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FINALTO Senior Operational Risk Manager City, London Senior Operational Risk Manager Location: City, London Job Description Finalto is a leading financial services provider specialising in liquidity and trading solutions for institutional and retail investors. We are seeking an experienced and proactive Senior Operational Risk Manager to lead the development and enhancement of our operational risk framework. This role is ideal for a professional with a deep understanding of operational risk and the ability to apply industry-recognised techniques to drive value for the business and strengthen its operational resilience. As a key member of the team, you will collaborate with departments across the organisation, gaining exposure to all facets of risk management while working to embed a robust operational risk framework throughout the company. The ideal candidate will have a strong knowledge of operational risk and its integration into business processes, an understanding of technical systems and a proven ability to build effective working relationships across teams. This is a unique opportunity to make a meaningful impact on our organisation`s risk management practices while partnering with a dynamic and collaborative team. Key Responsibilities: <ul> <li>Risk Framework Development and Maintenance: Design, implement, and continuously enhance the operational risk management framework, policies, and procedures. Ensure alignment with industry best practices and regulatory requirements.</li> <li>Risk Identification and Assessment: Develop the understanding of identification and assessment of operational risks, including process inefficiencies, technology failures, fraud, compliance gaps, and external threats. Conduct regular risk and control assessments and scenario analyses to evaluate potential impacts and recommend mitigation strategies.</li> <li>Risk Monitoring and Reporting: Create risk reports for all levels from daily monitoring to board level reports -presenting clear and concise information to drive improvements and prioritisation. Develop and maintain key risk indicators and dashboards to monitor operational risks, identify trends and recommended areas of focus. Provide detailed and actionable risk reports to senior management, risk committees, and stakeholders.</li> <li>Incident Management and Analysis: Oversee the investigation of operational risk incidents, including root cause analysis, linking to risks and controls and documentation of lessons learned. Work with the business areas to implement actions to prevent recurrence and improve resilience.</li> <li>Business Continuity Planning: Review and develop Business Continuity Plans to ensure they are up to date, tested, effective and meet regulatory expectations. Work with technical teams to understand their processes in depth, including Disaster Recovery Plans to ensure they are tested and effective and meet regulatory expectations.</li> <li>Stakeholder Engagement and Advisory: Act as a trusted advisor to business units, providing guidance on operational risk matters. Collaborate with internal and external auditors, regulators, and third parties on risk-related issues. Working with departmental managers to develop policies and processes, presenting this in clear and understandable manner relevant to the users, utilising tools such as flowcharts.</li> <li>Training and Awareness: Develop and deliver operational risk training programs to build risk awareness and promote a culture of risk ownership within the organisation.</li> <li>Continuous Improvement: Stay updated on emerging risks, regulatory changes, and industry trends. Drive innovation in risk management practices and tools.</li> </ul> Skills and Qualifications: Qualifications <ul> <li>Professional qualification in Risk Management (IRM, IOR or similar). </li> <li>3+ years` experience in Operational Risk Management or Audit functions.</li> </ul>Technical Skills <ul> <li>Proficient in Microsoft Office programs (Excel, Word, PowerPoint).</li> <li>Experience with operational risk management software (knowledge of SharePoint is a plus).</li> <li>Strong written, verbal, and interpersonal communication skills.</li> <li>An understanding of and experience with financial products.</li> </ul>Personal Attributes <ul> <li>Approachable and able to collaborate effectively with individuals at all levels of the organisation.</li> <li>Strong presentation skills, including the ability to deliver training sessions to large groups.</li> <li>Self-motivated, responsible, and eager to enhance risk management expertise.</li> <li>Excellent problem-solving, analytical thinking, decision-making, and time-management abilities.</li> </ul>Our culture We combine a high level of professionalism and innovation with an excited and relaxed attitude; we host many nationalities and cultures within our company. Finalto Financial Services is part of the Finalto Group with offices in Denmark, United Kingdom, and Singapore. Travel can be expected for training and assistance to clients. For any questions or to submit your application, please contact Vicki Lawrence at <a href="mailto:vicki.lawrence@finalto.com" target="_blank">vicki.lawrence@finalto.com</a> .

Senior Operational Risk Manager

General Job Title: Head of Enterprise Risk Management Key Relationships: Risk and Compliance, Group Actuarial, Internal Audit, Culture &amp; People, Finance and Operations teams. Risk &amp; Regulatory, Underwriting Governance, Operations and other relevant group committees. Job Summary: Enable business strategy, protect clients, and embed and steward a strong risk culture. Lead implementation, ongoing oversight, and regular review of the group's enterprise risk management framework ensuring it complies with all relevant rules and obligations. Work collaboratively with the second line SLT. This role will ensure sound and mature business judgement is applied to advise and facilitate on risk management and governance. Key Responsibilities: <ul><li>Implement, maintain, and raise awareness of the Enterprise Risk Framework, including: Corporate Risk Profile; Risk Appetite; Risk Taxonomy; Key Risk Indicators; and Governance.</li></ul><ul><li>Develop, implement, and maintain an effective enterprise, emerging and operational risk frameworks across the group.</li><li>Leading the ongoing development of our GRC system, supporting processes and enhancements in the control environment.</li><li>Maintain risk policies and standards, develop suitable KRIs and other relevant risk metrics.</li><li>Liaise with key stakeholders to complete risk appetite monitoring.</li></ul><ul><li>Ensure effective Risk and Control Self-Assessments (RCSA) are performed across the group.</li><li>Articulate the key risks to senior management and the relevant governance forums. This includes identifying areas for process/control improvement.</li><li>Support key operational initiatives including business continuity planning, disaster recovery, information security, and operational resilience.</li><li>Contribute to the production of risk reports for the Board, Risk Committee, and others as required.</li><li>Administer the process for the capture of loss events and near misses and investigate and document the root cause of incidents and planned remedial actions.</li><li>Maintain records and progress trackers of all ERM activities.</li><li>Contribute to an effective ORSA process and report, including a focus on individual syndicates.</li><li>Provide training to the business to support and implement a strong risk culture.</li></ul>Senior Leadership Team- As member of the 2nd line assurance function <ul><li>Be an active SLT member ensuring that the 2nd line vision and strategy is periodically refreshed and delivered. Communicate the vision and strategy to the function and other stakeholders.</li><li>Ensure that the team are informed of and represented on relevant business projects and seen as business enablers from a risk challenge and support perspective.</li><li>Provide leadership, direction, and support to direct reports and team as per the organisation chart.</li><li>Proactively champion a continuous improvement mindset, unconstrained by current technologies or processes.</li><li>Able to identify value-adding quick wins and longer-term improvement opportunities.</li></ul>Team Leadership: - As a Beazley Manager, you are expected to <ul><li>Provide leadership, direction, and support to the team.</li><li>Foster a spirit of inclusion, teamwork, and unity that reflects Beazley's overall workplace culture, values, and appreciation of the benefits of diversity.</li><li>Act as a manager, mentor, and coach to direct reports to enable them to fulfil their potential, ensuring continuous development of them and the wider team.</li><li>Ensure direct reports are supported in contributing to the delivery and achievement of the overall team and business objectives.</li><li>Provide effective performance feedback on a regular basis, ensuring employees are recognised and rewarded for their contribution. Conversely, provide timely feedback to address poor performance, taking disciplinary action as appropriate.</li><li>Maintain transparent and effective communication through department meetings, one-to-one meetings, email, etc.</li><li>Encourage knowledge sharing and effective delegation to minimise key person dependencies.</li><li>Work with other team managers to ensure team resources are effectively utilised and people are appropriately challenged.</li><li>Encourage direct reports to think proactively about their careers, signposting development and stretch opportunities for strong performers where possible.</li><li>Work with Culture &amp; People as appropriate to escalate performance concerns, to ensure set objectives are clear and measurable and progress is tracked accordingly.</li></ul>Personal Specification: <ul><li>Skills and Abilities:</li><ul><li>Excellent management skills with the ability to influence and manage a team of professionals.</li><li>Accomplished relationship manager.</li><li>Readily able to influence and negotiate at senior levels within the business.</li><li>Ability to manage time, meet deadlines, and prioritise.</li><li>Motivational skills, team worker as well as able to work on own initiative.</li><li>Ability to work under pressure and to tight deadlines.</li><li>Change management skills - have a track record for designing and implementing robust change management to review and improve existing practices and procedures.</li><li>General commercial and financial knowledge.</li><li>Strong communication skills, able to communicate at all levels, both verbally and in writing.</li><li>A demonstrable track record of strategic thinking.</li><li>Hands-on implementer, able to drive through change where appropriate.</li><li>Technical expertise - in-depth knowledge of insurance/reinsurance through practical application, including a thorough understanding of the key functions across insurance and reinsurance firms.</li><li>Ability to develop high performing teams, including a culture of continuous improvement where the function is seen as "value add".</li><li>Strategic thinker capable of grasping the bigger picture.</li><li>Ability to articulate complex messages to senior management in order to facilitate effective monitoring and decision making.</li><li>Ability to quickly analyse complex issues, making the correct recommendations.</li><li>Strong problem-solving capability.</li><li>Ability to effectively challenge the 1st line, as required.</li></ul></ul><ul><li>Knowledge and Experience:</li><ul><li>Clear definition of 1st and 2nd line understanding and responsibilities.</li><li>Experience in managing 1st and 2nd line challenge and articulating 2nd line risk perspective.</li><li>Significant experience in the developing and updating Risk Management frameworks.</li><li>Significant experience and knowledge in financial services, preferably in insurance.</li><li>Experience in implementing effective ORSA, including a focus on individual entities or syndicates.</li><li>Evidence of 2nd line challenge.</li><li>General commercial and financial knowledge.</li></ul></ul><ul><li>Aptitude and Disposition:</li><ul><li>A strong communicator.</li><li>Outcome focussed, self-motivated, agile, and flexible.</li><li>Able to understand and articulate the strategic "big picture".</li><li>Technically innovative, a problem solver and solution builder.</li><li>Professional approach to interact successfully with colleagues.</li><li>Able to work with multi-cultural and multi-location teams.</li><li>Ability to work closely in a team environment and develop productive working relationships.</li></ul></ul><ul><li>Competencies:</li><ul><li>Information seeking</li><li>Technical expert</li><li>Strategic thinker</li><li>Continuous improvement</li><li>Time management</li><li>Influencing others</li><li>Quality focused</li><li>Initiative</li><li>Customer focused</li><li>Analytical thinking</li><li>Team working</li></ul></ul>

Head of Enterprise Risk Management

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Overview PIMCO is seeking a highly skilled and motivated Compliance Expert to join its EMEA Regulatory Compliance team in London. This role will focus on Client Facing Activities, Marketing, and Environmental, Social, and Governance (ESG) compliance within the EMEA regulatory frameworks including oversight on client facing activities and applicable regulatory framework for PIMCO's branches and licenses in EMEA. The successful candidate will be responsible for maintaining a best-in-class compliance program, providing pragmatic regulatory advice, and ensuring compliance across PIMCO's legal entities and branches in key locations, including London, Munich, Milan, Madrid, and Zurich. The role requires a proactive approach to managing compliance initiatives related to new products, ESG requirements, marketing strategies, and regulatory changes. Key Responsibilities <ul><li>Compliance Program Management: Maintain and enhance PIMCO's EMEA Compliance program for Client Facing, Marketing, and ESG activities, ensuring it meets industry standards and regulatory requirements</li><li>Branch and License Oversight: Maintain and enhance PIMCO's EMEA Branch and license oversight program, ensuring compliance of PIMCO's branches and licenses with applicable regulatory frameworks</li><li>Regulatory Advisory: Provide practical compliance advice on policies and procedures to support business operations, ensuring alignment with applicable regulations</li><li>Monitoring and Testing: Conduct compliance monitoring and testing to ensure adherence to regulatory frameworks, identifying areas for improvement and implementing necessary changes</li><li>Regulatory Horizon Scanning: Perform ongoing analysis of the regulatory environment, including "horizon scanning" for changes and expectations from regulators, to enhance the compliance program</li><li>Collaboration and Project Involvement: Actively contribute to the global regulatory compliance team, focusing on Client Facing, Marketing, ESG, and Branch and License Oversight, while participating in local, regional, and global projects and working groups</li><li>Training and Development: Facilitate training sessions and workshops to educate staff on compliance policies, procedures, and best practices</li></ul>Requirements <ul><li>Experience: Proven experience in managing compliance monitoring programs, with a strong emphasis on risk-based and audit-ready frameworks</li><li>Regulatory Knowledge: In-depth understanding of UK and EU regulatory requirements relevant to PIMCO EMEA, with the ability to interpret and apply these regulations effectively. Regulatory knowledge for Middle East and Africa would be a plus</li><li>Communication Skills: Excellent organizational and communication skills, with the ability to present complex information clearly and concisely to diverse audiences</li><li>Attention to Detail: Diligent record-keeping and a meticulous, detail-oriented approach to compliance functions, ensuring accuracy and thoroughness in all activities</li><li>Team Orientation: A collaborative team player with a strong client service orientation, capable of fostering positive working relationships across various departments</li><li>Adaptability: Flexibility in addressing complex regulatory matters while maintaining a clear understanding of business needs and objectives</li><li>Professional Standards: Commitment to the highest professional standards and a client service orientation, ensuring that compliance practices support the overall business strategy</li></ul>Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Regulatory Compliance Officer - Client Facing Branch Oversight (London)

We are looking for an experienced compliance professional to join the Amazon Payments UK (APUK) team to support compliance operations of the firm. The Compliance Manager will be responsible for supporting regulatory compliance of the payments propositions within the UK. The Compliance Manager will be part of the 2nd line Compliance Office and responsible for providing regulatory oversight and approval for new programs, providing expert advice to stakeholders and supporting strategy design with regulatory input. This opportunity requires a subject matter expert to contribute within a fast-paced, growing team. You will champion customer outcomes and use your knowledge of the industry and regulatory horizon to ensure sustainable, compliant solutions are formed. You will comfortably handle ambiguity, and provide pragmatic challenge to colleagues, peers and leadership and you are not afraid to roll up your sleeves and dive into the details. You think outside of the box, coming up with solutions in times of ambiguity. Key job responsibilities • Assist in ensuring APUK's payment activities operate in accordance with all legal and regulatory requirements by monitoring the compliance of business activity • Applying working knowledge of FCA regulations such as Consumer Duty Regulations and Payment Services Regulations and Policies to articulate customer/control impact and drive alignment across teams. • Assist with the development, documentation and maintenance of policies and procedures • Provide compliance awareness and training to the business • Prepare reporting to internal governance committees • Review, challenge and approve risk records, policy breaches and matters for escalation • Work with business leads to identify and collate relevant information to respond to requests for information from auditors and regulators (ad hoc and regulatory returns). • Maintain up to date knowledge of relevant regulations by monitor regulatory change and emerging risk from regulatory sources, to proactively communicate key developments to internal stakeholders and support the implementation of regulatory change. BASIC QUALIFICATIONS - Minimum of four years compliance experience in financial services working in risk and compliance, or within a financial regulatory body or consultancy practice - A good understanding and previous experience of working with Payment Services Regulations 2017 and FCA regulations, in areas such as complaint handling, safeguarding, operational resilience and consumer duty. - Excellent team player with the ability to work closely with others to deliver results, identify and resolve issues; shares information and keeps team members and management informed - Excellent organisational skills with the ability to prioritise workload and manage various tasks simultaneously. - The ability and willingness to learn new skills and upskill quickly to be an SME on new requirements - Strong and demonstrable influencing, stakeholder management, presentation and communication skills. - Resilient and able to thrive and lead in a fast paced, entrepreneurial environment - Strong judgment and analytical thinking - Strong ownership and delivery orientated, to perform independently with minimal supervision PREFERRED QUALIFICATIONS - Experience within the payments sector and/or fin-tech environment - Experience of relationship management with regulatory bodies - Demonstrated experience working with FCA regulations and compliance requirements such as Payment Services Regulations (2017), Electronic Money Regulations (2011), Consumer Duty and other applicable FCA regulations and policies Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. Our inclusive culture empowers Amazonians to deliver the best results for our customers. If you have a disability and need a workplace accommodation or adjustment during the application and hiring process, including support for the interview or onboarding process, please visit <a href="https://amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://amazon.jobs/content/en/how-we-hire/accommodations</a> for more information. If the country/region you're applying in isn't listed, please contact your Recruiting Partner.

Regulatory Compliance Manager, Amazon Payments UK (Compliance)

About CLS: CLS is the trusted party at the centre of the global FX ecosystem. Utilized by thousands of counterparties, CLS makes FX safer, smoother and more cost effective. Trillions of dollars' worth of currency flows through our systems each day. Created by the market for the market, our unrivalled global settlement infrastructure reduces systemic risk and provides standardization for participants in many of the world's most actively traded currencies. We deliver huge efficiencies and savings for our clients: in fact, our approach to multilateral netting shrinks funding requirements by over 96% on average, so clients can put their capital and resources to better use. CLS products are designed to enable clients to manage risk most effectively across the full FX lifecycle - whether through more efficient processing tools or market intelligence derived from the largest single source of FX executed data available to the market. Our ambition to make a positive difference starts with our people. Our values - Protect, Improve, Grow - underpin everything that we do at CLS and define and shape a supportive and inclusive working environment in which everyone is encouraged to be open and forward-thinking. Job purpose - major duties and responsibilities of the job This position is to support the Operational Risk team by being responsible for coverage of the COO business unit (which includes Operations, Product, Resilience, Workplace Services, Enterprise Data Management, and Human Resources) from a 2LOD operational risk perspective ideally with subject-matter-expert (SME) knowledge of Operations-related and/or data-related and business continuity and recovery-related subjects. An Operational Risk Manager is expected to work independently with his/her stakeholders in 1LOD and in Business Risk &amp; Control (BRC) to drive, guide and partner with them to facilitate implementation of the operational risk framework and deliverables while maintaining communication and engagement with the broader Operational Risk Management team. The primary role of the individual is focused on the following: <ul><li>Support refinements of ORM and ERM framework by educating and engaging with stakeholders to implement the framework</li><li>Provide 2nd Line of Defense review and challenge across the CLS Risk Taxonomy in all components of the ORM Framework whist assisting business partners with their identification of process / control related issues which may surface during the completion of the risk self-assessment.</li><li>Work with business partners to facilitate the completion of business risk-self assessments and targeted operational risk assessment in projects</li><li>Perform root cause analyses on identified risk events to recommend improvements to prevent risk events from re-occurring in future.</li><li>Analyze and identify trends in the key risk indicators, Incidents and Issues Management reported to Risk Management.</li><li>Driving and instilling a good Risk Culture with stakeholders</li><li>Actively participating in relevant governance fora as required (i.e., the Operational Risk Council)</li><li>Manage stakeholders at all level of the corporation</li></ul>Strategic <ul><li>Monitor Framework adherence and develop tools/communicate requirements to key stakeholders to ensure adherence with ORM risk policies, procedures and best practices</li><li>Interface with key stakeholders and Senior Management Committees</li><li>Partner with area subject matter experts and executive management to ensure appropriate ORM governance</li><li>Identify and appropriately escalate operational risks that exceed risk appetite.</li><li>Identify opportunities for process improvements to deliver increasing operational efficiencies</li><li>Participate as part of business project workstreams to provide ORM subject matter expertise and guidance</li></ul>Operational <ul><li>Works with business units to establish, maintain and continuously improve risk management capabilities across CLS.</li><li>Facilitates and participates in enterprise-wide risk assessments and recommendations.</li><li>Conducts risk management education and training as appropriate.<ul><li>Collaborate with business units to minimize operational issues emanating from CLS</li></ul></li></ul>Leadership <ul><li>Act as stakeholders' main point of contact representing ORM - creating opportunities to provide education related to ORM topics and "lead by example" (i.e., timely resolution of items that need to be addressed, providing suggested solutions/guidance when required/appropriate, taking initiative to manage required deliverables and stakeholder resources/capacity)</li></ul>Knowledge, skills and abilities - competencies required for successful job performance In order to carry out the duties of the position effectively, the individual will need to possess the following attributes: <ul><li>Judgement and decision making</li><li>Communication &amp; Influence</li><li>Teamwork &amp; Professionalism</li><li>Able to work independently, as required</li></ul>Qualifications / certifications <ul><li>Background/subject-matter-expert (SME) of Operations-related and/or data-related and resilience / business continuity and recovery-related subjects (able to articulate anticipated areas of risk, knowledge of industry practice/standards related to relevant processes and practices)</li><li>Experience in MS Office suite, including Excel, Word, Powerpoint and Visio, RSA Archer, Reporting Platform including PowerBi or Tableau</li><li>Minimum 10 years of relevant work experience</li></ul>Our commitment to employees: At CLS, we celebrate diversity and consider this to be one of our strongest assets. We are committed to fostering an environment in which everyone feels comfortable to be who they are, and inclusion is valued. All employees have access to our inclusive benefits, including: <ul><li>Holiday - UK/Asia: 25 holiday days and 3 'life days' (in addition to bank holidays). US: 23 holiday days.</li><li>2 paid volunteer days so that you can actively support causes within your community that are important to you.</li><li>Generous parental leave policies to ensure you can enjoy valuable time with your family.</li><li>Parental transition coaching programmes and support services.</li><li>Wellbeing and mental health support resources to ensure you are looking after yourself, and able to support others.</li><li>Affinity Groups (including our Women's Forum, Black Employee Network and Pride Network) in support of our organisational commitment to embrace and always be learning more about DE&amp;I.</li><li>Hybrid working to promote a healthy work/life balance, enabling employees to work collaboratively in the office when needed and work from home when they don't.</li><li>Active support of flexible working for all employees where possible.</li><li>Monthly 'Heads Down Days' with no meetings across the whole company.</li><li>Generous non-contributory pension provision for UK/Asia employees, and 401K match from CLS for US employees.</li><li>Private medical insurance and dental coverage.</li><li>Social events that give you opportunities to meet new people and broaden your network across the organisation.</li><li>Annual flu vaccinations.</li><li>Discounts and savings and cashback across a wide range of categories including health and retail for UK employees.</li><li>Discounted Gym membership - Complete Body Gym Discount/Sweat equity program for US employees.</li><li>All employees have access to Discover - our comprehensive learning platform with 1000+ courses from LinkedIn Learning.</li><li>Access to frequent development sessions on a number of topics to help you be successful and develop your career at CLS.</li></ul>

Director, Operational Risk Manager

THE ROLE We are seeking a highly motivated Compliance Analyst to join our team and support a strong and ethical compliance framework. This role offers a unique opportunity to work closely with the Compliance team, ensuring adherence to UK FCA regulations and maintaining high governance standards. As a key member of the team, you will be responsible for managing FCA Connect Filings, overseeing regulatory data submissions, maintaining compliance records, and supporting updates to policies and procedures. This position will provide hands-on exposure to compliance reporting requirements, regulatory oversight, and operational compliance functions. If you are a detail-oriented compliance professional with a strong understanding of UK FCA regulations, excellent communication skills, and the ability to work both independently and collaboratively, we would love to hear from you. KEY RESPONSIBILITIES <ul><li>Working with the Compliance team to promote a strong and ethical compliance framework</li><li>Responsibility for completion of UK FCA Connect Filings non-financial reporting pursuant to SMCR including Statement of Responsibilities and Fitness &amp; Proprietary certifications. Ensure leavers, new joiners and changes to individuals' circumstances are reflected on the FCA Directory and maintain appropriate records working alongside HR as necessary</li><li>Responsibility for oversight of outsourced service providers in UK FCA Reg Data Filings (excluding Annex IV) associated with the Firm's business activities including managing Reg Data access and timetable</li><li>Assist with updates and advisory on Policies and Procedures including the Compliance Manual, Compliance Policies and Procedures Manual and Compliance Registers</li><li>Ensure annual and periodic (including new joiner) Staff Attestations are complete and issued on time working alongside IT as necessary</li><li>Assist in the management of day-to-day compliance activities including ownership of Compliance SharePoint Dashboard for information maintenance on compliance-related issues (e.g. oversight and monitoring of staff Personal Account Dealing, Gifts and Entertainment and trading preclearance requirements)</li><li>Assist as necessary in responses to Investor Due Diligence questionnaires and Audit Requests for Information</li><li>Any other task assigned from time to time or arising from initiatives of NextEnergy Group of companies.</li></ul>SKILLS &amp; COMPETENCIES To be successful in this role, you will demonstrate: <ul><li>Generalist compliance knowledge including administration of compliance systems, regulatory filings and monitoring</li><li>Proficient in Microsoft office suite and excellent IT skills to manage Compliance SharePoint</li><li>Excellent written &amp; communication skills, attention to detail and a precise approach</li><li>Self-starter with a pro-active approach and ability to work independently</li><li>Ability to develop strong relationships and be a trusted advisor within the team</li></ul>EXPERIENCE &amp; QUALIFICATIONS <ul><li>Undergraduate University degree, at a minimum</li><li>Recognised compliance certification desired</li><li>2-3 year's UK financial services compliance experience and knowledge with experience gained from Private Equity, Private Infrastructure or generalist consulting experience</li><li>Knowledge and experience of FCA compliance matters</li><li>Prudential regulatory knowledge a plus</li></ul>WHAT WE OFFER <ul><li>A busy role in a supportive team, with plenty of opportunities to learn</li><li>International scope - we operate in over 8 countries</li><li>Hybrid working - we will need you in the central London (Mayfair) office at least twice a week, but you will normally be able to work remotely for the remainder of the week</li><li>30 days' holiday per year (3 of which are taken during the festive shutdown in December)</li><li>Private pension</li><li>BUPA Healthcare for you and qualifying dependents</li><li>Cycle to work and electric vehicle leasing schemes</li><li>Annual discretionary bonus.</li></ul>HOW TO APPLY If you are interested in this opportunity, please follow the link to apply or send your application to <a href="mailto:careers@nextenergygroup.com" target="_blank">careers@nextenergygroup.com</a>. If you have been shortlisted for the next stage, we will be in contact within 14 days. By selecting "Apply" or sending us your CV, you indicate you have read and acknowledged NextEnergy Group's Candidate Privacy Notice. DIVERSITY AND INCLUSION Our approach to diversity and inclusion is a natural extension of our values. Our entrepreneurial culture inspires us to try new things, be open to different viewpoints and be bold. Our Group is committed to cultivating and preserving a culture of connectedness that values difference and gives space for individual expression. The collective sum of our individual differences, life experiences, knowledge, innovation, self-expression, and talent and hard work form the bedrock of who we are and who we aspire to be. We are committed to equal employment and advancement opportunity irrespective of race, color, ancestry, social background, religion, gender, national origin, sexual orientation, age, citizenship, marital status, disability and gender identity. ABOUT US NextEnergy Group was founded in 2007 to become a leading market participant in the international solar sector. Since its inception, it has been active in the development, construction, and ownership of solar assets across multiple jurisdictions. NextEnergy Group operates via its three business units: NextEnergy Capital (Investment Management), WiseEnergy (Operating Asset Management), and Starlight (Asset Development). NextEnergy Capital manages the Group's investment activities and has invested in over 520 solar plants, exceeding 2GW in capacity across its institutional funds. <ul><li>NextEnergy Solar Fund (NESF): Listed on the London Stock Exchange, NESF manages 102 solar and energy storage assets in the UK and Italy, with a total installed capacity of 983MW and a gross asset value of £1,014m.</li><li>NextPower II (NPII): A private fund of 105 solar plants (149MW) focused on Italy, successfully divested in January 2022, delivering net IRRs exceeding its 10-12% target.</li><li>NextPower III ESG (NPIII ESG): A private fund targeting solar infrastructure in OECD countries (e.g., US, Spain, Italy), with $896m raised, exceeding its $750m target.</li><li>NextPower UK ESG (NPUK ESG): A private fund dedicated to new-build solar plants in the UK, with ~£600m raised.</li><li>NextPower V ESG (NPV ESG): A private OECD solar fund investing in solar and adjacent technologies like battery storage. To date, it has raised $745m, targeting $1.5bn ($2bn ceiling).</li></ul>WiseEnergy® is NextEnergy Group's operating asset manager. WiseEnergy is a leading specialist operating asset manager in the solar sector. Since its founding, WiseEnergy has provided solar asset management, monitoring, technical due diligence and under construction services to over 1,500 utility-scale solar power plants with an installed total capacity in excess of 3.4 GW. WiseEnergy clients comprise leading banks and equity financiers in the energy and infrastructure sector. Starlight is NextEnergy Group's development company that is active in the development phase of solar projects. It has developed over 100 utility-scale projects internationally and continues to progress a large pipeline of c.10GW of both green and brownfield project developments across global geographies. NextSTEP is the venture capital fund of NextEnergy Group, dedicated to investing in innovative startups in the field of environmental sustainability. The fund primarily focuses on investments in Italy and the United Kingdom but also extends its reach to the rest of Europe and the United States, targeting startups in the pre-seed and seed stages. NextSTEP pays particular attention to emerging entities from incubators, startup accelerators, universities, and research centers, supporting projects that address global challenges in crucial areas such as Climate Change, Energy Transition, CO2 Capture and Sequestration, Circular Economy, Sustainable Cities, Sustainable Mobility, Sustainable Fashion, Waste Management, Water and much more. NextEnergy Foundation is a non-profit organisation founded in 2016 by the NextEnergy Group that operates internationally and whose mission is to proactively participate in the global effort to reduce carbon emissions by providing clean energy sources in regions where they are not yet available and thereby contributing to poverty reduction. As the main sponsor of this foundation, the NextEnergy Group donates at least 5% of its consolidated net profits each year. The NextEnergy Foundation has no overhead costs and therefore 100% of the funds raised go to donations for the various projects. Since 2016, in 8 years of operation the foundation has donated more than £1.2 million, supporting over 30 projects in 27 different countries around the world.

Compliance Analyst

The successful candidate will support engagement with IMG, providing proactive and pragmatic advice and guidance on governance, regulatory compliance and conduct matters relevant to Vanguard's the strategic and operational priorities of the business, consistent with Vanguard's board approved risk-appetite. Primary Location: 25 Walbrook, London Working Pattern- Hybrid (Tuesday - Thursday office) Vanguard's purpose is to take a stand for all investors, to treat them fairly and to give them the best chance of investment success. With a rapidly growing business in Europe, we are seeking a proactive, commercially minded, experienced Compliance professional to partner with Vanguard's Investment Management Group (IMG), with a primary focus on fixed income expertise. IMG is responsible for portfolio management and trading across a number of asset types including Equity, Fixed Income, and FX. Our Fixed Income Team capabilities span both active and index funds, covering the entire fixed income universe from government securities to corporate bonds across developed and emerging markets, including money market funds. Summary of Role With an ambition of continued growth across Europe and a core objective of delivering superior outcomes to our customers and clients, an exciting opportunity has arisen for a compliance specialist to join our Investment Management Compliance Advisory team. The successful candidate will support engagement with IMG, providing proactive and pragmatic advice and guidance on governance, regulatory compliance matters relevant to Vanguard's investment management activities. This position will report directly into the Head of Investments and Product Compliance and will join a team of expert compliance professionals supporting the European IMG team. The IMG team is London based; collaboration with colleagues in US and Australia offices is essential for the success of the role. The successful candidate will also collaborate and support Compliance colleagues in other teams. Our second line of defence Compliance Advisory team are trusted advisers and we are pro-active in our understanding of the business functions, their strategic goals and initiatives. You will provide guidance and oversight of investment-related regulations impacting fixed income trading on matters related to portfolio management and execution such as best execution, allocations, crossings, derivative use, trade/transaction reporting, portfolio management, investment restrictions, and broader UCITS and ETF matters. Our ideal candidate will have at least seven years relevant experience with a leading investment manager and will have a track record of providing commercial and value-adding regulatory advice, in collaboration with the Investment team, Risk and Legal colleagues as required. The successful candidate will exhibit strong partnership, technical and relationship management skills and the ability to build trust with stakeholders. Core Responsibilities <ul><li>Provide the Investment Management business with guidance and advice on investment-related regulations impacting trading and portfolio management activities, with specific focus on Fixed Income active and indexing desks.</li><li>Advise on and overseeing new business initiatives from a Compliance perspective.</li><li>Provide Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives.</li><li>Advise on and interpreting regulation on Vanguard global and local policies in relation to investment decisions, issues and potential breaches.</li><li>Liaise with other IMG Compliance Advisory teams based in Malvern, U.S. and Melbourne, Australia on global issues.</li><li>Build and maintain stakeholder relationships with IMG, the risk team (RMG), other members of the Office of the General Counsel (Compliance, Legal, Investment Stewardship and Government Relations) and other teams supporting the operations of Vanguard's funds.</li><li>Provide advice on the anticipation, impact assessment and response to regulatory developments.</li><li>Design and delivering effective regulatory training initiatives to the business.</li><li>Maintain a deep knowledge and awareness of the investment industry. Stay abreast of current market, regulatory and industry relevant news.</li><li>Contribute to the creation of management reporting and communication on Compliance matters to senior management, business stakeholders, Boards and governance bodies such as Oversight Committees.</li></ul> What it takes <ul><li>A minimum of 7 years related work experience, within an asset management compliance function, with a preference for Fixed Income desk coverage.</li><li>A curious mindset, commercial, tenacious, lateral thinking and relationship orientated</li><li>Strong knowledge of UCITS products and EU / UK MiFID investment regulations.</li><li>Undergraduate degree or equivalent combination of training and experience.</li><li>Ability to work well as part of a team and independently.</li><li>Ability to develop a broad understanding of Vanguard's business and the investment industry (including understanding of ETF funds).</li><li>Detailed knowledge and understanding of trading fixed income instruments and broader understanding of variety of asset types.</li><li>Positive relationship management skills, including ability to interact with individuals at various levels both internally and outside the company.</li><li>Proven ability to function in a fast-paced environment while managing multiple and diverse responsibilities and keeping to deadlines.</li><li>Excellent judgment and decision-making skills; ability to analyse and respond to issues.</li><li>Excellent verbal and written communication skills.</li><li>Willingness to assist in areas outside of direct assignments when necessary, and commitment to self-improvement and completion of team objectives.</li><li>High degree of familiarity with regulatory environment and a genuine desire to continually develop such knowledge.</li></ul>Special Factors Vanguard is not offering sponsorship for this position. How We Work Vanguard has implemented a hybrid working model for most of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. Most teams work Tuesday-Thursday in the office, but for some jobs we need our crew to be in Monday-Friday. We will discuss the working pattern for your role during the interview process. Inclusion Statement Vanguard's continued dedication to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing". We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values. When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose. Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. How We Work Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

Investment Compliance Specialist

Job Description: Job Title Market Risk Manager - Foreign Exchange (FX) Location London Corporate Title AVP As a Market Risk Manager responsible for global coverage of Metals within the Global Foreign Exchange (GFX) business, you will work within a team whose mission is to achieve the expansion of the Precious metals business, continued build-out and oversight of DB's re-entry into the Base Metals trading business of other potential Commodity offerings. You will be responsible for managing market or fair value risk within Deutsche Bank and will carry out this responsibility in an independent and neutral way, providing a comprehensive and independent view of market risks to management. What we'll offer you A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its centre. You can expect: <ul><li>Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them</li><li>Competitive salary and non-contributory pension</li><li>30 days' holiday plus bank holidays, with the option to purchase additional days</li><li>Life Assurance and Private Healthcare for you and your family</li><li>A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits</li><li>The opportunity to support a wide ranging CSR programme + 2 days' volunteering leave per year</li></ul>Your key responsibilities <ul><li>Driving of the build out of various aspects of the franchise, including limit, stress and reporting set-up</li><li>Partner with other Market Risk teams, and other Risk management functions (e.g. Valuation Control, Market Risk Analysis and Control, and Risk Methodology Strats)</li><li>Engaging Front Office (FO) desk heads and senior traders with respect to exposures, valuations, new business, market activity, risk culture, controls, and risk appetite</li><li>Ensure risk completeness and accuracy, ensure that the limit framework and appetite is commensurate with infrastructure, and develop and implement the Risks-not-in framework</li><li>Highlighting key risks and new important trades/products and escalating emerging risks, concentrated positions, and any risk position that is particularly vulnerable to plausible stress scenarios or current market conditions</li><li>Challenging the desk on the key risks as above, and work co-operatively to allow the growth of the business within the firms' risk appetite</li></ul>Your skills and experience <ul><li>Significant experience in market risk management, either within the second line (market risk) or first line (trading, structuring).</li><li>Experience in Metals markets-related roles, and knowledge of Metals products and market</li><li>Strong technical and analysis skills including Excel, VBA, statistics and time series</li><li>Experience and ability to work in a fast-paced team environment, working with a variety of teams, and communicating well and concisely</li><li>Knowledgeable of market risk controls and governance frameworks</li><li>High standards of integrity and a commitment to 'doing the right thing'</li></ul>How we'll support you <ul><li>Training and development to help you excel in your career</li></ul><ul><li>Flexible working to assist you balance your personal priorities</li></ul><ul><li>Coaching and support from experts in your team</li><li>A culture of continuous learning to aid progression</li><li>A range of flexible benefits that you can tailor to suit your needs</li><li>We value diversity and as an equal opportunities' employer, we make reasonable adjustments for those with a disability such as the provision of assistive equipment if required (e.g. screen readers, assistive hearing devices, adapted keyboards)</li></ul>About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named in The Times Top 50 Employers for Gender Equality 2024 for five consecutive years. Additionally, we have been awarded a Gold Award from Stonewall and named in their Top 100 Employers 2024 for our work supporting LGBTQ+ inclusion. We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

Market Risk Manager - Foreign Exchange (FX)

Senior Governance &amp; Compliance Officer Role Title: Senior Governance &amp; Compliance Officer Location: Dartford, Kent (Flexible working with a minimum of 3 days in our Dartford office) Hours: Full-time, 35 hours per week (Monday - Friday) Salary: £45,000 per annum (dependent on experience) Contract: 12-month Fixed-Term Contract (Maternity Cover) Please note that we no longer accept CVs as part of the recruitment process. All applications must be made via the online application form on our careers website. Link to apply - <a href="https://tinyurl.com/92c77ut8" target="_blank">https://tinyurl.com/92c77ut8</a> At Moat, we don't just provide homes - we open doors to better lives for our customers. As a not-for-profit organisation, we are committed to making a meaningful impact across London, Kent, Essex, and Sussex. We do this by being bold, agile, and customer-focused in everything we do. Join us and become part of an incredible team that's shaping the future of housing. The Opportunity We are on the lookout for a talented Senior Governance &amp; Compliance Officer to ensure we continue to uphold the highest standards of governance, risk management, and compliance. If you're an expert in governance frameworks and passionate about making a difference, this is your chance to step into a key role at Moat. In this position, you'll be integral in supporting our Board and sub-committees, overseeing key regulatory requirements, and ensuring the smooth running of statutory filings. You'll have the opportunity to mentor junior team members, champion best practices, and play a vital role in maintaining our robust governance structure. What You'll Do: <ul><li>Provide Board &amp; Committee Support: Take charge of agenda preparation, minute-taking, and action tracking, ensuring smooth operations at the top level.</li><li>Lead on Compliance Monitoring: Oversee crucial legislative areas like Data Protection, Money Laundering, and Whistleblowing.</li><li>Manage Statutory Filings: Take responsibility for statutory filings with Companies House, HMRC, and the FCA, ensuring all documentation is up-to-date and compliant.</li><li>Support Information Governance: Handle Subject Access Requests and manage the company's information governance processes.</li><li>Ensure Governance Excellence: Keep key governance documents, policies, and company registers updated and in line with best practices.</li><li>Coordinate Risk Management: Ensure operational risks are thoroughly documented and managed across the business.</li><li>Act as Complaints Lead Officer: Ensure that all complaints are handled efficiently, according to regulations, and within the company's framework.</li></ul>What We're Looking For: <ul><li>Expertise in Governance &amp; Compliance: Solid experience in governance, compliance, and risk management, ideally within housing or the public sector.</li><li>Attention to Detail: Exceptional administrative skills, with experience in minute-taking and high-level coordination.</li><li>Regulatory Knowledge: Experience working with regulatory frameworks such as Data Protection, Money Laundering, and similar compliance areas.</li><li>Tech-Savvy: Proficiency in Microsoft Office, particularly Word.</li><li>Professionalism &amp; Discretion: You'll be working with confidential information, so we need someone who can handle sensitive matters with tact and integrity.</li><li>A Solutions-Focused Mindset: You'll be expected to think on your feet, solve challenges, and contribute to a forward-thinking team.</li></ul>This is an exciting opportunity to step into a role where you'll make a real impact. For more information, please take a look at the job description: senior-governance-compliance-officer-jd.pdf Why Join Us? At Moat, we've been recognised as one of The Sunday Times Best Places to Work 2024, and we're proud of the work culture we've created. When you join us, you're not just taking on a new job - you're becoming part of a team that's making a difference every day. You'll also have plenty of opportunities for growth, development, and career advancement. What We Offer: <ul><li>A competitive salary of £45,000 per annum.</li><li>Excellent benefits including [link to employee benefits video].</li><li>Work-life balance with flexible working options.</li><li>Career growth in a supportive and forward-thinking environment.</li><li>Recognition and reward for your contributions.</li></ul>How to Apply: If this sounds like the perfect role for you, we encourage you to apply now! Please note that we will no longer be accepting CVs as part of the recruitment process. All applications must be made via the online application form on our careers website. Application Deadline: 11pm on 22nd April 2025 Want to know more about Moat? Stay connected with us on social media for the latest updates and to hear directly from our employees: <ul><li>Instagram: @moathomes</li><li>Facebook: Moat Homes</li></ul>Need adjustments to the recruitment process? Contact us at <a href="mailto:peopleservices@moat.co.uk" target="_blank">peopleservices@moat.co.uk</a> and we'll be happy to accommodate your needs.

Senior Governance & Compliance Officer

Job Summary Group Internal Audit (GIA) provides an independent view to the Board and Executive Management. It does this by assessing management's approach to manage risks and protect the assets, reputation, and sustainability of the Bank. We are looking for a talented model developer or validator to join our specialist team as an Audit Manager for Model Risk. Audit experience is not essential for this role, but a successful candidate must be interested to develop this skill as they further grow their model risk knowledge. This role supports the Model Risk Head of Audit (HOA) to develop and deliver an enterprise-wide audit strategy to provide assurance over model risk management. The Bank uses models in a variety of areas to support its activities and considers Model Risk as a key risk. This risk continues to grow with increased use, evolution of modelling techniques, and regulatory prescription. Audit is a key party engaging enterprise-wide to provide an independent third-line view on the effectiveness of controls to manage model risk. Key Responsibilities <ul> <li>To participate as a subject matter expert in model risk related audits by performing testing, concluding opinions in detailed workpapers, and supporting the drafting of audit issues</li> <li>To support audit Team Leaders on assigned audit work involving model risk across the Group. This will include helping to create Audit Planning Memos and Controls Documentation, as well as reviewing issue text and action plans ahead of Team Manager review</li> <li>To confirm that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards</li> <li>To clearly identify the risks and impact of issues during issue writing, agreeing these issues with management and obtaining quality management action plans to mitigate the risks raised</li> <li>To support the design and implementation of department wide exercises such as annual planning, risk assessment, and training</li> <li>To support GIA audit teams by providing model risk knowledge and expertise for their audits relating to the individual's area of responsibility</li> <li>To support senior model risk audit team members attendance of model committees to enable effective engagement and challenge</li> <li>To support the tracking and validation of assigned audit issues, in accordance with GIA methodology, to confirm that the risks have been mitigated by the timely delivery of management action plans agreed during audit fieldwork</li> <li>To act as a team member on assigned audit work involving model risk across the Group. Supporting Audit Leads to deliver the Audit Planning Memo, Controls Document, agree issues and action plans with management and submission of draft report to the Team Manager for review</li> <li>Produce audit deliverables that meet quality standards and timelines in line with the GIA methodology</li> <li>Provide business/audit technical knowledge and management skills to team leaders and team members to facilitate audit delivery</li> <li>Provide technical input and challenge on audit work being undertaken within the scope of assigned product / country area of responsibility. This will include working with the audit team to produce high quality outputs which address the risk</li> <li>Adhere to GIA methodology in all areas of the audit engagement, as well as raise team members' awareness and understanding of the methodology</li> <li>Demonstrate sound knowledge of both business/technical areas and expert knowledge in the audit process, including the GIA system, to ensure that audit work is carried out to a high standard that meets all methodology and GIA system requirements</li> <li>Have a good understanding of the regulatory landscape and to ensure that all key regulatory concerns are covered in the audit scope</li> <li>Monitor the implementation of the agreed audit plans, provide advice on resolution of issues to auditees/action plan owners and escalate audit findings that remain unresolved</li></ul>Skills and Experience <ul> <li>In-depth understanding of Quantitative Model Risk management, processes and associated control requirements</li> <li>Modelling experience (development or validation) in key areas such as credit risk (IRB, IFRS9), market risk (IMA), or counterparty credit risk (IMM) to meet various regulatory needs (e.g. PRA, MAS, HKMA)</li> <li>Clear understanding of model risk management practices, challenges, and controls. </li> <li>Strong and impactful communicator, both within reports and verbally, with ability to clearly articulate controls to be tested and risks identified to both internal and business stakeholders </li> <li>Confident and courageous to raise and escalate ideas or concerns in a professional and timely manner</li> <li>Ability to exercise professional judgment, objectivity, and discretion to build relationships and work within a global team</li> <li>5 years of experience across banking or consulting, with quantitative degree e.g. mathematics or finance, or professional certifications FRM / CFA</li> <li>Strong communicator, both written and verbal, with ability to clearly explain risks and controls</li> <li>3+ years of Experience within Model Development or Model Validation</li> <li>Experience in key model areas such as credit risk (IRB, IFRS9), market risk (IMA, FM), or Counterparty Credit Risk (IMM), though experience of other modelling areas such as Financial Crime and the use of Artificial Intelligence is also desirable</li> <li>Core understanding of regulatory guidance and requirements around Model Risk management. This should include UK and European (CRR and EBA) requirements, or Asian regulators such as Singapore (MAS) or Hong Kong (HKMA)</li> <li>Audit experience is desirable, either conducting or participating in audit reviews, a professional audit certification is an added advantage</li> <li>Coding and data visualisation experience is desirable</li></ul>About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us. Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we: <ul> <li>Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do</li> <li>Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well</li> <li>Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term</li></ul>What we offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing. <ul> <li>Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations</li> <li>Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum</li> <li>Flexible working options based around home and office locations, with flexible working patterns</li> <li>Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits</li> <li>A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning</li> <li>Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential</li></ul>Recruitment Assessments Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process. Visit our careers website <a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> <a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> 23511 Apply now &gt; Back to search results

Audit Manager, Model Risk

Job Summary Join our dynamic team as a Risk Manager for B&amp;C Solutions in the UK or France. In this role, you will be pivotal in identifying, assessing, and mitigating risks within the Markets business. Collaborating with internal teams and stakeholders, you will ensure regulatory compliance, implement risk management strategies, and support operational excellence across jurisdictions. Key Responsibilities <ul> <li>Risk Strategy: Develop and maintain a robust risk framework for the Markets team, ensuring alignment with industry standards and regulatory requirements (e.g., EMIR, MiFID, Dodd-Frank).</li> <li>Incident Management: Respond to and manage risk incidents, ensuring timely reporting, stakeholder communication, and policy adherence.</li> <li>Audit Preparedness: Lead preparation for audits, document concerns, and serve as a focal point during fieldwork.</li> <li>Regulatory Compliance: Collaborate with operations, risk, and compliance teams to address incidents requiring regulatory reporting.</li> <li>Risk Oversight: Ensure risks are accurately logged in the bank's monitoring systems, including M7, and escalate as needed to relevant committees.</li> <li>Control Implementation: Oversee the integration of policies and procedures into BAU activities, including RCSA completion, service management, and business continuity planning.</li> <li>Stakeholder Engagement: Build strong relationships with Trading, Sales,</li></ul>Skills and Qualifications Skills <ul> <li>Expertise in operational risk management within financial markets.</li> <li>Strong knowledge of regulatory frameworks (e.g., EMIR, MiFID, Dodd-Frank).</li> <li>Proven ability to manage change and drive process improvements.</li> <li>Exceptional communication and stakeholder management skills.</li> <li>Experience with operational tools like M7 and risk assessment methodologies.</li></ul>Qualifications <ul> <li>University degree preferred.</li> <li>Background in operations, process improvement, or Middle Office functions.</li> <li>Demonstrated ability to navigate complex regulatory environments and mitigate risk.</li></ul>About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us. Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we: <ul> <li>Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do</li> <li>Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well</li> <li>Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term</li></ul>What we offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing. <ul> <li>Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.</li> <li>Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.</li> <li>Flexible working options based around home and office locations, with flexible working patterns.</li> <li>Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits</li> <li>A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.</li> <li>Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.</li></ul><a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> 23452 Apply now &gt; Back to search results

Market Business and Clients Solutions Business Risk Manager

Job Description Compliance Analyst - Market Data Services At J.P. Morgan, we are committed to delivering exceptional value and experience to our clients. As a Compliance Analyst within our Market Data Services team, you will be at the forefront of managing market data compliance and fostering key relationships with exchanges, brokers, and market data vendors worldwide. This role offers a unique opportunity to work in a global team environment, driving cost efficiency and ensuring adherence to market data policies throughout JPM globally. Job Summary: As a Compliance Analyst in the Market Data Services team, you will be the primary contact for market data relationships, implementing licensing for proprietary applications, and managing external audits. You will collaborate with internal and external stakeholders to identify and mitigate compliance issues, ensuring our operations align with industry best practices. Your role will be pivotal in driving cost efficiency and improving service delivery across the firm. Job Responsibilities: <ul> <li>Serve as the primary contact for market data relationships with exchanges and brokers globally.</li> <li>Implement market data exchange and broker licensing for proprietary applications.</li> <li>Manage external market data audits, working directly with exchanges and third-party auditing companies.</li> <li>Onboard applications to strategic infrastructure, ensuring compliance with exchange licensing policies.</li> <li>Identify and mitigate market data compliance issues within proprietary applications.</li> <li>Communicate and interact with lines of business on exchange price and policy changes.</li> <li>Work with stakeholders to drive cost efficiency and improve service.</li> <li>Provide advice on operational and technical standards, best practices, processes, and procedures.</li> <li>Develop and manage key relationships with firm and industry contacts to facilitate understanding of business direction and best practices.</li></ul>Required Qualifications, Capabilities, and Skills: <ul> <li>Familiarity with Market Data vendors and associated technologies.</li> <li>Strong verbal and written communication skills.</li> <li>Strong team player with confidence and ability to interact with line of business stakeholders at all levels of seniority.</li> <li>Self-motivated, customer-focused, innovative, and analytical.</li> <li>Strong time management skills, efficient multi-tasking, and ability to work under pressure to deliver multiple business demands on time and to a high standard.</li> <li>Resourceful in using various tools and technology for analytical work.</li> <li>Compliance mindset with alertness to potential issues for review and resolution.</li> <li>Cost-conscious and able to adopt cost efficiency strategies across the firm.</li></ul>Preferred Qualifications, Capabilities, and Skills: <ul> <li>Knowledge of Market Data Technology systems and platforms (DACS, B-pipe, FITS).</li> <li>Understanding of external Market Data audits.</li> <li>Understanding of Market Data policies and licensing.</li> <li>Cloud computing experience (AWS).</li> <li>Use of AI based tools.</li></ul>Additional Information: This role offers a unique opportunity to work in a highly dynamic global team, supporting all lines of business and collaborating across both internal and external stakeholders. Join us and be part of a team that is at the heart of driving innovation and excellence in market data services. About Us J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives. We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation. About the Team J.P. Morgan's Commercial &amp; Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial &amp; Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.

Market Data Compliance Analyst

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham, Bristol and Manchester. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients' needs. Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are fast becoming an employer of choice in our sector. We have over £30 billion in funds under management and circa 700 staff. Job Description Business Unit: The role of the Compliance team is to establish, implement, maintain and monitor on behalf of the Firm's Governing Board and Management Board, adequate policies and procedures sufficient to ensure the Firm's compliance with its obligations under the regulatory systems in which it operates and to counter the risk the Firm may be used to further financial crime. In addition, the team provides support to new business initiatives and advises on day to day issues which may arise. Brief Role Objective: Member of the Compliance team reporting directly to the Senior Compliance Officer (Advisory). The role will sit within the Compliance Advisory sub-team of the overall Compliance team. This varied role will provide exposure to several aspects of Compliance and opportunities to work closely with various stakeholders within the Firm. Key Responsibilities: <ul><li>Provide regulatory guidance and advisory services to all internal business areas, including but not limited to LGTWM Investment Management, Wealth Planning, Business Development, Portfolio Management (e.g. the Centralised Investment Team, Model Portfolio Services) and Alternative Investments.</li><li>Contribute to reporting due from the Compliance team which include regulatory reporting, LGT Group reporting and local Management Board and Governing Board reporting. </li><li>Will be assigned the delivery of some Compliance initiatives, these being 'mini-projects' and developments within the team, with a focus on efficiency, intelligent use of data and, where appropriate, help introduce automation.</li><li>Analyse, plan and execute actions so to take forward relevant regulatory developments which affect both the Compliance team and/or the wider business.</li><li>Improve the efficiency of the team with the intelligent use of data and, where appropriate, help introduce automated processes or develop those already in place.</li><li>Provide advice and input into the Firm's fund management operations, particularly with regard to compliance rules monitoring and regulatory reporting.</li><li>Handling and processing market abuse alerts generated by third party systems.</li><li>Contribute where relevant to ensuring audit recommendations, compliance monitoring recommendations and external audit recommendations are dealt with to the required standard.</li></ul>Requirements Key Skills and Technical Requirements: <ul><li>Good understanding of the wealth management business gained through similar roles at other firms.</li><li>Good knowledge of the FCA Handbook, in particular COBS.</li><li>Knowledge and understanding of fund management and regulatory knowledge of UCITS and AIFMD requirements is an advantage.</li><li>Experience in Bloomberg is an advantage.</li><li>Industry or professional Compliance qualification desirable.</li></ul>Other Skills and Attributes: <ul><li>Motivated and conscientious with strong interpersonal skills.</li><li>Ability to manage, motivate, guide and develop those under management.</li><li>Excellent organisational skills, including the ability to prioritise and meet deadlines.</li><li>The ability to produce well structured accurate (in terms of technical knowledge, grammar and spelling) written communications.</li><li>Ability to question politely but firmly to obtain accurate answers to questions asked as part of any testing undertaken.</li><li>The ability to work both independently but as part of a team, both in terms of the Compliance team and with other colleagues throughout the Firm.</li><li>Team player who supports other members of the wider Compliance team.</li></ul>Contact Information We are looking forward to receiving your online application. For any further information please do not hesitate to contact us. LGT Wealth Management UK LLP Human Resources Alex Johnson

Compliance Officer - Advisory (12 month FTC)

Scheme Compliance Manager About us Thredd is the trusted next-gen payments partner for innovators looking to modernise their payments offering. Certified by Mastercard, Visa and Diners &amp; Discover, we process billions of debit, prepaid and credit transactions annually, supporting consumer and corporation FinTechs, digital banks and embedded finance providers across the globe. Our unique offering is our client-centric approach, combining hands-on support with modern, reliable and scalable technology. Our assured solution accelerates the development and delivery of consumer and corporate payments components embedded within digital banks, as well as for expense management, B2B payments, crypto, lending, credit, Buy Now Pay Later, FX, remittance, and open banking innovators. About the Scheme Compliance Manager role We are seeking a Scheme Compliance Manager to join our expanding team. The Scheme Compliance Manager will be responsible for leading the assessment of relevant scheme mandates and processing rules to ensure Thredd fulfils their commitment to remain compliant with the schemes globally. You will be responsible for overseeing the end to end process of scheme compliance, with a key focus on prioritising initiatives and driving accountability across the relevant teams. What you will be doing as a Scheme Compliance Manager Customer/Client Centricity <ul><li>Building and maintaining strong relationships with internal and external stakeholders to enhance collaboration</li><li>Leading investigations into escalations and complaints, identifying root causes and implementing long-term solutions</li><li>Maintaining a customer oriented focus and building an understanding of their business and needs</li><li>Delivering insightful presentations regarding impacts and reasons for compliance changes and adjustments</li></ul>Data &amp; Reporting <ul><li>Establishing and managing monitoring and reporting, leveraging insights to inform strategy and decision-making</li><li>Using data to drive decision making and advocate for product changes that improve the accuracy and efficiency of the platform in line with scheme requirements</li></ul>Industry Knowledge <ul><li>Representing relevant industry events, working groups and webinars to ensure product and market knowledge is kept relevant</li><li>Keeping abreast of Thredd and industry developments</li><li>Understanding the competitive landscape of the cards industry</li></ul>Quality &amp; Controls <ul><li>Owning documentation of key decisions and rationales, providing transparency and continuity in strategic direction</li><li>Escalating issues, providing clear and factual information and communicating with the necessary teams</li><li>Documenting business requirements and managing these with the product team going into engineering</li><li>Act as an SME within Thredd, driving best practices and influencing key decisions</li><li>Managing senior stakeholders including C-Level</li></ul>Innovation &amp; Design <ul><li>Advising on and enforcing best practices, shaping policies and frameworks to improve operational effectiveness</li><li>Investigating opportunities to streamline processes through AI/automation</li></ul>Planning &amp; Prioritisation <ul><li>Driving clear and proactive communication of requirements, ensuring alignment and engagement across teams</li><li>Collaborating with cross-functional teams, including account management, product development, engineering, and operations to ensure alignment that milestones are achieved</li></ul>Product Knowledge <ul><li>Monitoring scheme changes and industry trends, assessing potential impacts and opportunities</li><li>Building and maintaining a strong knowledge of the Thredd proposition</li><li>Providing support to the Head of Scheme Compliance across various initiatives and tasks</li></ul>What you will bring to the Scheme Compliance Manager position <ul><li>Experience reviewing, analysing and disseminating Mastercard and Visa mandates, rules and standards, and either communicating them to relevant business units or leading a team responsible for this task</li><li>Experience with schemes such as AMEX/Discover and debit/credit processing experience is desirable</li><li>Technical knowledge and understanding of managing scheme rules and process, from identification to implementation</li><li>Experience working in the payments industry</li><li>Detailed understanding of how card and payment programmes operate and interact with different partners (Issuers, BIN sponsors, Schemes, Card manufacturers)</li><li>Experience with tools such as JIRA, Confluence, Salesforce, Slack, Miro and Sharepoint</li><li>Reporting, data analysis and presentation skills</li><li>The ability to take high level requests and break them down into actionable plans</li><li>Comfortable working with a range of stakeholders such as the schemes, customers and internal teams</li></ul>

Scheme Compliance Manager

About Lendable Lendable is on a mission to make consumer finance amazing: faster, cheaper, and friendlier. We're building one of the world's leading fintech companies and are off to a strong start: <ul><li>One of the UK's newest unicorns with a team of just over 500 people</li><li>Among the fastest-growing tech companies in the UK</li><li>Profitable since 2017</li><li>Backed by top investors including Balderton Capital and Goldman Sachs</li><li>Loved by customers with the best reviews in the market (4.9 across 10,000s of reviews on Trustpilot)</li></ul>So far, we've rebuilt the Big Three consumer finance products from scratch: loans, credit cards and car finance. We get money into our customers' hands in minutes instead of days. We're growing fast, and there's a lot more to do: we're going after the two biggest Western markets (UK and US) where trillions worth of financial products are held by big banks with dated systems and painful processes. Join us if you want to <ol><li>Take ownership across a broad remit. You are trusted to make decisions that drive a material impact on the direction and success of Lendable from day 1</li><li>Work in small teams of exceptional people, who are relentlessly resourceful to solve problems and find smarter solutions than the status quo</li><li>Build the best technology in-house, using new data sources, machine learning and AI to make machines do the heavy lifting</li></ol> About the role As a Compliance Monitoring Officer (Financial Promotions), you will be part of the Compliance team and supporting our Marketing team. The Compliance team supports the business in delivering its objectives by adopting a customer-centric approach, conducting risk-based monitoring, and making recommendations to support the continued delivery of good customer outcomes. This particular role will be embedded in the Marketing team (part of our wider Growth function), working on financial promotions to ensure external marketing materials - like the company website and social media adverts - are compliant with our internal policies and regulatory requirements. This person will provide guidance to colleagues in the Marketing and Product Teams, as well as oversight to senior management on the outcome of monitoring activity. They will be part of the process to make great promotions from the very beginning and help our Growth team deliver at pace high quality marketing materials that are clear, fair and not misleading, and enable customers to understand how our products work to help them achieve their financial objectives. What you'll be doing <ul><li>Review and approve a broad range of financial promotions created to be distributed either by the business itself or via third-parties, including digital and social media content.</li><li>Ensure financial promotions adhere to the relevant regulatory requirements, industry standards and internal policies by providing clear advice and feedback to stakeholders.</li><li>Identify potential areas for improvement with the internal financial promotions process to ensure it remains in line with regulatory changes and the business' objectives.</li><li>Maintain accurate records and documentation of compliance monitoring activities including review outcomes, actions taken, and follow-up activities.</li><li>Collaborate with relevant teams, such as Growth, Product, Customer Experience, and Operations, to implement enhancements that drive better customer outcomes while maintaining compliance.</li><li>Contribute to risk assessments to identify and mitigate compliance risks which could arise from non-compliant financial promotions.</li><li>Stay up-to-date with relevant laws, regulations, regulatory updates, industry best practices and news sources and monitoring changes to identify potential impacts on compliance requirements.</li></ul>What we're looking for Essential: <ul><li>Minimum 1 year of experience with financial promotions, monitoring, quality assurance or governance within financial services (ideally the consumer credit industry).</li><li>Knowledge of financial services regulations and requirements, specifically the Consumer Duty, CONC, COBS and the Consumer Credit Act.</li><li>Confident providing constructive feedback to stakeholders where required.</li><li>An understanding of risk assessment methodologies and compliance monitoring techniques.</li><li>Demonstrable experience in conducting compliance monitoring activities, including risk assessments, reviews, and analysis.</li><li>Proven track record of successfully identifying compliance risks, implementing effective controls, and driving positive outcomes for customers.</li></ul>Preferred: <ul><li>Experience of working in a marketing function and involved in the creation of financial promotions.</li><li>Evidence of excellence in something that you are passionate about.</li></ul>Who you are <ul><li>Excellent verbal and written communication skills - effectively able to convey complex information and interact with stakeholders at all levels.</li><li>Strong attention to detail - ensure accuracy and precision in compliance monitoring activities.</li><li>Strong problem-solving skills - proactively identify compliance risks, propose solutions, and implement effective controls.</li><li>Strong organisational skills - ability to manage multiple conflicting priorities and meet deadlines in a fast-paced environment.</li><li>Collaborative and team-oriented approach - the ability to work effectively with cross-functional teams and build positive working relationships.</li><li>Curious and self-motivated attitude with a continuous improvement mindset - independently trying new things, sharing ideas and enhancing processes.</li><li>Resilience and adaptability - navigate through challenges, embrace change, and thrive in a dynamic regulatory environment.</li><li>High ethical standards, integrity - ability to handle sensitive and confidential information appropriately.</li></ul>Interview process <ul><li>A quick phone call with one of the team</li><li>A take home task to complete in your own time</li><li>Final stage interviews (in-person or virtual)</li></ul>Life at Lendable <ul><li>The opportunity to scale up one of the world's most successful fintech companies.</li><li>Best-in-class compensation, including equity.</li><li>You can work from home every Monday and Friday if you wish - on the other days, those based in the UK come together IRL at our Shoreditch office in London to be together, build and exchange ideas.</li><li>Enjoy a fully stocked kitchen with everything you need to whip up breakfast, lunch, snacks, and drinks in the office every Tuesday-Thursday.</li><li>We care for our Lendies' well-being both physically and mentally, so we offer coverage when it comes to private health insurance</li><li>We're an equal-opportunity employer and are looking to make Lendable the most inclusive and open workspace in London</li></ul>Check out our blog!

Compliance Monitoring Officer (Financial Promotions)

The Vacancy Credit Risk Manager, Portfolio Analysis Contract Type: Permanent ¦ Full Time Location: Bradford, Petersfield or London Working Pattern: Hybrid-typically a couple of days a week in the office. Part time and flexible arrangements are considered to support work-life balance. A fear of losing your current working flexibility shouldn't hinder you from applying for new opportunities, which is why we aim to match your existing flexible working arrangements where possible. What We Offer: <ul> <li>Holidays: 25 days holiday up to 30 days (depending on service)</li> <li>Pension: We know it is important to save for the future, that is why we will contribute up to 10%</li> <li>Maternity/Paternity: We realise that family time is important, we offer enhanced maternity (after successful completion of probation) and 4 weeks paternity leave</li> <li>Workations: opportunity to work abroad 20 days a year (approved list of countries) enable you to visit family and friends or extend your trip</li> <li>Volunteering: 2 paid days to 'give back' to the charity of your choice</li> <li>Development: LinkedIn Learning for all</li> <li>Finance: Snoop Premium available to all colleagues</li> <li>Opportunities to connect: via quarterly socials, in-person and virtual company updates</li> <li>Medical: Opportunity to opt in for Private Medical Insurance</li> <li>Bonus: Discretionary annual bonus</li></ul>The Role: As the Credit Risk Manager for Portfolio Analysis, reporting directly to the Head of Portfolio Analysis and Forecasting, you will play a key role in delivering comprehensive credit risk analysis across Cards, Vehicle Finance, and Second Charge Mortgages. You'll drive the development and enhancement of portfolio analysis, reporting, and provide valuable insights into collections and recoveries, ensuring optimal risk management strategies. As a Credit Risk Manager, you will: <ul> <li>Portfolio Analysis: Conduct in-depth analysis of the credit card, loans, and vehicle finance portfolios to identify trends, patterns, and risks. Utilize statistical models and data analytics techniques to gain insights into portfolio performance, credit quality, and risk exposure.</li> <li>Portfolio Performance Monitoring: Monitor and track the performance of the credit card, loans, and vehicle finance portfolios on an ongoing basis. Identify areas of improvement and recommend strategies to optimize portfolio performance, including credit risk mitigation, pricing adjustments, and product enhancements.</li> <li>Reporting and Presentations: Prepare regular and ad-hoc reports on portfolio performance, credit loss forecasts, and risk metrics. Present findings and recommendations to senior management, stakeholders, and regulatory bodies as needed.</li> <li>Team Leadership: Manage and mentor a team of analysts responsible for portfolio analysis and loss forecasting. Provide colleagues with opportunities to succeed, devoting dedicated time to empowering people through coaching, mentoring and sharing expertise and knowledge</li> <li>Stakeholder Collaboration: Collaborate with cross-functional teams, including finance, risk management, product development, and operations, to drive effective portfolio management strategies. Build strong relationships with internal stakeholders to ensure alignment of goals and effective execution of initiatives.</li></ul>What We're Looking For: <ul> <li>5+ years' experience in portfolio analysis within the consumer credit industry.</li> <li>Knowledge of credit card, loans, and vehicle finance products and associated risk factors preferred.</li> <li>Experience of managing an analytical team, prioritising activities while providing strategic direction and maintaining motivation through coaching and colleague development.</li> <li>Strong analytical and quantitative skills, with proficiency in statistical modelling and data analysis tools (e.g., SAS, R, Python).</li> <li>Communication - ability to convert analytical information into a business narrative, and articulate complex ideas to stakeholders to influence or persuade, through delivering key messages with impact when required.</li> <li>Problem solving - finding innovative ways to address issues or risks identified</li></ul>Offers are subject to satisfactory background checks, including credit, fraud, and employment references. Who We Are: At Vanquis, we have a simple purpose: to deliver caring banking so our customers can make the most of life's opportunities. Established in 1880, we're now a FTSE All Share company and leading specialist bank. We lend responsibly, providing tailored products and services to over 1.75 million UK customers. Vanquis has been named one of the Financial Times UK's Best Employers 2025, ranking in the top 50 nationwide and seventh in Banking and Financial Services. This recognition is based on independent employee feedback, reflecting our strong workplace culture, career growth opportunities, and commitment to our people. Our dedication to making a real difference for customers and supporting our colleagues remains at the heart of what we do. We take care of our colleagues as well as our customers, working hard to create a rewarding and supportive work environment. That means competitive salaries, benefits, and a Group-wide recognition scheme. Everyone can enrol in our pension and after six months, you can join our 'Buy as You Earn' scheme. We're about more than financial rewards though. We give everyone a voice in the business and room to be their authentic self. And we know you're here to build your career, so we help every colleague with training and development opportunities. Making sure there's always something new to learn. Vanquis Bank is an Equal Opportunity Employer Here at Vanquis Banking Group, we embrace everyone's unique strengths and identities to be themselves at work. Regardless of how you identify yourself, your sexual orientation, martial or civil partner status, race, colour, nationality, ethnic or national background, faith, disability, or age - your experiences and background help enrich our teams, and most importantly help support our customers in the best way possible. At the end of the day, it's our people that help us to fulfil the reason why we're here in the first place: to help put people on a path to a better everyday life. If there's anything we can do in the recruitment process to help you achieve your best, get in touch. Whether it's a copy of our application form in another format or additional assistance, we're available to help. You can contact us at <a href="mailto:careers@vanquis.com" target="_blank">careers@vanquis.com</a> The Company At Vanquis, we've been empowering lives since 1880. As a FTSE All Share company and leading specialist bank, we lend responsibly to over 1.75 million UK customers. We're just as committed to our colleagues as we are to our customers, offering competitive salaries, comprehensive benefits, and recognition schemes. With pension plans, our 'Buy as You Earn' scheme, and ongoing training opportunities, we create a supportive environment where you can grow and thrive. Bring your authentic self, find your voice, and build your career with us-because at Vanquis, we believe in making the most of life's opportunities. The Benefits Competitive base salary and rewards Private Medical Insurance 25 days holiday entitlement one day accrued for each year of service (max 30 days) Defined contribution pension scheme Discretionary bonus scheme Perks at Work A perks platform of over 30,000 unique discounts Volunteering 2 paid days to support a charity of your choice Flexible, hybrid, &amp; dynamic working policies Personal &amp; career development opportunities Monthly and Quarterly Colleague Socials Discounted gym membership BUPA GP Service Workplace Gallery Previous Next

Credit Risk Manager, Portfolio Analysis

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to enquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies. Overall Responsibilities <ul><li>Responsible for regulatory enquiries including tracking, compiling, and submitting responses and reviewing all responses/documentation received to ensure completion. </li><li>Analyse regulatory requests to evaluate initial risk to the firm, regulatory gaps, and business lines involved. </li><li>Identify regulatory gaps in responses and escalate effectively. Track regulatory requests and responses and manage timeline for each which includes managing regulator expectations and working within Marex to meet those expectations. </li><li>Guide internal teams to ensure they are well prepared for regulatory meetings/responses. </li><li>Assist with maintaining a database for management reporting of regulatory enquiries and issue tracking. </li><li>Review and approve promotional material for compliance with FCA rules.</li><li>Ensuring compliance with the company's regulatory requirements under the FCA and other UK regulators and applicable exchanges e.g. ICE, LME, LSE, EUREX, CME</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with Marex's Code of Conduct.</li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required.</li><li>To escalate risk events immediately.</li><li>To provide input to risk management processes, as required.</li></ul>Skills and Experience <ul><li>Bachelor's degree or above. </li><li>Existing regulatory enquiry experience in a financial markets context - preferred but not essential. </li><li>Excellent verbal and written communication skills</li><li>Data analysis and interpretation skills. </li><li>Organizational and time management skills. </li><li>Proficient in Microsoft Office (Word, Excel, Outlook, etc). </li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this - preferred but essential.</li></ul>Competencies <ul><li>Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion</li><li>Resilience in a challenging, fast-paced environment. </li><li>Ability to communicate across geography, business function, corporate level, and experience set. </li><li>Excellent in building relationships, networking, and influencing others. </li><li>A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Compliance Officer - Exchange and Regulator Enquiry Management

Internal Audit Manager (12 Month FTC) Department: Audit Employment Type: Fixed Term - Full Time Location: London, UK Description The Convex Internal Audit team provides audit services across the entire Group. As an Internal Audit Manager, you will oversee the end-to-end process for each audit and play a crucial role in ensuring the effectiveness of Convex's internal controls, risk management, and governance processes. You will work within a team of experienced auditors, conduct comprehensive audits across the business, and provide actionable insights to enhance the overall control environment. This role is a 12 months' fixed term contract. Key Responsibilities <ul><li>Contribute to the development and execution of the risk-based audit plan, ensuring alignment with organisational goals and regulatory requirements.</li><li>Review documentation and engage with stakeholders to understand key risks, processes and controls in areas being audited.</li><li>Prepare Audit Planning Documents and Terms of Reference for review by the Head of Internal Audit.</li><li>Perform walkthroughs and develop Risk and Control Matrices for each audit.</li><li>Execute audit testing, identifying weaknesses in internal controls and opportunities for improvement.</li><li>Draft audit reports and present key findings and recommendations to management.</li><li>Collaborate with various departments to ensure implementation of audit recommendations and monitor progress.</li><li>Provide coaching to junior team members.</li><li>Contribute to a culture of continuous improvement by improving audit processes and initiatives.</li></ul>Skills Knowledge and Expertise <ul><li>University degree (Finance-related subject not mandatory).</li><li>Professional certification such as ACA, CIA, or equivalent.</li><li>Several years of hands-on experience in internal auditing within non-life insurance.</li><li>Robust understanding of auditing standards, risk management, and internal control frameworks.</li><li>Analytical approach to problem-solving and willing to be hands-on in the process, proactively ensure you gather all relevant information.</li><li>Forward-looking, pragmatic and flexible mindset; you enjoy learning and are open to new ways of doing things.</li><li>Enjoy fostering productive working relationships within the team as well as outside of it.</li><li>Excellent written ability; you take pride in delivering your reports to a high standard.</li><li>High level of integrity and commitment to ethical standards.</li></ul>Benefits <ul><li>Competitive Salary</li><li>30 days Annual Leave</li><li>Birthday Leave</li><li>10% Employer Pension Contribution</li><li>Private Health Insurance Medical Cover</li><li>Group Income Protection</li><li>Life Assurance Cover</li><li>Enhanced Parental Leave</li><li>Annual Health Check</li><li>3 days of Volunteer Leave each year</li><li>10 days of help with care (elder/ childcare) through Bright Horizons</li><li>GBP 1,300 to spend on learning &amp; wellbeing</li><li>Give as You Earn</li><li>Cycle to Work</li><li>Season Ticket Loan</li></ul>

Internal Audit Manager (12 Month FTC)

Who are we? WA.Technology, an award-winning B2B iGaming provider, delivers cutting-edge solutions, products, and services that empower operators with unique brands, advanced tools, and seamless integration of 8,000+ games from 80+ top-tier providers. Its bespoke and fully scalable creations-WA.Sports, WA.Casino, WA.Fantasy, and WA.Affiliates-are supported by state-of-the-art managed services. A leading name in Brazil with an established presence in Latam and Africa, and proven success across global markets, WA.Technology ensures rapid market entry and long-term success for its clients. Where and how we work? We are growing our team across Malta, Lisbon (PT), Sofia (BG), London (UK), and Bucharest (RO) and are looking for talented professionals to join us! We embrace a hybrid work model, with an expectation for You to attend the office at least twice a week to connect, innovate, and grow together while also having the flexibility to work remotely. Long story short, you will As a Head of Risk &amp; Compliance you will be leading the compliance function and operational compliance teams in aligning practices and processes across markets and verticals to enable consistency. You will develop and champion a framework of internal company policies and procedures, including their maintenance, upkeep and adherence, ensuring their distribution and notification to externals. You will be reporting to the Chief Legal and Compliance Officer. The role offers flexibility in a fast-paced, dynamic environment. All the responsibilities we will trust you with: <ul><li>Deliver advice on a range of compliance issues to internal stakeholders;</li><li>Implement, manage and oversee adequate training for regulatory compliance throughout the business;</li><li>Develop, together with other key internal stakeholders, the Group's risk management framework, including the customer risk assessment, on-boarding and ongoing monitoring process, jurisdictional risk assessment and business risk assessment programmes;</li><li>Develop and maintain the Group's policies and procedures framework, as well as oversee their implementation and review;</li><li>Manage games, PAMs and all other certifications projects globally;</li><li>Manage ISMS projects, including the management of internal audits, liaising with external auditors and creating and maintaining required documentation;</li><li>Manage relationships with external advisors and other service providers appointed to assist the compliance department as well as regulators;</li><li>Provide updated and industry-specific regulatory and technical compliance advice in the Group's target markets;</li><li>Develop and oversee control systems to prevent or deal with violations of regulatory guidelines and internal policies and establish processes for monitoring compliance with standards and regulations;</li><li>Oversee the Group's compliance in all aspects which affect its activities, including without limitation remote gambling legislation, anti-money laundering, data protection, anti-bribery and corruption, information security, and other regulatory areas;</li><li>Optimise the use of tools, processes and procedures that facilitate the automation of tasks, including without limitation in the customer/supplier on-boarding and ongoing monitoring process;</li><li>Work seamlessly with the Head of Legal and the Legal Department to protect and support the Group's business ventures comprehensively and effectively;</li><li>Work alongside the commercial, technical and operational teams to develop, enhance and implement effective compliance and risk management strategies.</li><li>Provide leadership to the Risk &amp; Compliance function, fostering a high-performing team environment, and offering guidance, mentorship, and professional development to team members</li></ul>Your areas of knowledge and expertise : <ul><li>Previous experience (5+ years) as a senior compliance officer, manager or head of compliance</li><li>Expertise in multiple jurisdictions handling compliance requirements in regulated and unregulated markets</li><li>A solid grasp of the iGaming regulatory landscape and a genuine interest in keeping abreast of regulatory developments</li><li>Experience in liaising with regulatory bodies, consultants, auditors and all other externals supporting the department</li><li>A demonstrated ability to set up, roll out and steer risk management frameworks and internal audit functions</li><li>Strong communication and presentation skills</li><li>Project management skills and ability to manage several projects at once</li><li>Personal attributes: ability to work under pressure, ability to work on own initiative, leadership skills</li></ul>Why Work With Us? <ul><li>Flexible work environment.</li><li>Opportunity to work with well-connected industry leaders.</li><li>A leadership approach that fosters innovation, creativity, and trust.</li><li>Opportunity to experience the buzz of highly driven and motivated work colleagues.</li><li>Experience a start-up feel in a fast-paced growth-driven environment.</li></ul>"We are committed to fostering an inclusive workplace that values and promotes diversity. Our aim is to create a vibrant, accessible, and welcoming environment for individuals of all backgrounds, experiences, and perspectives. We believe in equal opportunity for everyone and encourage candidates from diverse backgrounds to apply, including those from underrepresented groups. Our hiring decisions are made based on the merits of skills, experience, and potential, ensuring fairness and equality for all applicants."

Head of Risk & Compliance

Scheme Compliance Analyst About us Thredd is the trusted next-gen payments partner for innovators looking to modernise their payments offering. Certified by Mastercard, Visa and Diners &amp; Discover, we process billions of debit, prepaid and credit transactions annually, supporting consumer and corporation FinTechs, digital banks and embedded finance providers across the globe. Our unique offering is our client-centric approach, combining hands-on support with modern, reliable and scalable technology. Our assured solution accelerates the development and delivery of consumer and corporate payments components embedded within digital banks, as well as for expense management, B2B payments, crypto, lending, credit, Buy Now Pay Later, FX, remittance, and open banking innovators. About the Scheme Compliance Analyst role We are seeking a Scheme Compliance Analyst to join our expanding team. The Scheme Compliance Analyst will be responsible for ensuring scheme compliance requirements are assessed, understood and implemented swiftly by working closely with internal teams. What you will be doing as a Scheme Compliance Analyst Customer/Client Centricity <ul><li>Building the card network relationships to improve compliance understanding and communication</li></ul>Data &amp; Reporting <ul><li>Maintaining monitoring and reporting to track Thredd compliance with Scheme mandates</li><li>Documenting and tracking decisions/rationale for pursuing or not pursuing</li><li>Scheme requests; Maintaining a log for audit trail and ease of reference as Thredd's strategy evolves across new regions and new products</li></ul>Industry Knowledge <ul><li>Attending relevant card scheme industry events, working groups and webinars to ensure product and market knowledge is kept relevant</li></ul>Quality &amp; Controls <ul><li>Supporting the end to end process for handling, prioritising and maintain scheme compliance</li><li>Investigating any escalations, complaints, incidents and breach of scheme compliance or any other scheme compliance related requests</li><li>Monitoring scheme compliance regulatory changes, amendments, trends, or any other development that may impact our operations</li></ul>Innovation &amp; Design <ul><li>Working with the Head of Scheme Compliance in implementing the Scheme Compliance Framework</li></ul>Planning &amp; Prioritisation <ul><li>Identifying and implementing efficiencies in the end to end processes</li><li>Staying on top of the weekly and monthly bulletins that come in</li></ul>Product Knowledge <ul><li>Developing an understanding of Thredd business operations and payment processes</li></ul>What you will bring to the Scheme Compliance Analyst position <ul><li>Experience working with Visa and Mastercard and the compliance rules - Discover and AMEX would also be highly desirable</li><li>Technical knowledge and understanding of managing scheme rules from identification to implementation</li><li>Experience working in the payments industry</li><li>Detailed understanding of how card and payment programmes operate and interact with different partners (Issuers, BIN sponsors, Schemes, Card manufacturers)</li><li>Experience with tools such as JIRA, Confluence, Salesforce, Slack, Miro and Sharepoint</li><li>The ability to work independently</li><li>The ability to take high level requests and break them down into actionable plans</li><li>Comfortable working with a range of stakeholders such as the schemes, customers and internal teams</li></ul>

Scheme Compliance Analyst

JOB TITLE: Security Compliance Officer LOCATION: London Heathrow Airport/Occasional travel to UK Airports WORK PATTERN: Monday to Sunday - 5 on 2 off , 40 hours per week REPORTING TO: Head of Security SALARY: Competitive OVERVIEW OF JOB DESCRIPTION The security compliance officer will be responsible for conducting compliance monitoring throughout the security functions in aviation that ABM provide. This involves rotating between different sites on and off airport observing, assessing, and coaching agents ensuring they are completing their roles to a government required standard and in some cases to an airline standard too. The opportunity will allow the successful applicants to work with high-profile clients within aviation with exposure to working in a face pace, forever evolving, and changing environment. Main Duties &amp; Responsibilities: • Responsible for conducting compliance monitoring on and off airport on agents who conduct any security searches • Responsible for conducting covert testing on any security searches • Collating all monitoring data and complete data analysis on findings • Generate reports from data and feed any trends to the Head of Security • Generate data from convert testing • Be an expert on all security searches • Coach and re-train agents in all security search areas • Observing all areas where a security search is done (catering, secure clean, man guarding etc) • Effectively manage all data • Build effective relationship with the operational teams and agents • Develop and maintain relationships with all key stakeholders • During inspections and audits, compliance officer will support Head of Security and operational team as/when required • Provide effective and engaging leadership to the frontline agents • Extract learning from reports and work with Head of Security for rectification actions • Understand the regulator approach • Work closely with Training Team to maintain knowledge and compliance. • Leading in investigations for missed test pieces/missed items. • Conducting workshops for agents • Expanding covert testing through our security functions • Building inhouse data analysis and supporting the development of the compliance app • Supporting in the development of new material for training • Creating internal reports for trends directly linked to missed test pieces or missed items. • Creating and developing new initiatives to promote aviation security. Qualifications and Experience: • Experience working in a regulated environment • Knowledge in operational security aviation • Experience in excel, data analysis • Understanding of compliance regulations • Able to attain and retain an airside pass, including counter terrorist check • Good communication skills and ability to adapt to a changing environment • Driving license (both manual and automatic) Benefits We're proud to offer a great range of benefits including: <ul> <li>24/7 GP: Both you and your immediate family can speak to a UK-based GP from the comfort of your own home</li> <li>Mental Health support and Life Event Counseling </li> <li>Get Fit Programme</li> <li>Financial and legal support </li> <li>Cycle to work scheme</li> <li>Access Perks at Work, our innovative employee app where you can find:</li> </ul><ul> <li>Perks: discounts, gift cards, cashback, and exclusive offers</li> <li>Life: Search for resources and tools on topics ranging from family and life to health, money and work</li> <li>Support: Online chat or telephone service for urgent support in a crisis</li> </ul>For more information about ABM's benefits, visit our careers page ABOUT US ABM is one of the world's largest providers of integrated facility services. A driving force for a cleaner, healthier, and more sustainable world, ABM provides essential services that improve the spaces and places that matter most. ABM offers a comprehensive array of facility services that includes cleaning, engineering, parking, electrical &amp; lighting, energy solutions, HVAC &amp; mechanical, security, and mission critical solutions. ABM delivers these custom facility solutions to properties across a wide range of industries - from commercial office buildings to schools, airports, hospitals, data centres, manufacturing plants and distribution centres, entertainment venues and more. In the UK we're proud to service icon sites across the country with more than 10,000 team members. For more information, visit <a href="http://www.abm.co.uk" target="_blank">www.abm.co.uk</a>. ABM are committed to employment practices that promote diversity and inclusion in employment regardless of age, disability, gender reassignment, sex, marriage and civil partnership status, pregnancy and maternity status, race, religion or belief. We are proud members of the Armed Forces Covenant Employer Recognition Scheme.

Security Compliance Officer

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary <ul><li>Conduct T+1 FX Trade Surveillance on Nasdaq SMARTS and via tactical controls. </li><li>Escalating any suspicious activity findings to management and reporting to regulators. </li><li>Ensuring compliance with the company's regulatory requirements under the FCA and any other relevant regulatory bodies.</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with the FCA's Code of Conduct and Marex's Code of Conduct. </li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required</li><li>To escalate risk events immediately </li><li>To provide input to risk management processes, as required.</li></ul>Competencies <ul><li>Strong knowledge of the FX space</li><li>Strong knowledge of Trade Surveillance, MAR scenarios and vendors, specifically Nasdaq SMARTS</li><li>A collaborative team player, approachable, self-efficient</li><li>Demonstrates curiosity</li><li>Resilient in a challenging, fast-paced environment</li><li>Ability to take a high level of responsibility in a fast pace and high-volume environment</li><li>Excels at building relationships, networking and influencing others</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness</li></ul>Skills and Experience <ul><li>5+ years* transferable skills gained in a similar role / organisation </li><li>Strong team player, experience of dealing with a variety of stakeholders </li><li>Strong Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS or similar surveillance tools is essential)</li><li>Educated to degree level in a related subject would be beneficial, but not essential</li><li>Excellent verbal and written communication skills</li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.</li></ul>*candidates with the experience outside of this range will also be considered Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Surveillance Compliance Officer - FX

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. In supporting the Firm in meeting its regulatory obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations. Compliance is responsible for overseeing the adherence to regulatory requirements and expectations through compliance policies, advisory activity, training, monitoring, surveillance and supporting the firm to implement regulatory change. Central Compliance are responsible for the development and implementation of compliance policies, training, regulatory registrations, exchange returns, complaints handling, conflicts management, regulatory interactions, regulatory developments, audit requests and whistleblowing framework oversight. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary The 'Senior Compliance Officer - Central Compliance' role supports the Head of Central Compliance with the day-to-day operation of the Central Compliance function. The role will primarily focus on and support the following key areas which forms part of the Central Compliance Function: <ol><li>Training </li><li>Compliance Policy Framework </li><li>Complaints Handling </li><li>Conflicts Management (including PA Dealing processes)</li></ol> Responsibilities <ul><li>Oversee the compliance policy framework including making changes and updates to compliance policies on a periodic basis or as required. </li><li>Manage the compliance training schedule and systems, including: (i) issuing training as per the ongoing firm rollout schedule; (ii) reviewing, evaluating and enhancing compliance training content; and (iii) monitor and report on overdue training including escalating to relevant stakeholders.</li><li>Deliver face-to-face training including Compliance inductions and working with the Compliance Advisory team to deliver ad-hoc training as and when required.</li><li>Work with stakeholders to draft and issue compliance communications, as required, which may either be firm wide or targeted to certain subjects. </li><li>Develop the firms Conflicts of Interest (COI) Framework including managing compliance processes. </li><li>Develop the firms Personal Account Dealing (PAD) Framework including managing compliance processes (including oversight of the PAD tool). </li><li>Maintain departmental registers and schedules, e.g., Breaches Registers, COI Registers, Complaints registers. </li><li>Prepare Management Information reports as relevant to areas of responsibility. </li><li>Supporting the Compliance Function in responding to ad-hoc requests</li></ul>Skills and Experience Mandatory <ul><li>Experience of working within a UK regulated environment e.g. SMCR, MIFID, MAR.</li><li>Experience with drafting compliance policies and procedures. </li><li>Experience with drafting training materials. </li><li>Experience in managing conflicts of interest processes.</li><li>Excellent presentation skills and attention to detail.</li><li>Excellent interpersonal and communication skills. </li><li>Minimum 5 - 8 years'* experience of working within a regulatory environment.</li><li>Experience of working within a medium sized financial services firm</li><li>Experience of dealing with various different stakeholders (Front Office, Legal, CoSec, Risk, IT, Finance, HR, etc)</li></ul> Desirable: <ul><li>Experience of working in both a brokerage/ trading firm as well as a large financial institution (investment bank, corporate bank, asset manager, etc.) </li><li>Compliance specific industry certifications including those awarded by the ICA or CISI. </li></ul>Competencies <ul><li>A collaborative team player, approachable, self-sufficient and influences a positive work environment.</li><li>Demonstrates curiosity and attention to detail</li><li>Resilient in a challenging, fast-paced environment.</li><li>Ability to take responsibility for own delivery in a fast pace and high-volume environment.</li><li>Excels at building relationships, networking and influencing others.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. *Applicants outside of this range will also be considered Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Senior Compliance Officer - Central Compliance

At Just we encourage a flexible and agile working environment for the majority of our opportunities. Get in touch with us to discuss in more detail. About the role We are looking for a Compliance Specialist to support our Group and Defined Benefit (DB) teams. In this role you will provide support to the Head of Compliance Group and DB and will make a significant contribution to the effectiveness of the Compliance function through the provision of comprehensive support and ongoing analysis of regulatory risk, including but not limited to conflicts of interest, Senior Managers and Certification Regime and Solvency UK documentation compliance as well as supporting on regulatory reporting and notifications.. Working within the Group's regulatory risk appetite defined by relevant Boards, you will work proactively with first line colleagues across the Group to promote best practice with the aim of reducing regulatory risk. As the Compliance Specialist you will also contribute to the development and maintenance of a robust Consumer Duty culture. Responsibilities <ul><li>Provide comprehensive and timely regulatory oversight and challenge to the Groups systems and controls with regards to compliance with, but not limited to, the following regulatory requirements: conflicts of interest, Senior Managers and Certification Regime, Solvency UK documentation and with regards to the timeliness and accuracy of data for inclusion in regulatory reports and notifications including ad-hoc requests for information.</li><li>Provide broad regulatory and compliance support and expertise to projects and/or regulatory change programmes. Delivering by business partnering with colleagues across the Group to ensure that these are delivered without increasing exposure to unacceptable regulatory risks. Assisting the business in achieving its objectives and to ensure compliance with current legislation and best practice</li><li>Provide consultancy support and technical expertise on key FCA and PRA regulatory areas of focus including but not limited to conduct, Consumer Duty and Solvency UK.</li><li>Ongoing collaboration with colleagues across other first and second line Group functions to facilitate appropriate and timely support.</li></ul>Skills &amp; Experience <ul><li>Regulatory Compliance experience in a financial services company is essential</li><li>Proven record of accomplishment in financial services compliance, preferably in the life insurance firm sector, providing regulatory assurance and advisory support.</li><li>Good understanding of the regulatory framework operating within the UK.</li><li>Excellent communication, presentation and relationship-building skills with the ability to communicate effectively to a variety of audiences</li><li>Solution oriented</li><li>Strong influencing skills and confident in providing advice and recommendations to senior stakeholders</li><li>Customer focused with the ability to apply a Consumer Duty lens to the communication and implementation of regulatory intelligence &amp; a strong understanding of all Just products and distribution channels</li><li>Excellent organisation &amp; project management skills and able to meet deadlines</li><li>Ability to work on own initiative and as part of a team</li><li>Attention to detail, with an analytical mindset</li><li>Strong report writing skills and the ability to tailor such to the required audience ensuring both accuracy and clarity.</li><li>Objective, timely and confident decision-making skills with a good understanding of Group strategy and direction</li><li>IT literate, including in the use of Microsoft Office software, in particular, Word, Excel, and PowerPoint</li></ul>Company Benefits <ul><li>A Competitive Salary, Pension Scheme and Life Assurance</li><li>Along with 25 Days Annual Leave plus an Additional Day on us for your Birthday</li><li>Private Medical Cover and Income Protection, just in case</li><li>A generous and highly achievable bonus scheme - paid annually based on individual and company performance against targets</li><li>Opportunity to progress within your career both in-role and within the company</li><li>FREE access to the Headspace App, a 24/7 Employee Assistance Helpline and Trained Physical &amp; Mental Health First Aiders (On-Site)</li><li>A variety of Employee Funded Benefits available to you via our Online Benefits Portal</li><li>Plus, several additional purchase options available for you and your loved ones</li></ul>About Us We're a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. How people work, save, and plan for the future is all changing. A new generation of retirees needs a new kind of retirement company. A company who will look for new ways of doing things - and will always put the customer first. That's who we are. We're a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement. And with you on our team, we're going to make sure they get it. We've built our sustainability strategy around the United Nations Sustainable Development Goals (SDG) and have selected goals where we believe we can make the most difference. By aligning our activity with these global goals, we can make sure we play our part in addressing the wider issues facing the planet and leave a positive legacy to the world. You can read more about our sustainability strategy here. Diversity, equity and inclusion are priorities for us. Having a diverse, talented workforce with colleagues of different backgrounds, world views and experiences is the right thing to do. It's also the most effective way to succeed, innovate and better serve our customers now and in the future. We are committed to our targets on gender and ethnicity and run a number of successful mentoring and sponsorship programmes for our colleagues from diverse backgrounds. We have multiple active employee network groups which champion issues including gender, ethnicity, sexual orientation, disability and neurodiversity. You can read more about our DE&amp;I strategy and commitments here. What's clear about working at Just is that we care. We care about our customers, our purpose, our environment, inclusivity, wellbeing and most importantly - each other. We look forward to welcoming you to the team soon.

Compliance Specialist

General Job description and person specification Job Title: Senior Compliance Officer - UK Regulatory Affairs - 12 month FTC Division: Compliance Key Relationships: Internal: Compliance Manager - UK Regulatory Affairs and Conduct, Group Head of Compliance, Global Compliance Teams, Risk Management and Second Line Assurance; Executive Management, Beazley Functions and Underwriting units. Data Management. External: PRA, FCA and Lloyd's stakeholders as required; legal and consultancy vendors as needed; industry peers and stakeholders as appropriate. Job Summary: To provide technical advice and support on Lloyd's, PRA and FCA regulatory processes and interactions, ensuring regulatory compliance across the business as it grows in size and complexity. Focus on supporting high quality reporting, regulatory returns, delivery of training and specific assurance activity as needed. Contribute to Beazley Furlonge Ltd's strategic management of the PRA, FCA and Lloyd's regulatory relationships. Support the Global Compliance function through contributions to the maintenance and development of policies, procedures, internally facing communications and horizon scanning as required. 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>Develop and help to maintain high quality trackers that are useful bases for formal reporting.</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/ escalation as appropriate.</li><li>Contribute to, coordinate and submit Lloyd's, PRA, FCA, MAS and other international regulator's returns.</li><li>Assist with the formal minute taking at regulatory meetings.</li><li>Maintain a good understanding of the regulatory requirements applicable to the organisation in terms of the Compliance function's mandate and leverage horizon scanning tools to triage emerging regulatory policy for relevance to Beazley Furlonge's business. Assist the business to understand the impact of changing regulations and statutes and what is required of them in line with the Compliance function's Horizon scanning framework.</li><li>Establish and maintain highly effective relationships with other stakeholders across the business, feeding into initiatives for continuous improvement and ensuring effective 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>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 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.</li></ul><ul><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 via 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: Education and Qualifications <ul><li>Degree and/or relevant professional qualification</li></ul>Skills and Abilities <ul><li>Excellent verbal, presentation and written skills</li><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</li><li>Team player as well as the ability to use own initiative</li><li>Ability to work in a pressurised, deadline-bound environment</li><li>Good understanding of organisational processes</li><li>Excellent documentation and presentation skills</li></ul>Knowledge and Experience <ul><li>Experience (minimum 5 years) working in Compliance at a Lloyd's Managing Agent - Required</li><li>Successful track record of planning and actively delivering tangible results</li></ul>Aptitude and Disposition <ul><li>Calm under pressure and comfortable with a fast paced environment</li><li>Good attention to detail</li><li>Information seeking</li><li>Outcome focussed</li><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>Organised, with strong prioritisation skills</li><li>Firm but diplomatic</li><li>Flexible and pragmatic</li></ul>Competencies <ul><li>Effective communicator</li><li>Self-motivated</li><li>Problem solving</li><li>Achievement orientated</li><li>Personal Impact</li><li>Leadership</li></ul>

238 Jobs in Bromley, UK