</li><li>Experience in OTC/algorithmic trading compliance, and surveillance practices;</li><li>Excellent understanding of UK trading rules and regulations;</li><li>Knowledge of US listed derivatives is also a plus (CME, ICE, OCC);</li><li>Strong analytical and communication skills;</li><li>Self-driven, fast learner and ability to perform successfully in a fast-moving environment;</li><li>Process minded and ability to drive improvements in IMC's control framework.</li></ul>About Us IMC is a leading global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we've been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, and Asia Pacific, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.

Compliance Specialist- London

ABOUT ZENOBE Our goal is to make clean power accessible, to accelerate the shift to zero carbon power and transport. We're building and operating the world's most sophisticated battery systems to enable the uptake of more renewable power and accelerating fleet electrification, de-risking the transition to zero-emission transport at scale. We've been consistently innovative since we were founded in 2017, achieving major industry firsts and using proprietary software and data analysis to optimise operational performance for our customers. At the end of their life, we repurpose electric vehicle batteries to provide clean power at depots, on construction sites and film sets. Today we have 730 MW of grid scale battery storage operational and under construction and are the largest owner and operator of EV buses in the UK, Australia and New Zealand, supporting over 1,000 electric vehicles worldwide. In our first five years we have raised nearly £1.8 billion in funding and have expanded into other markets such as the US. Our rapidly growing company is looking for highly talented and motivated people to join us. THE OPPORTUNITY We are currently hiring for a role to support the market access and settlement processes for our grid scale battery assets as part of the Network Infrastructure team. The role will be supporting the Network Infrastructure business division providing expert advice on BSC registration activities, National Grid ancillary service market access as well as the operational management of the settlement processes that underpin the commercial success of our pipeline of grid scale battery assets. The role will manage the day-to-day settlement processes for our current portfolio across balancing services and trading markets. The role includes liaising with clients and other external stakeholders, including route-to-market providers, suppliers, National Grid, Elexon and Ofgem. A TASTE OF THE DAY TO DAY Grid Code &amp; Balancing and Settlement Code (BSC) Registrations <ul> <li>Lead the market entry process of BSC accession and BMU registration for new battery storage assets, ensuring all regulatory requirements are met. </li> <li>Maintain ongoing compliance with the BSC code, including regular reporting and documentation and registrations for existing our operational portfolio.</li> </ul>Electricity Settlements <ul> <li>Manage the daily, monthly, and ad hoc settlement processes for all electricity market transactions, including route-to-market agreements, imbalance, capacity market payments, and ancillary services revenues.</li> <li>Monitor and manage and report on credit cover requirements, ensuring optimal levels are maintained to minimise costs while meeting market obligations.</li> </ul>Stakeholder Engagement <ul> <li>Build trusted relationships and act as a liaison between the company and National Grid, Elexon, route-to-market providers and other industry participants to resolve settlement discrepancies and disputes. </li> <li>Act as a single point of contact for Elexon queries, pulling together information from across Zenobe. </li> <li>Participate in meetings, forums, and training sessions provided by National Grid and Elexon to stay updated on market developments and changes in settlement processes.</li> </ul>Reporting and Analysis <ul> <li>Analyse settlement data to identify trends, inefficiencies, discrepancies, asset performance issues and opportunities for cost savings or revenue enhancement. Provide insights and recommendations to internal stakeholders.</li> <li>Support internal audits and external regulatory reviews related to settlement activities. </li> <li>Support REMIT reporting setup for new build storage assets and ensure requirements are understood by internal stakeholders. </li> </ul>Process Improvement <ul> <li>Develop and implement process improvements for settlement operations, including automation and system enhancements. Ensure processes are scalable and can keep up with the planned business growth.</li> </ul>Health and Safety <ul> <li>Actively contribute to Zenobe's commitment to health and safety, wellbeing and sustainability by; integrating these principles into daily responsibilities, ensuring a safe and supportive work environment, promoting both the physical and mental health of self and colleagues, and adopting sustainable and energy-efficient practices to minimize environmental impact. By doing so, each employee at Zenobe plays a vital role in fostering a culture that prioritises overall safety, holistic wellbeing, environmental sustainability in our business operations. </li> </ul>WHAT WE'RE LOOKING FOR We realise that certain groups of people are less likely to apply for a role if they don't meet 100% of the job requirements. To be absolutely clear: if you like the look of this job and think you could do it well, we encourage you to apply with a CV that highlights your transferable skills and experience. Above all, Zenobē is looking for collaborative, flexible, empathetic people who are interested in creating and promoting practical routes to a zero carbon world. <ul> <li>A genuine passion in clean energy and our social and environmental mission.</li> <li>Excellent communication and interpersonal skills with experience in developing others to build subject matter expertise and capability within a team. </li> <li>Thorough understanding of the GB energy market, in particular Elexon and BSC settlement processes. Experience with BSC accession and compliance processes is highly desirable.</li> <li>Familiarity with National Grid and Elexon operations, systems, and reporting requirements.</li> <li>Strong analytical skills with attention to detail.</li> <li>Education: Bachelor's degree in Finance, Economics, Engineering, or a related field.</li> <li>3 to 5 years of relevant previous experience. </li> </ul>WORKING AT ZENOBE We're passionate about sustainability and are proud to offer Team Zenobē a pioneering and collaborative working environment. We encourage our people to take ownership of their career progression and celebrate those that can think outside the box. If you'd like to join our community of likeminded people hit the apply button now, we'd love to hear from you! WHAT WE OFFER Charge your career at Zenobē and receive <ul> <li>Up to 25% annual bonus for being awesome </li> <li>25 days holiday, plus bank holidays </li> <li>Private Medical Insurance </li> <li>£1,500 training budget per year, to ensure you grow as we do </li> <li>EV Salary Sacrifice Scheme </li> <li>Pension scheme, up to 8% matched contributions </li> <li>Enhanced parental leave </li> <li>Cash back health plan </li> <li>Plus more </li> </ul>Lots of our people work flexibly in many different ways, including part-time, flexitime and hybrid working. We can't promise to give you exactly what you want, but please talk to us about the flexibility you need and let's see how we can make it work. OUR APPROACH TO DIVERSITY AND INCLUSION Our people are our strongest asset and the key determinant of our success, and we value a range of skillsets and perspectives. As an equal opportunity employer, we do not discriminate on the basis of any protected attribute. We work to provide equal opportunities and an inclusive work environment, where everyone is fairly treated in the application process and through their career at Zenobē. If there are any adjustments that would help improve your experience with Zenobē, please let us know when you apply Team Business Development - NI Locations London Office Remote status Hybrid Remote Employment type Full-time

Senior Settlement & Compliance Analyst

Are you ready to play a key role in ensuring regulatory compliance? The Ballinger Group in London is seeking a talented and motivated AML &amp; Compliance Specialist to join our team. As a vital member within the Ballinger Group, you will be at the forefront of ensuring our firm remains fully compliant with client onboarding regulatory requirements and the compliance lifecycle. About Ballinger Group: At Ballinger Group we specialise in providing Foreign Exchange Risk Management and Trading Services to Financial Institutions and corporate clients worldwide. Our expertise and insights enable us to navigate the global currency markets with confidence. As a well-capitalized firm with significant purchasing power, we offer flexible and straightforward FX solutions, giving our clients a crucial competitive advantage. Our commitment to delivering a superlative level of service is backed by the professional expertise of our team, state-of-the-art technology, and a lean and competitive approach. Why Join Us? At Ballinger, we pride ourselves on maintaining a best-in-class experience for our customers. We value positive and respectful interactions with stakeholders and colleagues, while upholding trust, integrity, and regulatory compliance at every step. As a member of our team, you will have the opportunity to grow both professionally and personally, leading the way as we achieve new levels of success together. We believe in staying up to date with industry best practices and encourage knowledge-sharing to foster a culture of continuous improvement, we also invest in our staff members and sponsor additional education. Requirements As an AML &amp; Compliance Onboarding specialist, your responsibilities will encompass: <ul> <li>Gathering and analysing customer information to complete the KYC (Know Your Customer) process.</li> <li>Verifying the identity of clients using prescribed documentation and processes.</li> <li>Collecting necessary documents from new clients and ensuring all data is accurate.</li> <li>Approving or rejecting applications based on the company's compliance policies.</li> <li>Keeping up to date with regulatory changes and requirements related to KYC procedures.</li> <li>Communicating with clients to obtain missing documentation or data.</li> <li>Updating and maintaining client records in the company's database.</li> <li>Conducting risk assessments on new clients.</li> <li>Assisting with internal audits and regulatory inquiries.</li> <li>Providing regular reports to management about the onboarding process.</li> <li>Collaborating with other departments like sales and customer service to ensure efficient onboarding.</li> <li>Coordinate and assist in the update of policies and procedures in accordance with the relevant laws and regulations.</li> </ul>Enhanced Due Diligence (EDD) <ul> <li>Conducting in-depth reviews of high-risk customers and transactions.</li> <li>Gathering additional customer information to establish their source of wealth and funds.</li> <li>Analysing customers' transaction patterns and behaviour for any suspicious activities.</li> <li>Liaising with customers to obtain necessary EDD information and documentation.</li> <li>Preparing and presenting detailed EDD reports to senior management.</li> <li>Collaborating with compliance and legal teams to ensure EDD procedures are up to date with regulatory changes.</li> <li>Conducting ongoing monitoring of high-risk customers and reporting any changes in risk levels.</li> <li>Escalating potentially suspicious activities to the appropriate internal teams for further investigation.</li> <li>Utilizing financial intelligence and customer data to inform EDD processes.</li> <li>Ensuring the confidentiality and security of customer information gathered during the EDD process.</li> </ul>Transaction Monitoring (TM) <ul> <li>Monitor the departmental queues for alerts on a regular basis throughout the working day ensuring management are aware of outstanding alerts at end of day</li> <li>Be familiar with the departmental systems/processes and their implementation</li> <li>Review transaction monitoring alerts in line with prescribed procedures:</li> <ul><li>Investigate the individual alerts to determine if there is a potential suspicious transaction involved</li></ul> <ul> <li>Follow the recommended standard investigation steps</li> <li>In addition, assess if there is anything else unusual about a transaction, particularly based on experience of previous transactions</li> <li>Assess the transaction in the context of previous transactions and the client's business/purpose of the account - if necessary review the client file</li> <li>Assess the relevance of the geographies of the remitter and beneficiaries of the transaction Where there are grounds for suspicion or a requirement for guidance in relation to an alert, escalate in line with the procedures</li> </ul> <li>Create and maintain accurate and concise records of all investigations undertaken including details on the rationale for any decisions made</li> <li>Seek to build an understanding of the profile of customers highlighted through the transaction monitoring alert process</li> <li>Assist with the preparation of departmental Management information reports</li> <li>Provide input to the maintenance of the departmental procedures</li> <li>Provide advice and support to the business units on the identification of areas of risk as a result of transaction monitoring trends</li> <li>Any other associated duties required from time to time to meet the departmental responsibilities and goals</li> </ul>Skills and Capabilities: To excel in this role, you should have: <ul> <li>Fluent in English.</li> <li>Experience working in AML/Compliance roles in the financial services industry, preferably within the investment services sector.</li> <li>Analytical mindset with exceptional problem-solving skills and keen attention to detail.</li> <li>Strong multitasking and prioritization capabilities.</li> <li>A constant willingness to improve and learn, staying proactive in staying up-to-date with industry trends.</li> <li>Knowledge of complex corporate structures and funds would be considered an asset.</li> <li>Familiarity with financial regulations affecting financial services firms and Malta Financial Services Authority rules would also be an advantage.</li> </ul>Benefits We offer a competitive salary package, which includes comprehensive benefits such as: <ul> <li>Health insurance coverage for you and your dependents</li> <li>Death in Service Cover</li> <li>Performance-related bonuses and incentives</li> <li>Professional development opportunities to support your growth</li> <li>A collaborative and inclusive work environment that values your contributions</li> </ul>If you are passionate about AML/Regulatory Compliance and making a positive impact in the financial services industry, we invite you to join us at Ballinger Group as our AML &amp; Compliance Specialist. Together, we will continue to drive growth and success while delivering outstanding results for our clients worldwide.

AML & Compliance Specialist

Overview: Our client is a Big 4 advisory firm, leading in risk and regulatory advice across the financial markets, working directly with a pick of the top tier banks. What we are looking for: We are currently looking experienced financial risk managers, fervent about contributing positively towards impacting climate change. We are looking ideally for credit risk experts that can help build out this growing practice If you have expertise from across financial risk (credit, market, modelling) then we would like to speak with you. The combination of this specific technical knowledge with honed commercial and people consulting skills is a real asset and something that will set you up for rapid growth and success in the consulting world. What this role can offer you: This is a fantastic opportunity to be part of the growth of a new and impactful business area, and will provide you with the platform work with some of the leading lights in the climate risk and banking space, providing real client value and thus high levels of personal visibility and recognition for your work. You progress in this firm and team would be unobstructed and within you own control.

Climate Risk Modelling - Senior Manager

Overview: Our client is a Big 4 advisory firm, leading in risk and regulatory advice across the financial markets, working directly with a pick of the top tier banks. This role is based in London. What we are looking for: We are currently looking for a Risk and Controls Manager with specific knowledge of Wholesale banking environments to joining a market leading advisory team If you have expertise across Financial services risk management (including compliance), operations and finance supporting critical business change initiatives and remediation programmes we would like to speak with you. You should demonstrate knowledge on wholesale risk and be able to work with clients to design and implement change to their operating models, governance, processes and controls. Most recent projects have included Brexit response, LIBOR transformation, and governance and controls remediation. We are looking to speaking with individuals who are well-schooled in current regulatory developments and a depth of financial products knowledge. What this role can offer you: This role provides you with the opportunity to work on a range of projects and to build a broad range of expertise, as well as build your client relationship network. It offers commercial development and the ability to grow and develop the business offering.

Wholesale Conduct Risk - Manager

Oaktree is a leader among global investment managers specializing in alternative investments, with $193 billion in assets under management as of June 30, 2024. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, private equity, real assets, and listed equities. The firm has over 1,200 employees and offices in 22 cities worldwide. We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. Providing training and career development opportunities and emphasizing strong support for our local communities through philanthropic initiatives are essential to our culture. For additional information please visit our website at <a href="http://www.oaktreecapital.com" target="_blank">www.oaktreecapital.com</a> Scope and responsibilities The Operational Risk Management (ORM) team helps to identify non-investment risk across Oaktree globally, contributing to continuous operational improvement. ORM partners with Oaktree professionals globally to continually assess and enhance the risk and control environment. Oaktree is seeking a Vice President to work closely with the Senior Vice President in ORM, and be responsible for aiding in the implementation, coordination, execution and continued enhancement to Oaktree's global Operational Risk Management framework, with a specific focus on Oaktree's international offices. The individual will work directly with all major businesses, operational functions and investment teams to help identify, assess, and mitigate operational risks across Oaktree's business. The individual may also have limited client and regulatory contact in cases where Oaktree is asked to provide information on the Operational Risk framework. Candidates should be comfortable challenging the assumptions and conclusions of senior individuals while maintaining constructive relationships with management. Key responsibilities include, but are not limited to: <ul><li>Risk and Control Assessment: Facilitate risk and control assessments to identify potential risks and implement effective controls, validating remediation of operational risk exposure and related control gaps.</li><li>Root Cause Analysis: Conduct root cause analysis of operational events and develop strategies to mitigate future risks.</li><li>Governance: Lead risk management presence and content in governance forums, ensuring comprehensive oversight and identification of operational risk trends.</li><li>Risk Reporting: Preparing and presenting detailed risk reports / dashboards / metrics to senior management and stakeholders, highlighting key risk areas and recommended actions.</li><li>Trend Analysis: Identify and analyze operational risk trends to inform strategic decision-making.</li><li>Continuous Improvement: Providing thoughtful and collaborative leadership promoting risk transparency and business unit-level ownership and accountability over operational risk and control environments, fostering continuous improvement.</li><li>Risk Aware Culture: Promoting Oaktree's risk aware culture, serving as the subject matter expert on operational risk initiatives. Identifying, initiating, and fostering relationships with business and operational partners to promote a culture of continuous improvement, driving constructive communication with the ORM team.</li><li>Regulatory Compliance: Ensuring compliance with relevant jurisdictional regulatory requirements, expectations and industry standards related to risk management e.g., risk appetite statements, ICARA, ICAAP, IRAP.</li></ul>Experience required <ul><li>6+ years of operational risk management, enterprise risk management and/or related experience required; experience in the investment management industry preferred.</li><li>Experience facilitating top-down and bottom-up risk assessments, focused on existing and emerging risk areas.</li><li>Practical experience with Basel, COSO, ERM, risk and control self-assessment tools, methodologies and concepts.</li><li>Outstanding verbal and written communication skills to work cross-functionally and at all levels internally.</li><li>Proven capability in collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions.</li><li>Track record in planning and project management and in maintaining composure under pressure while meeting deadlines.</li><li>Strong skills in resolving problems and negotiating issues.</li><li>Highly organized and able to manage multiple projects with differing priorities to meet deadlines.</li><li>Team-oriented, possessing strong integrity and professionalism and sharing in Oaktree's common goal of excellence.</li><li>Demonstrated ability in:</li><li>Applying sound judgment in the evaluation of risks and controls;</li><li>Challenging the assumptions and conclusions of more experienced staff members;</li><li>Facilitating insightful conversations to ensure appropriate consideration and evaluation of risks;</li><li>Performing effective root cause analysis to identify control gaps and weaknesses and recommending appropriate corrective course of action;</li><li>Collaborating with business managers to promote an effective risk management culture by proactively identifying areas of operational risk;</li><li>Proficient in Microsoft Office products including, Word, Excel, PowerPoint, Visio, Outlook and other business software to prepare reports, memos and summaries. Experience with GRC tools and PowerBI a plus.</li></ul>Personal attributes <ul><li>Excellent interpersonal, verbal and written communication skills, with the ability to leverage firm wide resources in an effective and judicious manner.</li><li>Self-initiated with a proven ability to work independently and a strong work ethic.</li><li>Ability to operate independently on short and long-term goals.</li><li>Flexible and team-oriented with strong integrity and professionalism.</li><li>Ability to take on a task/project and "run with it" to conclusion.</li><li>Passion for improving systems and processes, ability to act as a change agent with a focus on innovation.</li><li>Detail-oriented and a natural problem solver; have the resolve to independently research problems and offer solutions.</li><li>Thrives in roles that require outside of the box thinking, solving problems and navigating through ambiguous and /or complex issues.</li><li>Critical thinker, interested in playing a key role in driving the strategic vision for the ORM function within the firm and collaborating effectively with firmwide business, risk and control partners.</li><li>Self-starter with a natural inclination to interpret guidance, improve upon proposed ideas, organize and deliver recommendations, and deliver agreed upon solutions.</li><li>Intellectual curiosity and a quick learner.</li><li>Desire to travel.</li></ul>Education Bachelor's degree is required. Professional certifications (e.g., Operational Risk Manager certificate from PRMIA or similar, CFA, FRM) a plus. Oaktree Capital Management, L.P. is an equal opportunity employer Equal Opportunity Employment Policy Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources.

Vice President, Operational Risk Management

payabl. empowers businesses to grow through payments innovation and banking services. Our ambition is to expand our strong portfolio of global financial services we provide to businesses and make them all available in one place on our platform, payabl.one. As a licensed financial company with principal membership with card schemes, we specialize in global payments and providing businesses with multi-currency accounts. With offices located in Frankfurt, Amsterdam, Limassol, and London, we are currently undergoing significant expansion and are looking for a Regulatory Compliance Manager to join our team in London. This role is about:The Regulatory Compliance Manager will be part of the 2nd line in the Compliance Department. Reporting directly to the Head of Compliance &amp; MLRO, this role will be responsible for providing regulatory oversight, managing and developing the policy framework, and implementing relevant changes in line with new regulations (such as Operational Resilience and Consumer Duty) and products within the firm. The role will be instrumental in ensuring the firm remains compliant with applicable regulations under our e-money license and in supporting the growth of the firm by providing expert advice on regulatory matters. This is a great opportunity to bring your skills and experience to help shape and design our compliance framework. You Will: <ul> <li> Policy Development &amp; Oversight: Review existing compliance processes and develop, update, and oversee the implementation of compliance policies and procedures across the organization.</li> <li> Regulatory Advisory: Provide expert advice on regulatory matters, including FCA requirements, to senior management and relevant stakeholders, ensuring alignment with industry best practices.</li> <li> Regulatory Compliance Expertise: Maintain a deep understanding of the Payment Services Regulations 2017 and FCA regulations, particularly in the areas of safeguarding, operational resilience, and consumer duty, ensuring ongoing compliance.</li> <li> Framework Development: Take ownership of designing and implementing new regulatory frameworks and ensure their execution across the business.</li> <li> Collaboration: Work closely with the Head of Compliance &amp; MLRO to build, refine, and continuously improve the company's compliance framework.</li> <li> Training Design &amp; Implementation: Develop and facilitate a comprehensive compliance training program for employees, ensuring that the entire team is knowledgeable about regulatory obligations and best practices.</li> <li> Regulatory Standards Adherence: Ensure the team adheres to all relevant regulatory standards and FCA principles, particularly those applicable to e-money institutions.</li> <li> Regulatory Updates: Stay informed about industry regulatory developments, assess their impact on the business, and implement necessary changes to maintain compliance.</li> <li> Risk Identification &amp; Mitigation: Assist in identifying potential regulatory risks and work proactively to mitigate them.</li> <li> Compliance Monitoring: Oversee and further develop the Compliance Monitoring Framework, ensuring continuous improvement in compliance tracking and reporting.</li> </ul>What we need: <ul> <li>Minimum of five years of experience in a comparable role within the regulatory compliance sector.</li> <li>Proven experience in a regulated payment or e-money firm authorized by the FCA. Experience within the EU regulatory landscape for payment/e-money institutions is highly desirable.</li> <li>Strong knowledge of applicable regulations, including the Payment Services Regulations 2017, FCA requirements, and best practices in areas such as safeguarding, operational resilience, consumer duty, conduct, and risk management.</li> <li>Experience in designing and implementing regulatory frameworks and compliance processes across multiple functions.</li> <li>Exceptional organizational abilities, with the capacity to manage a fast-paced workload, prioritize tasks effectively, and handle multiple responsibilities simultaneously.</li> <li>A "Get Stuff Done" (GSD) attitude, taking full ownership of tasks and driving them to completion without the need for supervision.</li> <li>Strong analytical abilities, attention to detail, and proficiency in evaluating complex regulatory issues. Ability to translate regulatory requirements into practical, actionable steps.</li> <li>Excellent written and verbal communication skills in English, with the ability to present complex regulatory matters clearly and concisely.</li> <li>Strong negotiation skills, with experience in liaising with both internal and external stakeholders.</li> <li>Ability to stay abreast of regulatory changes and adjust compliance processes accordingly to maintain regulatory alignment.</li> <li>Understanding of evolving financial crime tactics and the ability to adjust compliance frameworks to mitigate these risks.</li> <li>Strong sense of ethical integrity and commitment to ensuring compliance with legal and regulatory standards.</li> </ul>The perks of being a payabl.er: <ul> <li> Attractive Compensation and Revolutionary Opportunities: Join us and play a key role in transforming the payments industry with a competitive salary.</li> <li> Immense Educational Opportunities: Benefit from significant contributions to your professional training and development.</li> <li>Generous Vacation Policy: Enjoy 25 days off plus public holidays, along with 10 days of sick leave, ensuring ample time to rest and recharge.</li> <li>Hybrid Working Option: Choose how you work best with our flexible hybrid working arrangements.</li> <li>Half Day Off on Your Birthday: Take a half-day off to celebrate your birthday, because you deserve it!</li> <li> Team Bonding: Participate in regular team events, business trips, and activities that build a strong, collaborative culture.</li> </ul>Ready to Join Us?Let's embark on a journey to redefine the landscape of payments together. We're not just offering a role; we're inviting you to be a part of something bigger. Join our team, and let's innovate, disrupt, and lead the future of payments. Together, we can make an impact that resonates. Welcome to the team! If this role seems like a good match, please submit your resume all applications are treated with the strictest confidentiality. Please note that we may keep your CV for a period of one (1) year for future relevant job opportunities. For more information about how we process your data please see our privacy policy at <a href="https://www.payabl.com/privacy-policy" target="_blank">https://www.payabl.com/privacy-policy</a>

Regulatory Compliance Manager

Job Description: Employer: DWS Group Title: Non-Financial Risk Manager, IT Location: London About DWS: Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change. Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment. We're looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That's why we are 'Investors for a new now'. As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients' financial future. And in return, we'll give you the support and platform to develop new skills, make an impact and work alongside some of the industry's greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career. This is your chance to invest in your future. Team / division overview The DWS Non Financial Risk Management (DWS NFRM) team is part of the DWS Chief Risk office within the DWS CFO division. The DWS Chief Risk office is a dedicated control function, independent from the Front Office and mandated to manage financial, non-financial and investment risks for DWS Group and its subsidiaries. DWS NFRM acts as 2LoD ERM function within DWS with the current mandate: DWS NFRM establishes and maintains the DWS Non-financial Risk Management Policy and the assigned Implementation Procedures, which form the DWS Operational Risk Management Framework and the DWS Reputational Risk Management Framework and ensures its implementation and adherence by 1st LoD and 2LoD Functions in DWS. In this context DWS NFRM acts also as DWS NFRM Coverage. The DWS NFRM regional teams (EMEA, USA, APAC) act as NFRM Coverage and DWS Risk Type Controllers as described within the DWS ORMF. As an NFRM Specialist you will join the DWS NFRM team in Europe, reporting to the global DWS Head of NFRM. This role represents the global lead risk type specialist for Information Technology Risk Management within DWS Non Financial Risk Management, in partnership with three lines of defense representatives (e.g. DWS FR and NFR teams, DWS Divisional Control Office, DWS Procurement, IS, IT Risk, DWS Audit, and related DWS 2nd line functions like Compliance and AFC). Role Details: As an NFRM Risk IT Manager you will (be): <ul><li>Establish minimum standards for the management of information technology risk within the global organization, in conformance with regulatory requirements.</li><li>Establish the requirements for the minimum standards within a new IT Risk Management Policy, subject to consultation with relevant controls functions in IT, IS, etc.</li><li>Establish appropriate qualitative and quantitative measures to enhance the DWS KGaA Risk Appetite Statement as it relates to IT risk.</li><li>Work closely with DWS IT and IS colleagues to produce and communicate training related to the associated policies, procedures, and controls once a framework has been established.</li><li>Support the delivery of organizational and NFRM priorities such as risk &amp; control assessments, scenarios, risk appetite monitoring, risk metrics and DWS transformation activities related to IT risk topics.</li><li>Interact with DB Group NFRM and DB Group Data Management functions to exchange information and ensure alignment with DB requirements as appropriate.</li><li>Work closely with NFRM colleagues to provide support to regulatory and ad hoc initiatives undertaken to address IT risk management requirements including DORA, KAIT, etc.</li></ul>We are looking for: <ul><li>University degree (Computer Science, Business Administration, Natural Sciences, or equivalent)</li><li>Experience (8+ years) in operational risk management (both technical and organizational requirements) or equivalent experience (8+ years) in front office IT risk management roles, ideally with experience in the finance industry, consulting or IT audit</li><li>Working knowledge of relevant industry and regulatory assessment frameworks and/or standards are required</li><li>Relevant professional certifications are a plus: e.g. Lead Auditor, Non Financial Risk Management or similar</li><li>Understanding of risk management principles and experience in risk management incl. MaRisk requirements</li><li>Proficient in MS PowerPoint, Excel, and Word</li><li>Strong written and verbal communication skills in English, as well as German preferred</li><li>Exceptional collaboration, interpersonal and teamwork skills; ability to build relationship internally within the organization</li><li>Knowledge of industry standard risk management applications strongly preferred</li></ul>What we'll offer you: At DWS we're serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand it's important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS, you'll have access to a range of benefits which you can choose from to create a personalised plan unique to your lifestyle. Whether you're interested in healthcare, company perks, or are thinking about your retirement plan, there's something for everyone. Some of our core benefits: <ul><li>30 days' holiday + bank holidays, with the option to purchase additional days</li><li>A non-contributory pension scheme, up to 10%</li><li>Physical and Mental Health Well-Being benefits including (but not limited to) Private Medical Cover, a complimentary GP service and the support of Mental Health First Aiders</li><li>Family friendly benefits including generous parental leave packages (supporting all variations of family set-ups), to healthcare plans and travel insurance</li><li>The opportunity to support our CSR strategy which is focused on combatting climate change and achieving greater social justice. You can make donations to our partner organisations or take part in corporate volunteering opportunities in your local communities by providing on hand support.</li></ul>DWS' Hybrid Working model in the UK is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Employees who wish to sign-up to our Hybrid Working model are required to work in the office two days a week, and given the flexibility to work from home for the remaining three. Some business groups may need you to spend more time in the office, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people. If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and your recruitment team will discuss options with you.

Non-Financial Risk Manager, IT

Career Join our team as a Senior Compliance Monitoring Manager and leverage your expertise in FCA rules and regulatory frameworks to drive compliance excellence. About the Role Reportingto the Head of Compliance, you will lead the Compliance Monitoring team and implement the annual Compliance Monitoring Plan. Your role includes monitoring compliance activities, identifying risks, and ensuring adherence to regulatory requirements and internal policies. Accountabilities <ul> <li> Team Leadership:Guide the compliance monitoring team to deliver an effective programme.</li> <li> Strategic Planning:Develop and implement compliance monitoring plans.</li> <li> Audits:Conduct regular audits to ensure regulatory adherence.</li> <li> Reporting:Present detailed reports and MI to the Assurance Director, committees and management.</li> <li> Stakeholder Engagement:Build strong relationships with key stakeholders.</li> <li> Regulatory Updates:Stay updated on regulatory changes to keep our framework agile.</li> </ul>Skills and Experience <ul> <li>Proven experience in compliance monitoring and auditing within financial services. </li> <li>Strong understanding of regulatory requirements. </li> <li>Excellent leadership and management skills. </li> <li>Analytical mindset with risk identification and mitigation abilities. </li> <li>Strong communication and report-writing skills. </li> <li>Relevant qualifications in compliance or a related field preferred.</li> </ul>Benefits <ul> <li>Competitive Pension Scheme - we contribute 6%, you 3%</li> <li>26 days holiday plus bank holidays </li> <li>Private Medical Insurance</li> <li>Life Assurance (4x)</li> <li>Group Income Protection</li> <li>Work From Anywhere policy</li> </ul>Our agile working environment means you may engage in various tasks and projects, which keeps work interesting and you get to develop and grow. Department Compliance Locations London Remote status Hybrid Remote

Senior Compliance Monitoring Manager - London

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

Credit Risk Manager

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

Regulatory Compliance Senior Manager | Commodities and Global Markets

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

IT Compliance Analyst

The Vacancy Pro has an exciting opportunity for a Compliance Manager to join its Pro MGA Solutions team. The postholder will be responsible for supporting the existing account and compliance management oversight of each client, ensuring clients remain compliant by providing effective support to devise and embed the appropriate controls that drive professional behaviour and best practice. The Compliance Manager will be part of the Pro MGA Team reporting to the Head of Compliance and working with a Compliance Assistant. This is a full-time, permanent role working on a hybrid basis out of the London office 2 - 3 days a week. Main Duties and Responsibilities include but are not limited to: <ul> <li>Monitor and ensure mandatory training completion rates are met and maintain consistent compliance documentation and standards for the intranet</li> <li>Review policies, procedures and supporting guidance to the business and clients</li> <li>Work on embedding conduct risk requirements</li> <li>Support the process to embed a risk culture within the team and for clients</li> <li>Support the delivery of operational risk and compliance and new business projects</li> <li>Monitor and record the publications and press releases of the FCA, PRA and insurance trade bodies</li> <li>Assist in the production of structured, accurate and timely risk and compliance MI reports for the business or the Boards as appropriate</li> <li>Support the recording and assessment of the regulatory breach reporting process</li> <li>Work with the Finance team to provide data to support the regulatory reporting process</li> <li>Carry out monthly monitoring review of the regulatory risk logs, maintaining the regulatory calendar for the team and to undertake the regulatory reporting</li> <li>Chair the MGA Risk and Compliance Committee meetings</li> <li>Participate and provide guidance to the wider team about Compliance updates and changes.</li> <li>Provide compliance information and prepare reporting for Board Packs</li> <li>Work with the SMF16 to analyse and implement any new regulatory changes applicable to our business and/or clients.</li></ul>Key knowledge, skills and experience required: • Minimum of 5 years' compliance experience working within the delegated sector of insurance (preferably in an MGA) and knowledge of the delegated underwriting market and processes • People orientated with a desire to improve and develop the skills of team members through training and mentoring • Able to work under pressure to meet pressured deadlines • Ability to improve/re-engineer processes to improve timeliness, accuracy and efficiency • Good corporate financial awareness • Good understanding of London Market systems and procedures • Previous experience in a similar role in the (Re)insurance market, within a Service Provider or an operations leadership role within a Managing Agent • Excellent verbal and written communication skills • Working regulatory understanding • CII Certification desirable • Minimum of 15 hours CPD per annum including regulatory oversight. By submitting your personal data to Pro Insurance and by using our website, you give your consent that all personal data you submit as part of your application may be processed by us in the manner and for the purposes described in our HR applicant privacy policy. For further information, please refer to our Data Protection Policy, a copy of which can be requested from HR. The Company Pro is a specialist outsourcing and consulting company focused solely on the insurance and reinsurance industries. We work with clients to identify changes needed to improve their business processes, minimise operating overheads and implement the controls required to meet new regulations, delivering tailored solutions to meet clients' needs. Our UK offices are in Gloucester, Glasgow, Liverpool, Horsham and central London. We are also a global company with offices in the United States, Cologne and Unna (Germany) and Argentina. We also operate a hybrid working model so you can work at home and in the office. We provide expert support in the areas of underwriting, claims management, financial and technical accounting, and risk and auditing, utilising the best technology available on the market and adopting a proactive approach. Pro Values WE GET THINGS DONE: We commit concrete actions and do what we promise. WE DO THE RIGHT THING: With integrity at the heart of every decision, we focus on what will add most value. WE BRING NEW THINKING: We are curious, creative and insightful. We are not afraid to evolve. WE ARE IN IT TOGETHER: We are inclusive. We help each other and our clients to shine. WE ARE ENERGISED: We bring drive and enthusiasm to our work. Benefits Healthcare For yourself (you can add family members on at additional cost). Life assurance you will receive a death in service benefit equal to 4 times your salary. Holiday 25 days plus bank holidays and discretionary day off for your birthday. Training &amp; Development we have inhouse Learning and Development team that will support you, giving you the tools to succeed. Employee referral scheme Staff bonus for introducing a candidate that we employ as a result of that introduction. Pension scheme Company pension contribution up to 10%.

Compliance Manager

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

Risk and Compliance Assurance Officer - 6 month contract

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

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

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

Analyst - Compliance Advisory

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

Operational Compliance Officer - London

About Caxton Associates: Caxton Associates, founded in 1983, is a global trading and investment firm with offices in London, New York, Monaco, Singapore and Dubai. Caxton Associates' primary business is to manage client and proprietary capital through global macro hedge fund strategies. Assets are managed via a broad mandate to trade in a variety of global markets and instruments. About the Role: We have an opportunity to hire a talented compliance professional, reporting directly to the Chief Compliance Officer ("CCO"). The position has a broad remit, and is best suited to individuals who are driven, enjoy a varied, hands-on role in a fast-paced and intellectually stimulating environment. Responsibilities: <ul> <li>Play a pivotal role in managing and coordinating the global compliance programme.</li> <li>Operate both independently and seamlessly as part of a cross-jurisdictional team.</li> <li>Execute global monitoring and surveillance activities as assigned by the CCO.</li> <li>Provide strategic input into the Global Compliance framework, including structuring and automating key processes and controls.</li> <li>Collaborate with other members of the Compliance team on policies, procedures, and global compliance issues.</li> <li>Contribute your skills to projects within the Legal &amp; Compliance team and/or Firm as required.</li> <li>Work closely with colleagues across the Firm to cultivate an appropriate compliance culture.</li> </ul>Requirements <ul> <li>Ideally, candidates will possess 5+ years' experience as a compliance generalist in a hedge fund, trading firm, or investment management firm.</li> <li>Strong understanding and practical experience of regulatory frameworks, with a focus on the UK and US.</li> <li>Proven ability to exercise judgement in comprehending and managing regulatory risks.</li> <li>Highly driven, organised, and detail-oriented, capable of multitasking and meeting tight deadlines.</li> <li>Excellent communication and presentation skills, both verbal and written.</li> <li>Experience in implementing and operating trade and communications surveillance programmes.</li> <li>Highly dependable and committed to upholding the highest professional and ethical standards.</li> </ul>

Compliance Officer

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

Job Description YOUR IMPACT Are you a strategic thinker with a strong work ethic, desire to work within a growing global business, and ability to think outside the box? Analysts/Associates on the Global Risk Management Team will gain exposure and access to senior managers in PWM, build expertise in risk analysis and risk management, and develop a deeper understanding of the PWM business on a macro level. The team is seeking a candidate who has the ability to thrive in a fast paced environment where attention to detail, strong communication skills, and passion for working with others are essential to maintaining and enhancing our business. OUR IMPACT Private Wealth Management (PWM) secures, develops and manages relationships with high net worth individuals, their families, family offices and foundations. PWM assists clients with building and preserving their financial wealth by creating and implementing long-term asset allocation within the context of each client's particular risk tolerance, and by providing access to innovative investment ideas and opportunities. PWM professionals develop customized investment strategies and offer a full array of wealth management products and services, including private banking and trust company services. The PWM Global Business Risk Management team is the In-Business function that provides analysis, review and management of the client, product, and platform related risks of the PWM business. We are looking for an analytical and quantitative Analyst or Associate or to work on the team, based in London. This role focuses on credit and suitability risks: our exposure to our clients through their investing and trading activities using leverage, complex products or more volatile asset classes. You will work closely with EMEA and Asia PWM Management Teams, Credit Risk Officers, PWM Product Specialists and Private Wealth Advisors to review and advise on various activities. HOW YOU WILL FULFILL YOUR POTENTIAL <ul> <li>Review and analyze client portfolios from a credit risk and suitability risk perspective.</li> <li>Counterparty Credit Risk - risk to GS balance sheet from client default via derivatives and lending <ul> <li>Help to provide regular portfolio reviews to senior PWM management in both Asia and EMEA - deep and wide ranging analysis on our clients' portfolios and our corresponding credit exposures.</li> <li>Daily ongoing monitoring of clients exposing the firm to counterparty credit risk via derivatives or borrowing - helping ensure clients meet margin calls in a timely manner, reviewing swings in client portfolio values that may drive margin calls and scanning our overall universe of accounts to find similar exposures.</li> <li>Help with analysis and implementation of improvements to our risk management infrastructure.</li> <li>Work with Strats team to develop specific risk analytics/reporting to be used internally and/or externally with clients.</li> </ul></li> <li>Suitability Risk - risk to client loss via investing / trading relative to their wealth, sophistication, or risk tolerance <ul> <li>Ongoing monitoring and assessment of clients, their wealth and sophistication vs. their products and portfolios with GS.</li> <li>Periodic portfolio reviews.</li> </ul></li></ul>WHERE WILL YOU MAKE AN IMPACT Our Private Wealth Management business spans the globe and you will be working with individuals in EMEA and Asia. QUALIFICATIONS EXPERIENCE &amp; SKILLS WE'RE LOOKING FOR <ul> <li>Minimum of 2 years of experience in a financial organization, preferably in the private wealth high net worth area or a Credit/Market Risk function.</li> <li>Good base of derivatives knowledge - pricing, risk management of structured products, options and more exotic derivatives.</li> <li>Experience in risk analysis and management - VaR and Stress Testing.</li> <li>Exposure to Margin / Collateral Management systems.</li> <li>Outstanding analytical skills; ability to work with detailed financial or other data and understand and communicate commercial implications.</li> <li>Exceptional communication and interpersonal skills; confidence to work closely with senior management</li> <li>Highly organized with attention to detail </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.

Asset & Wealth Management - Wealth Management Risk Team, Analyst/Associate, London

Deskpro, a leading provider of help desk software, is seeking a Security and Compliance Manager to join our team. As a Security and Compliance Manager at Deskpro, you will be responsible for ensuring the security and compliance of our software and systems, as well as implementing and enforcing policies and procedures to safeguard sensitive data. We take security seriously, and we work with many enterprise and government clients. In this role, you will have the opportunity to make an impact and contribute to the continued success of Deskpro as a trusted provider of secure help desk solutions. Responsibilities: <ul> <li>Manage all existing security and compliance security policies, practices, procedures and systems</li> <li>Where required, develop and implement additional security policies, practices and procedures</li> <li>Ensure compliance with relevant industry standards and regulations</li> <li>Monitor and assess potential security risks and vulnerabilities</li> <li>Design and implement security controls, including authentication, encryption, and access controls</li> <li>Perform regular security audits and vulnerability assessments</li> <li>Engage with customers and prospects regarding custom security and compliance requests</li> <li>Conduct security incident response and investigations</li> <li>Educate and train employees on security best practices</li> <li>Maintain awareness of emerging security threats and solutions</li> <li>Collaborate with cross-functional teams to implement security measures</li> <li>Stay up-to-date with industry trends and best practices in security and compliance</li> </ul>Requirements <ul> <li>Proven experience in a similar role, with a focus on security and compliance</li> <li>Deep knowledge of relevant industry standards and regulations (e.g., SOC 2, ISO 27001, GDPR, HIPAA)</li> <li>Strong understanding of security principles, technologies, and best practices</li> <li>Experience in developing and implementing security policies and procedures</li> <li>Familiarity with security tools and technologies, such as intrusion detection systems, firewalls, and data encryption</li> <li>Ability to assess and mitigate security risks</li> <li>Excellent communication and interpersonal skills</li> <li>Ability to work independently and collaboratively in a fast-paced environment</li> <li>Attention to detail and strong analytical skills</li> <li>Relevant certifications (e.g., CISSP, CISM, CRISC) are a plus</li> </ul>Benefits Competitive benefits package including stock options. Specifics will be dependent on location (either London, UK or Austin, TX, USA).

Security and Compliance Manager (London)

Our Story Hello there. We're Zopa. We started our journey back in 2005, building the first ever peer-to-peer lending company. Fast forward to 2020 and we launched Zopa Bank. A bank that listens to what our customers don't like about finance and does the opposite. We're redefining what it feels like to work in finance. Our vision for a new era of banking puts people front and centre - we've built a business that empowers everyone to aim high, every day, to move finance forward. Find out more about our fantastic offerings at Zopa.com! We're incredibly proud of our achievements and none of it would be possible without the amazing team here. It's not just industry awards we're winning, we've also been named in the top three UK's Most Loved Workplaces. If you embrace unconventional challenges, are unafraid to think differently and are driven to make an outsized impact, you'll thrive here at Zopa, so join us, and make it count. Want to see us in action? Follow us on Instagram @zopalife The 1st Line of Defence (1LOD) Risk Function are responsible for managing risks across the organisation, working closely with cross-business stakeholders and adopting the bank's risk framework to embed effective and efficient risk management into everything we do. We are looking for a Risk Manager to partner with our Lending Product areas (these range from POS, Credit Cards, UPL's to Auto) to identify, assess and manage operational risks. The role is an exciting opportunity for a risk professional motivated by driving change and contributing to delivering responsible growth and a truly customer centric experience. A day in the life: <ul><ul><li>You'll report into the Senior Manager - Lending and work closely with stakeholders across the three lines of defence to ensure Zopa operates within risk appetite, through the application of commensurate mitigating controls. </li><li>Be able to identify areas of risk and have a strong knowledge of operational risks and controls. </li><li>Lead in defining solutions in response to risks which are i) smart and proportionate, iii) sustainable (e.g. Automated controls over manual interventions) and iv) considered (i.e. not just plugging the gap but thinking more holistically about the issue and what we need, to improve the risk environment) </li><li>Be able to manage interdependencies in order to support in the delivery of agreed solutions, change initiatives in a timely and high-quality way. </li><li>Ensure that MI and reporting is delivered in a timely manner, enabling accountable individuals to make informed, risk-based decisions. </li></ul></ul>About you: <ul><ul><li>You'll be an experienced risk professional with a strong understanding of retail banking environment and a passion for supporting teams to deliver better customer outcomes. </li><li>Proven track record of experience of managing operational risk (ideally in the first line) in a consultancy, fintech or specifically within the financial services sector. </li><li>Good awareness of the regulatory framework in which Zopa operates and driven to self-educate and learn about the evolving open banking regulatory landscape. </li><li>You'll be able to lead stakeholders to identify areas of risk, support in the delivery of change across the business and look for ways to improve our existing risk-based practices. </li><li>You should be technical, outcome orientated, and be able to apply the risk framework to propose optimal outcomes for customers and the bank. </li><li>A strong communicator who can articulate issues clearly, flagging trade-offs and solutions in order to gain buy in to your proposals. </li><li>Passionate about improving the risk environment and general ways of working across the teams you support. </li><li>Act as a source of knowledge and point of contact for business colleagues in your area such as second line risk and first line counterparts. </li><li>Guide first line teams in completing comprehensive risk assessments and promoting a risk-aware culture across the business. </li></ul></ul>Bonus points for: <ul><ul><li>Practical working knowledge ofregulations surrounding lending products </li><li>Experience of change projects involving automated and tech solutions. </li></ul></ul>#LI-LK1 Flexible working? Yes please! At Zopa we value flexible ways of working. We understand the benefits of face-to-face collaboration and the importance of a good work-life balance. Our teams work in a hybrid manner, from our vibrant UK offices and the comfort of their own homes, at a frequency that suits the team and the work they do. Not only that - you'll also have the option of working from abroad for up to 120 days a year!* But no matter where you are, we'll make sure you've got everything you need to thrive, both in your work and home life, from day one. *Subject to having the right to work in the country of choice Diversity Statement Zopa is proud to offer a workplace free from discrimination. Diversity of experience, perspectives, and backgrounds leads to better products for our customers and a unique company culture for our people. We are made up of nearly 50 nationalities, have a DE&amp;I forum made up of Zopians wanting to make a difference and we are proud of our culture where everyone can bring their full self to work. Our approach to DE&amp;I is reflected in our hiring process so please let us know if you require any reasonable adjustments.

1st Line Risk Manager (Operational Risk)

Responsibilities TikTok is the leading destination for short-form mobile video. At TikTok, our mission is to inspire creativity and bring joy. TikTok's global headquarters are in Los Angeles and Singapore, and its offices include New York, London, Dublin, Paris, Berlin, Dubai, Jakarta, Seoul, and Tokyo. "Why Join Us Creation is the core of TikTok's purpose. Our platform is built to help imaginations thrive. This is doubly true of the teams that make TikTok possible. Together, we inspire creativity and bring joy - a mission we all believe in and aim towards achieving every day. To us, every challenge, no matter how difficult, is an opportunity; to learn, to innovate, and to grow as one team. Status quo? Never. Courage? Always. At TikTok, we create together and grow together. That's how we drive impact - for ourselves, our company, and the communities we serve. Join us." TikTok's Content and Safety Compliance team is a European team responsible for independently assuring TikTok's compliance with its obligations under the Digital Services Act. The team has a critical role in leading change, monitoring compliance/assurance, risk management and the team supervises an independent external audit. The team will evolve to also play a role in monitoring compliance with other similar laws, such as the Online Safety Bill in the UK. The Team This is an exciting opportunity to join - and help to shape- a brand new area of compliance practice. New team members will work with colleagues in the EU and globally from TikTok's Trust and Safety, Product, e-Commerce, Advertising, Legal, communications and government relations teams. The team's core role is to partner with those teams to devise and lead on the implementation of compliance solutions, risk mitigation mechanisms, complex processes and continuous improvement plans. The Role The work of the time is highly visible internally and externally and will appeal to those who wish to be pioneers in translating world-leading new regulatory requirements into achievable compliance frameworks. We are hiring a number of roles at a number of levels to join the team in London and Dublin and we are flexible in building the team around individual strengths and desired areas of focus. Responsibilites - Monitor and report on risks and compliance with content and safety legislation including the Digital Services Act and the Online Safety Bill with a particular focus on obligations relating to e-Commerce - Implement a comprehensive programme of monitoring and oversight of all relevant obligations. - Provide key expertise to the team in the external audit of relevant obligations , including tracking remediation recommendations and activities - Develop and embed a strategic approach to risk and compliance in relevant cross functional teams. - Create and implement relevant policies and procedures. - Contribute to annual annual risk assessments and reporting and support on the assessment and documentation of risk, advise on and track remediation measures. - Support the Head of the function in establishing strong relationships with regulators such as the European Commission, Coimisiún na Meán and Ofcom. - Maintain an independent mindset and effectively challenge where necessary to achieve a robust second line of defence. - Advocate risk and compliance, champion a positive risk culture and help provide an appropriate 'tone from the top' on risk and compliance matters. Qualifications Minimum Qualifications - Minimum 5 years' experience in a compliance monitoring team, or internal/external audit team, ideally in a regulated environment, for example in a platform or marketplace or in financial services (this can include financial services experience in the EU or in the US e.g with SOX) - Track record of building and maintaining complex risk and control environments. - Experience building trust with regulators and strong working relationships with business teams. - Understanding of platforms and good knowledge of relevant legislative landscape. - Proactive self-starter, with the ability and willingness to take a lead on novel and complex regulatory requirements. - Have outstanding communication skills that allow you to interact with a wide variety of individuals. - Be a team player, be adaptable and willing to partner with teams from across the business Preferred Qualifications - Bachelor's degree and professional qualification in law, finance, compliance or similar discipline. - Experience in a regulated environment, for example in a platform or marketplace or in financial services (this can include financial services experience in the EU or in the US e.g with SOX). TikTok is committed to creating an inclusive space where employees are valued for their skills, experiences, and unique perspectives. Our platform connects people from across the globe and so does our workplace. At TikTok, our mission is to inspire creativity and bring joy. To achieve that goal, we are committed to celebrating our diverse voices and to creating an environment that reflects the many communities we reach. We are passionate about this and hope you are too.

221 Jobs in Brentwood, UK