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CORPORATE PROFILE Ziegler is a specialty investment bank with unique expertise in complex credit structures and advisory services. Headquartered in Chicago with regional and branch offices throughout the U.S., Ziegler creates tailored financial solutions for our clientele. Ziegler is ranked nationally as one of the leading investment banking firms in our specialty sectors of healthcare, senior living, religion and education finance as well as corporate finance and FHA/HUD. Ziegler serves institutional investors through our capital markets professionals. POSITION OVERVIEW Under general direction from the Chief Compliance Officer (CCO), the Senior Compliance Officer implements strategies related to the compliance functions for the firm and its affiliates, implements policies and procedures required to maintain an acceptable level of regulatory compliance and prevention of financial loss, provides support for the firm and its affiliates through the identification and interpretation of the current financial services laws and regulations and any changes thereto, and completes testing and reporting to the CCO on the effectiveness of the compliance programs. The Senior Compliance Officer will have a higher level of autonomy in decision-making and policy implementation. Additionally, they will be responsible for managing and mentoring junior compliance staff. With overview from the CCO they will be involved in advanced strategic planning and risk assessment as well as deal with high-level compliance matters and interactions with regulatory bodies. The successful candidate will be responsible for the following: <ul><li>Conduct compliance examinations within the required timeframe in accordance with the annual examination program under the guidance of the CCO</li><li>Schedules and coordinates office and records examinations</li><li>Prepares for examinations by reviewing and analyzing system-generated reports, file data, and written supervisory procedures</li><li>Performs reviews of supervisory, sales, and office support functions in accordance with annual examination program and protocols</li><li>Communicates examination results, including presenting identified issues, to and preparing a written report for Management and the CCO, as necessary</li><li>Provides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc.</li><li>Conduct ongoing surveillance of the business unit's activities to ensure compliance with federal securities laws and regulations</li></ul><ul><li>Reviews and analyzes business changes to determine if new or additional surveillance programs are necessary </li><li>Monitors regulatory issues to determine if Ziegler is engaged in activity that may come under increased regulatory scrutiny</li><li>Provides ongoing feedback to the CCO on activities of the business unit</li><li>Offers informed recommendations to CCO and management for correction when exceptions are noted on a regular basis</li><li>Review and approve marketing materials on behalf of Ziegler</li><li>Works closely with marketing and management to ensure communications with the public are compliant with the regulations</li><li>Maintains a regular review of the broker-dealer's website</li><li>Monitor social media accounts of associates for adherence to Ziegler policies</li><li>Surveil associates' electronic communications to ensure compliance with regulatory requirements and Ziegler policies</li><li>Lead the training of firm associates on compliance industry-related compliance topics commensurate with their role and responsibilities as necessary and when requested</li><li>Remain current on industry rules, regulations, and best practices as it relates to Ziegler's businesses</li><li>Assist the CCO in responding to federal and state regulatory requests, examinations, or communications</li><li>Train and mentor new compliance personnel</li></ul>PROFESSIONAL QUALIFICATIONS The Senior Compliance Officer will possess the following: <ul><li>Bachelor's degree, preferred. However, substantial work experience in the financial services industry may be substituted for a four-year degree</li><li>Work experience in the financial, investment and private equity industries is highly preferred</li><li>Knowledge of and ability to effectively and efficiently research and interpret the laws and regulations affecting the securities industry </li><li>Proficiency in MS Office products</li><li>Must have Series 7 and 52 licenses</li><li>Must be willing to obtain Series 14 or 24, 50, 53, 54 and 79 licenses</li></ul>PERSONAL QUALIFICATIONS <ul><li>Strong verbal and written communication skills</li><li>Ability to interact effectively with all levels of management, including C-suite members</li><li>Team player able to work in a fast-paced environment</li><li>Detail-oriented with a commitment to accuracy</li><li>Ability to multi-task efficiently, work accurately under pressure, and meet deadlines</li></ul>This senior role offers an opportunity to shape the compliance culture of our investment banking division and contribute significantly to maintaining our reputation for ethical business practices. The applicable base salary range for this role is $140,000 to $160,000. The base pay offered will be determined on factors such as experience, skills, training, location, license, and education. In addition to the base salary, this position is eligible for a performance-based bonus. Ziegler is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

Senior Compliance Officer

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)

Senior Compliance Manager - Monitoring and Reporting - Salary circa £70,000 We have an exciting opportunity for a senior compliance professional to join our newly established Group Compliance Monitoring and Reporting team! This is a fantastic role for a proactive team player with extensive experience working in an FCA regulated environment in a compliance / conduct risk position. If that sounds like you, we would love to hear from you! A bit about the job: Your will report to and support the Head of Group Compliance and Conduct Monitoring and Reporting and Group Compliance and Conduct Director such that the function operates effectively, adds value and makes a valued and trusted contribution across the organisation. You will be responsible for supporting the successful establishment and operating of the newly created Group Compliance Monitoring and Reporting team within Group Compliance and Conduct. As part of the role you will: <ul><li>Assess the effectiveness of 1st line compliance programs, performing targeted, risk-based monitoring reviews across group functions and producing insightful reports which support the optimisation of controls and delivery of good customer outcomes.</li><li>Support the development of monitoring standards and new ways of working, including use of data and technology, which brings benefits to Markets and Group Functions.</li><li>Actively support the production of insightful Regulatory Compliance and Conduct reports for the Group Board Risk Committee and Group Customer and Sustainability Committee, and prepare any other reports required for Group Regulatory Compliance and Conduct.</li><li>Develop and maintain relationships with key stakeholders, to ensure effective collaboration on regulatory compliance and conduct matters. Also, as required, develop and deliver training to employees on these matters.</li><li>Support Solvency II compliance reviews, if required.</li></ul>Skills and experience we're looking for: <ul><li>Experienced Financial Services professional, with direct experience working in / with Conduct and Compliance teams.</li><li>Curiosity and experience in developing methodologies and frameworks.</li><li>A successful record of performing assurance and / or investigative work as part of a team and drafting meaningful, insightful reports for senior stakeholders.</li><li>Experienced in (or curiosity and willingness to learn about) using data to inform and better target our work.</li><li>Strong communication (verbal and written), and relationship building skills with the ability to influence decision making.</li></ul>What you'll get for this role: Our purpose - with you today, for a better tomorrow - is a promise we make to our colleagues too. And one of the ways we live up to that promise is by investing in you. We have so much to offer when it comes to being an Aviva colleague. <ul><li>Salary circa £70,000 (depending on location, skills, experience, and qualifications)</li><li>Bonus opportunity -12% of annual salary Actual amount depends on your performance and Aviva's.</li><li>Generous pension scheme - Aviva will contribute up to 14%, depending on what you put in.</li><li>29 days holiday plus bank holidays, and you can choose to buy or sell up to 5 days</li><li>Make your money go further - Up to 40% discount on Aviva products, and other retailer discounts</li><li>Up to £1,200 of free Aviva shares per year through our Matching Share Plan and share in the success of Aviva with our Save As You Earn scheme</li><li>Brilliantly supportive policies including parental and carer's leave</li><li>Flexible benefits to suit you, including sustainability options such as cycle to work</li><li>Make a difference, be part of our Aviva Communities and use your 3 paid volunteering days to help others</li><li>We take your wellbeing seriously with lots of support and tools</li></ul>Take a look to learn more. Put a salary into this calculator to see what your total Aviva Reward could be. Aviva is for everyone: We're inclusive and welcome everyone - we want applications from all backgrounds and experiences. Excited but not sure you tick every box? Even if you don't, we would still encourage you to apply. We also consider all forms of flexible working, including part time and job shares. We flex locations, hours and working patterns to suit our customers, business, and you. Most of our people are smart working - spending around 50% of their time in our offices every week - combining the benefits of flexibility, with time together with colleagues. To find out more about working at Aviva take a look here We interview every disabled applicant who meets the minimum criteria for the job. Once you've applied, please send us an email stating that you have a disclosed disability, and we'll interview you. We'd love it if you could submit your application online. If you require an alternative method of applying, please send an email to <a href="mailto:beatrix.rozsa@aviva.com" target="_blank">beatrix.rozsa@aviva.com</a>.

Senior Compliance Manager - Compliance Monitoring and Reporting

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

About our team The world is growing at an unprecedented rate. As the population climbs, food demand will surge. With operations in grains and oilseeds in Australia, Canada, China, India, New Zealand, Singapore, UK and Ukraine, GrainCorp is an accomplished and diverse business partner operating at scale in a vital industry. About the role GrainCorp is looking for a Payroll Accounting &amp; Compliance Officer to provide payroll accounting support while ensuring compliance with evolving payroll regulations. This role blends payroll, and compliance, making it an excellent opportunity for someone with an accounting background who has transitioned into payroll. Key responsibilities include: <ul> <li>Managing third-party payroll payments, including superannuation, PAYG, and payroll tax</li> <li>Ensuring compliance with EBAs, awards, and relevant legislation</li> <li>Performing monthly payroll-related P&amp;L and balance sheet reconciliations</li> <li>Overseeing payroll compliance, including internal audits and reporting</li> <li>Supporting system enhancements and managing finance/payroll system integrations</li> <li>Providing payroll reporting, analytics, and insights to business stakeholders</li></ul>About your experience We're looking for someone who is passionate about payroll accuracy and compliance in an ever-changing landscape. Candidates will also display: <ul> <li>Strong understanding of financial systems and how they integrate with payroll</li> <li>End-to-end payroll experience, including superannuation, taxation, and year-end processes</li> <li>EBA and award compliance</li> <li>Experience with accounting for payroll transactions in both internal financial and third party systems post pay runs</li> <li>SAP payroll system knowledge</li> <li>Kronos, Dimensions, or other Time &amp; Attendance systems</li></ul>In addition to providing proof of working rights and suitable professional referees, progressed candidates will be required to undertake a national police check, credit check, bankruptcy check. Do you share our passion for contributing to the success of a diverse, international team? At GrainCorp, we value and respect the different perspectives and experiences our people bring to work each day. We aim to increase the diversity of our workforce - leading to a range of different thinking, perspectives and ideas that create the innovation we need to drive better business results. We aim to have a work environment where everyone feels included and everyone can realise their full potential.

Payroll Accounting & Compliance Officer - Sydney

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

Description Compliance Officer, AXA DCP Paris, France - Milan, Italy - Barcelona, Spain - London, UK AXA's Management Committee is driving a unique strategic initiative - AXA Digital Commercial Platform (DCP) - designed to transform AXA's value proposition. Through AXA DCP, AXA will serve existing and new clients and partners through an evolving business model, where the focus is on risk prediction, prevention and management. DISCOVER your opportunity What will your essential responsibilities include? • Manage the annual compliance risk assessments across AXA DCP. • Report to management and ensuring adequate reporting, follow up and control along the year of any relevant variation on the risk. • Lead and develop the expertise in the data aspects, notably but not limited to, data privacy, security, artificial intelligence, new technologies, IT general services, cloud technologies and network. • Ensure the alignment of compliance risks assessments and fraud control procedures and implementations requirements with the European regulations, Group Standards, or other internal bylaws. • Lead the fraud office, including the design, and implementation of a strong procedure that guarantees adequate monitoring of the main risks, investigation methodology and reporting / escalation. • Escalate risks, propose remediations and design operational solutions with the business units when relevant. • Engage with the Internal Audit office when required for high-risk investigations. • Provide both guidance and regulatory direction to develop new processes or controls. • Being a strong business partner to the different AXA DCP teams, applying adequate practical business judgment to support the business teams to minimize compliance and fraud operational risks. • Collaborate closely with other risk and data privacy officers at AXA DCP to ensure alignment of positions on operational implementations / impacts. • Drive business results by working cross-functionally with the different COO teams, finance, IT, or any other relevant department. Qualifications SHARE your talent We're looking for someone who has these abilities and skills: • Proven experience in compliance, risk management, and/or fraud control in technology companies, both in-house and from consultancy firms, preferably international entities. • Operational knowledge on one or several of the following areas: General compliance, Financial Crime, International Sanctions, risk management, Data Privacy or Fraud control • Excellent communication skills at all levels, including the capacity to explain complex legal topics concisely in simple operational ways to non-compliance collaborators. • Proven work ethic, comfortable working in a fast-paced environment with cross-functional teams, international and collegial corporate culture. • Self-motivated, creative, and autonomous. • Positive mindset, collaborative work style, and team-building orientation. • Language skills: full professional proficiency in English FIND your future AXA XL, the P&amp;C and specialty risk division of AXA, is known for solving complex risks. For mid-sized companies, multinationals and even some inspirational individuals we don't just provide re/insurance, we reinvent it. How? By combining a comprehensive and efficient capital platform, data-driven insights, leading technology, and the best talent in an agile and inclusive workspace, empowered to deliver top client service across all our lines of business - property, casualty, professional, financial lines and specialty. With an innovative and flexible approach to risk solutions, we partner with those who move the world forward. Learn more at axaxl.com Inclusion &amp; Diversity AXA XL is committed to equal employment opportunity and will consider applicants regardless of gender, sexual orientation, age, ethnicity and origins, marital status, religion, disability, or any other protected characteristic. At AXA XL, we know that an inclusive culture and a diverse workforce enable business growth and are critical to our success. That's why we have made a strategic commitment to attract, develop, advance and retain the most diverse workforce possible, and create an inclusive culture where everyone can bring their full selves to work and can reach their highest potential. It's about helping one another - and our business - to move forward and succeed. <ul><li>Five Business Resource Groups focused on gender, LGBTQ+, ethnicity and origins, disability and inclusion with 20 Chapters around the globe </li><li>Robust support for Flexible Working Arrangements </li><li>Enhanced family friendly leave benefits </li><li>Named to the Diversity Best Practices Index </li><li>Signatory to the UK Women in Finance Charter</li></ul>Learn more at axaxl.com/about-us/inclusion-and-diversity. AXA XL is an Equal Opportunity Employer. Sustainability At AXA XL, Sustainability is integral to our business strategy. In an ever-changing world, AXA XL protects what matters most for our clients and communities. We know that sustainability is at the root of a more resilient future. Our 2023-26 Sustainability strategy, called "Roots of resilience", focuses on protecting natural ecosystems, addressing climate change, and embedding sustainable practices across our operations. Our Pillars: <ul><li>Valuing nature: How we impact nature affects how nature impacts us. Resilient ecosystems - the foundation of a sustainable planet and society - are essential to our future. We're committed to protecting and restoring nature - from mangrove forests to the bees in our backyard - by increasing biodiversity awareness and inspiring clients and colleagues to put nature at the heart of their plans.</li><li>Addressing climate change: The effects of a changing climate are far reaching and significant. Unpredictable weather, increasing temperatures, and rising sea levels cause both social inequalities and environmental disruption. We're building a net zero strategy, developing insurance products and services, and mobilizing to advance thought leadership and investment in societal-led solutions.</li><li>Integrating ESG: All companies have a role to play in building a more resilient future. Incorporating ESG considerations into our internal processes and practices builds resilience from the roots of our business. We're training our colleagues, engaging our external partners, and evolving our sustainability governance and reporting.</li><li>AXA Hearts in Action: We have established volunteering and charitable giving programs to help colleagues support causes that matter most to them, known as AXA XL's "Hearts in Action" programs. These include our Matching Gifts program, Volunteering Leave, and our annual volunteering day - the Global Day of Giving. </li></ul>For more information, please see axaxl.com/sustainability About AXA Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things. In a fast-evolving world and with a presence in 64 countries, our 165,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 107 million customers. At AXA XL our approach to corporate responsibility (CR) is the same as our approach to business; constantly seeking to provide innovative solutions to the world's most complex problems. From offering our expertise, products and services to help build more resilient communities, to advancing understanding and response to climate change, our strategy - Our Impact. Our Future. - aligns key issues that are pertinent to our business - climate, water and financial resilience - and contributes to AXA Group's purpose to "Act for human progress by protecting what matters.". <ul> <li>Climate: We're reducing our carbon footprint, protecting ecosystems and exploring how our business can help build a better world.</li> <li>Water: We're developing water resilience where it is - and will be - needed most.</li> <li>Financial resilience: We're helping create opportunities for the unemployed and underemployed, so they can be better prepared for unexpected changes.</li></ul><ul> <li>Hearts in Action: We have established volunteering and charitable giving programs to help colleagues support causes that matter most to them, known as our "Hearts in Action" programs.</li></ul>For more information please see the Corporate Responsibility section on our website.

Compliance Officer F/H, AXA DCP

Job Description Summary Organization's Summary Statement: The Youth Protection Compliance Manager serves as the University of Maryland's subject matter expert and central point of contact for youth protection programs involving minors. In collaboration with campus partners, this position maintains a youth program registry for university-affiliated programs involving minors to track program details, participant information, and compliance status. The Youth Protection Compliance Manager establishes policies and standardized procedures for centralized program management, mitigating identified risks. The Youth Protection Compliance Manager communicates the Maryland Department of Health regulations and UMD/USM policy requirements, resources, and training, to stakeholders across academic and administrative units. This role leads compliance assessments, including addressing violations for registered youth program activities, oversees required criminal background checks and Child Protective Services clearances for youth program staff, conducts campus-wide compliance audits, and provides timely status reports and risk mitigation strategies to university leadership. Physical Demands: This is a primarily a sedentary position involving extensive use of desktop computers. The position does occasionally require walking some distance to attend meetings and programs. Preferences: Satisfactory State of Maryland and FBI criminal background check and Child Protective Services clearance. Experience in the field of youth programming or youth protection. Experience working in an academic environment. Licenses/ Certifications: N/A Minimum Qualifications Education: Bachelor's degree from an accredited college or university. Experience: Five (5) years of professional program management experience. Other: Additional work experience as defined above may be substituted on a year for year basis for up to four (4) years of the required education. Knowledge of business acumen to understand key business drivers, organizational communications, and data. Skill in oral and written communication. Skill in the use of Microsoft Office products. Ability to exercise independent judgment and discretion. Ability to develop and administer new policies and procedures. Ability to interpret and apply policies, procedures, regulations, and laws. Additional Job Details Required Application Materials: Resume , Cover Letter , List of References Best Consideration Date: March 20th , 2025 Posting Close Date: N/A Open Until Filled: Yes Job Risks Not Applicable to This Position Financial Disclosure Required For more information on Financial Disclosure, please visit Maryland's State Ethics Commission website. Department VPA-Environmental Safety, Sustainability &amp; Risk Worker Sub-Type Staff Regular Salary Range $76,627 -$95,784 Benefits Summary For more information on Regular Exempt benefits, select this link. Background Checks Offers of employment are contingent on completion of a background check. Information reported by the background check will not automatically disqualify anyone from employment. Before any adverse decision, the finalist will have an opportunity to provide information to the University regarding disclosable background check information. The University reserves the right to rescind the offer of employment or otherwise decline or terminate employment if the information reported by the background check is deemed incompatible with the position, regardless of when the background check is completed. Employment Eligibility The successful candidate must complete employment eligibility verification (on Form I-9) by presenting documents that establish identity and work authorization within the timeframe required by federal immigration law, and where applicable, to demonstrate renewed employment authorization. Failure to complete employment eligibility verification or reverification within the timeframe set forth by law may result in suspension or termination of employment. EEO/AA Statement The University of Maryland, College Park is an Equal Opportunity/Affirmative Action Employer; all qualified applicants, including veterans and people with disabilities, will receive consideration for employment. UMD is actively engaged in recruiting, hiring, and promoting underrepresented communities. Please read the entire University of Maryland Equal Employment Opportunity and Affirmative Action Statement of Policy. Women, Minorities, Disabled, Veterans, and LGBTQ+ Welcome! Diversity Statement The University of Maryland, College Park, an equal opportunity/affirmative action employer, complies with all applicable federal and state laws and regulations regarding nondiscrimination and affirmative action; all qualified applicants will receive consideration for employment. The University is committed to a policy of equal opportunity for all persons and does not discriminate on the basis of race, color, religion, sex, national origin, physical or mental disability, protected veteran status, age, gender identity or expression, sexual orientation, creed, marital status, political affiliation, personal appearance, or on the basis of rights secured by the First Amendment, in all aspects of employment, educational programs and activities, and admissions. Title IX Non-Discrimination Notice The University of Maryland (UMD) does not discriminate on the basis of sex, gender identity or expression, sexual orientation, race, color religion, national origin, ethnicity, physical or mental disability, protected veteran status, age, genetic information or any other characteristic protected by law in its programs and activities. Specifically, Title IX prohibits discrimination on the basis of sex in UMD programs and activities, including with respect to admission and employment. Resources <ul><li>Learn how military skills translate to civilian opportunities with O*Net Online</li></ul>Search Firm Managed Recruitment There are some positions that are not advertised on this career site as the search is being managed by a Search Firm. Please visit the link below to see these available opportunities: Search Firm Managed Vacancies

Youth Protection Compliance Manager

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

Compliance Manager - Policy &amp; Advisory - Salary circa £55,000 We have an exciting opportunity to join our newly established Group Compliance and Conduct Policy and Advisory team! This is a fantastic role for a proactive team player with strong stakeholder management skills, with experience working in an FCA regulated environment in a compliance and conduct risk position. If that sounds like you, we would love to hear from you! A bit about the job: You will be responsible for strategic partnering with Group Functions, providing regulatory compliance and conduct advice, guidance, and challenge in support of the achievement of the function's objectives. You will collaborate with markets on the delivery of high impact regulatory programmes and assisting in developing policies and standards which support the firm's regulatory responsibilities and strategic objectives while providing risk partnering services to Brand and Corporate Affairs, on behalf of Group Risk. You will support the Head of Group Compliance, Conduct Policy and Advisory, and Group Compliance and Conduct Director such that the function operates effectively, adds value and makes a valued and trusted contribution across the organisation. You will partner with Group Functions on all regulatory compliance and conduct related matters; providing pragmatic advice, guidance and challenge, and provide support to Market or divisional team, as required. You will contribute to the development of relevant Group Policy and Business Standards including Conduct, Employee Conflicts of Interest, Managing Regulatory Change and Market Abuse, and the functional charter. These should be mindful of Group and Market priorities and responsibilities. As part of the role you will developing and provide training on Compliance and Conduct topics, and to support understanding and embedding of Conduct policies, standards and frameworks. Group Compliance and Conduct is a second line of defence function, within Aviva's One Risk function. The role requires a curious mindset and a desire to work collaboratively across an exciting, dynamic group. Skills and experience we're looking for: <ul><li>Regulatory compliance and conduct risk experience within an FCA regulated environment is essential.</li><li>Relationship building and collaboration skills; able to work constructively with and influence stakeholders.</li><li>Good programme and project management skills and experience.</li><li>Experience in developing policies, standards, frameworks and related training.</li><li>Curious, with a desire to work with data to generate new insights and facilitate more effective ways of working.</li></ul>What you'll get for this role: Our purpose - with you today, for a better tomorrow - is a promise we make to our colleagues too. And one of the ways we live up to that promise is by investing in you. We have so much to offer when it comes to being an Aviva colleague. <ul><li>Starting salary between xx and xx (depending on location, skills, experience, and qualifications)</li><li>Bonus opportunity - 10% of annual salary Actual amount depends on your performance and Aviva's.</li><li>Generous pension scheme - Aviva will contribute up to 14%, depending on what you put in.</li><li>29 days holiday plus bank holidays, and you can choose to buy or sell up to 5 days</li><li>Make your money go further - Up to 40% discount on Aviva products, and other retailer discounts</li><li>Up to £1,200 of free Aviva shares per year through our Matching Share Plan and share in the success of Aviva with our Save As You Earn scheme</li><li>Brilliantly supportive policies including parental and carer's leave</li><li>Flexible benefits to suit you, including sustainability options such as cycle to work</li><li>Make a difference, be part of our Aviva Communities and use your 3 paid volunteering days to help others</li><li>We take your wellbeing seriously with lots of support and tools</li></ul>Take a look to learn more. Put a salary into this calculator to see what your total Aviva Reward could be. Aviva is for everyone: We're inclusive and welcome everyone - we want applications from all backgrounds and experiences. Excited but not sure you tick every box? Even if you don't, we would still encourage you to apply. We also consider all forms of flexible working, including part time and job shares. We flex locations, hours and working patterns to suit our customers, business, and you. Most of our people are smart working - spending around 50% of their time in our offices every week - combining the benefits of flexibility, with time together with colleagues. To find out more about working at Aviva take a look here We interview every disabled applicant who meets the minimum criteria for the job. Once you've applied, please send us an email stating that you have a disclosed disability, and we'll interview you. We'd love it if you could submit your application online. If you require an alternative method of applying, please send an email to <a href="mailto:beatrix.rozsa@aviva.com" target="_blank">beatrix.rozsa@aviva.com</a>

Compliance Manager - Policy & Advisory

Position: Program Integrity and Compliance Officer Compensation: $120,000 - $130,000 based upon experience Status: Full-Time Category: Exempt Shift: 40 hours / with varying workdays and a flexible schedule. Location: Ewing, NJ What We Offer: <ul><li>Top 401k plans in the industry. Employer contribution of 5% and 6% match, for a total of 11%</li></ul><ul><li>Comprehensive Medical and Dental Benefits</li><li>Extended Dental Reimbursement up to $250</li><li>Vision Reimbursement up to $200</li><li>Life Insurance Coverage</li><li>13 Paid Holidays</li><li>Paid Time Off: Personal, Vacation &amp; Sick</li><li>Paid Bereavement Days</li><li>Jury Duty with full pay</li><li>Military Leave Compensation</li><li>Employee Assistance Plan (EAP)</li><li>Referral Bonus Program</li><li>HUSK Marketplace: Exclusive savings on Gym &amp; Fitness Centers, Deals on Equipment, and Husk Nutrition</li></ul>Who We Are The Arc Mercer is a trusted leader in providing comprehensive support and services for individuals with intellectual and developmental disabilities (IDD) across Mercer County. For over 70 years, we have been dedicated to creating a more inclusive community by empowering individuals to live fulfilling and independent lives. Job Summary: We are seeking a highly motivated and experienced Program Integrity and Compliance Officer to ensure our organization adheres to all applicable laws, regulations, and internal policies by monitoring operations, conducting risk assessments, and implementing preventative measures to mitigate compliance risks across all departments. Key Responsibilities <ul><li>Regulatory Compliance: Monitor and evaluate the organization's adherence to federal, state, and local regulation, including those for Medicaid and the Department of Developmental Disabilities (DDD), and ensure compliance across the agency. Stay informed of new regulations and impacts on the agency.</li><li>Compliance Monitoring and Risk: Regularly review operations to identify potential compliance risks and ensure adherence to relevant laws and regulations. Oversee compliance audits and investigations to assess adherence and identify areas for improvement. Develop and execute compliance monitoring plans, including data analysis and reporting.</li><li>Risk Assessment and Mitigation: Conduct regular risk assessments to identify potential compliance risks and prioritize mitigation strategies. Develop and implement preventive controls to address identified compliance risks.</li><li>Investigations: Oversee and provide guidance on and monitor compliance with applicable incident reporting requirements. Provide direct supervision of primary investigator for all incidents, ensuring investigations are completed thoroughly and timely, in accordance with applicable regulations and internal standards.</li><li>Reporting and Communication: Prepare comprehensive reports on compliance activities, findings and recommendation to senior management. Proactively communicate compliance issues and concerns to relevant stakeholders.</li><li>Collaboration: Work closely with all departments to ensure comprehensive compliance across the organization.</li></ul>Minimum Qualifications <ul><li>Bachelor's degree in a related field preferred.</li><li>Minimum of 5-7 years of experience in regulatory compliance; familiar with Department of Human Services/Division of Developmental Disabilities.</li><li>Strong knowledge of regulatory requirements and best practices for Medicaid funded programs.</li><li>Excellent analytical, organizational, and problem-solving skills.</li><li>Strong communication skills, both written and verbal, with the ability to collaborate across teams and departments.</li><li>Knowledge of incident reporting, quality assurance, and program evaluation techniques.</li><li>Ability to manage multiple tasks and prioritize effectively.</li><li>Proficiency in data tracking, reporting, and documentation tools.</li><li>Ability to work independently and as part of a team to drive program success.</li><li>Ability to work flexible hours, including evenings, weekends, and on-call as needed.</li><li>Strong organizational and time-management skills.</li><li>Knowledge of program integrity, compliance, and incident reporting requirements.</li><li>Excellent written, verbal, interpersonal, communication, and presentation skills.</li><li>Ability to work effectively in a fast-paced, deadline driven environment</li><li>Valid driver's license with a clean driving record (no more than three suspensions or points in the past three years).</li></ul>Why Join Us? At The Arc Mercer, you'll be part of a mission-driven organization where your work truly makes a difference. Join a supportive, professional environment that values growth, collaboration, and the power of inclusion. Here, you'll have the opportunity to empower individuals to achieve their fullest potential, while building your own skills and career through ongoing training and development. If you're passionate about helping others thrive in the workplace and the community, we invite you to bring your talents to our team. Together, we'll create meaningful opportunities and make a lasting impact. Join us at The Arc Mercer-where every day is an opportunity to change lives. Have Questions? Email us at <a href="mailto:recruiter@arcmercer.org" target="_blank">recruiter@arcmercer.org</a> or call 609-477-9806 for more information. Equal Opportunity Employer The Arc Mercer is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran, or disability status. All employment offers of employment are contingent upon a successful completion of a background check, drug screen, physical and PPD and an acceptable driving record.

Program Integrity and Compliance Officer

Swiss Re is offering an exciting opportunity for a candidate who will embrace the challenge of supporting the business to achieve their goals whilst controlling our exposure to Money Laundering risks. If you're ready to show your leadership skills, collaborate across the company and deep-dive on technical topics when the moment requires, you will thrive in this role! About the Role You will apply a proven knowledge of relevant rules, regulations and codes of conduct relating to the prevention of Money Laundering to develop a corresponding Risk Framework, lead the continuous improvement of relevant policies and solutions and support the delivery of training and awareness activities across the organisation. Specifically, you will: • Fully own, maintain and continuously improve a Global AML Risk Framework, together with other assigned Risk Frameworks to ensure they remain robust and adequate. • Develop pragmatic solutions in the application of Global Standards to diverse product lines, jurisdictions and local legal and/or regulatory requirements. • Monitor related legal and regulatory developments from relevant bodies in those jurisdictions where Swiss Re operates, coordinating responses when new or changing requirements are identified to ensure the risk is addressed. • Support the further development of Anti-Money Laundering knowledge across Swiss Re and within the Compliance teams by preparing and delivering training and awareness materials. • Work with Compliance colleagues to review key business processes and associated controls. About the Team The Compliance Programme, Policies &amp; Awareness (PPA) team is responsible for delivering robust Compliance Risk frameworks at Swiss Re. We develop and maintain appropriate policies, standards and processes, supporting technology, and build training and awareness programs that educate employees on their responsibilities and behaviours in identifying and managing Compliance Risks. Further, we support the business and our Compliance colleagues by monitoring for new risks and regulations in the jurisdictions in which we operate. We are a diverse team based in Zurich, Bratislava and London. About You You are a Compliance professional who can demonstrate experience in Financial Crime prevention within the financial services industry, preferably (re)insurance. You will have a proven track record of applying and delivering deep technical knowledge of AML controls in the (re)insurance industry, paired with a strong understanding in how to deliver effective Compliance frameworks, to enable the business to successfully manage the associated risks. You believe in leadership from every seat and will be able to demonstrate this in your day-to-day as well as mentoring junior colleagues formally and informally. As an expert, attention to detail is key, and your ability to prioritise work and deliver independently is critical to success in this role. • Significant experience in the prevention of financial crime within the (re)insurance industry • Strong communicator, including experience drafting global policies and standards, and presenting training content. • University degree or equivalent, legal training would be beneficial • Highly proficient in English (written and spoken); other languages a plus (especially German) #LI-Hybrid About Swiss Re Swiss Re is one of the world's leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to cybercrime. Combining experience with creative thinking and cutting-edge expertise, we create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 14,000 employees across the world. Our success depends on our ability to build an inclusive culture encouraging fresh perspectives and innovative thinking. We embrace a workplace where everyone has equal opportunities to thrive and develop professionally regardless of their age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, physical or mental ability, skillset, thought or other characteristics. In our inclusive and flexible environment everyone can bring their authentic selves to work and their passion for sustainability. If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience. Keywords: Reference Code: 133116

Compliance Officer - Anti-Money Laundering

Role: Fabric &amp; Compliance Manager Reports into: Head of Tech (Product) Contract Type: Full Time, working 7.5 hours per day, 5 days per week Location: Hybrid, working 3 days a week in our offices based in Old Street, London About Us Nothing is clearer to us than the belief that every woman should include strength training in her life to enhance both physical and mental well-being. It's about building strong bodies and even stronger minds, asserting their right to take up space in the gym, and allowing the spotlight to shine bright on their progress. To us, strength training represents a determined, goal-oriented mindset and an unwavering work ethic. We don't wait for success; we create it through hard work and determination. When faced with challenges, we don't back down; instead, we break through barriers, recognising that true progress lies on the other side. These are the pillars that form the foundation of Oner Active. We consistently challenge ourselves to create innovative and impactful products, so that you can perform better. With our range of products and innovative approach, we provide a wide variety of colours to ensure that all skin tones genuinely radiate in Oner. Our Purpose and Mission We are on a mission to unite and empower women to be the strongest version of themselves through strength training. We want to inspire women to take centre stage in the gym by promoting strength training, which underpins all movement and sport, as a healthy foundation in life. Our Benefits <ul> <li>25 days annual leave + bank holidays and work from anywhere up to 4 weeks a year</li> <li>5% employer match salary sacrifice pension scheme</li> <li>Generous Oner Active discount plus regular office sample sales</li> <li>Free Evolve You subscription</li> <li>Private Healthcare with Vitality including optical and dental </li> <li>Monthly wellness allowance and team workout classes</li> <li>Start-up culture - the chance to learn and make a real impact</li> <li>Great employee events like our Summer party, Christmas party and team away days</li> <li>Healthy office snacks and fruit (plus a chocolate cupboard for a sweet treat for the balance)</li> <li>Dog friendly office</li> </ul>You'll be responsible for: Fabric Sourcing <ul> <li>Newness and Innovation - Development/Sourcing of new fabric trends and innovation of materials, closely working with the Product team.</li> <li>Arranging Key mills to come in and present newness to the product team.</li> <li>Cross costing/developing fabrics through various fabric mills to achieve best fabric price.</li> <li>Clear understanding of the critical path and pricing on fabric.</li> </ul>Seasonal Fabric Boards <ul> <li>Collaborating closely with the Product team to understand fabric needs and help develop new collections, creating fabric boards to inspire designers.</li> <li>Developing a fabric sourcing library using market fabric insights for performance and lifestyle collections.</li> <li>Creating a raw materials roadmap focused on sustainability.</li> </ul>Testing and Compliance <ul> <li>Ensure fabric testing meets the required standards for the garment's intended end use.</li> <li>Verify that all products entering the business are chemically compliant with UK and U.S. regulations.</li> <li>Review social, ethical, and chemical compliance audits of all suppliers, collaborating with factory teams to create corrective action plans.</li> <li>Regularly follow up on corrective actions to ensure suppliers uphold and maintain compliance standards.</li> </ul>You'll need to have: <ul> <li>Minimum of 3- 5 years' experience in fabric sourcing, textile procurement, or a similar role</li> <li>Experience in an activewear or sportswear brand.</li> <li>Strong understanding of fabric types (knits, wovens), yarns, construction techniques, and printing methods. </li> <li>Experience with fabric testing and quality control.</li> <li>Proven track record of fabric sourcing, identifying emerging fabric trends and translating them into successful collections.</li> </ul>Nice to have's: <ul> <li>The energy and initiative in driving projects forward.</li> <li>Results delivering attitude with dedication and discipline.</li> <li>A can-do attitude towards challenges, finding ways to overcome obstacles and infusing the team with optimism.</li> <li>A creative problem-solver who think outside the box, ready to change the game with fresh strategies and flexible approaches.</li> <li>Passion to collaborate, supporting and lifting teammates.</li> <li>Comfortable with change and ready to pivot when the plan shifts.</li> <li>Desire to always learn more, understand the bigger picture, and know the 'why' behind every strategy.</li> <li>A passion for the Oner Active brand, caring deeply about the business and the impact of every move made.</li> </ul>Equality, Diversity, and Inclusion At Oner Active it's about embracing diversity and empowering every individual to reach their full potential. We are committed to creating an environment where everyone feels valued, supported, and able to thrive. We welcome applications from all backgrounds and are dedicated to ensuring that everyone has equal access to opportunities during the recruitment process. If you require any reasonable adjustments or additional support, we encourage you to reach out to our Recruitment team - we're here to support you every step of the way.

Fabric & Compliance Manager

Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent. Headquartered in London, we manage $172.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at <a href="http://www.man.com" target="_blank">www.man.com</a> * As at 31 March 2025 Man Group is looking to hire a Junior Compliance Officer as part of its investment management Compliance team. The role will report into the Head of Compliance, AHL but will assist across a variety of tasks and business lines across all of Man Groups UK investment managers, including AHL, Discretionary and Solutions making it a varied, challenging and interesting opportunity. The role has a broad remit and is best suited to individuals who are driven, enjoy a varied, hands-on role in a fast-paced and intellectually stimulating environment. Responsibilities <ul><li>Liaise with the Man Data Science team on reviewing of alternative data vendor DDQs</li><li>Assist Investor Services with drafting responses to investor DDQs and RFPs </li><li>Run and enhance where possible existing monthly/quarterly compliance monitoring</li><li>Assist with the running of Man Group's wall crossing process to support ECM and DCM activity</li><li>Support with updates to compliance documentation and processes e.g. risk assessments, new product processes and conflicts registers</li><li>Assist the Investment Management Compliance team with compliance related initiatives with to a view to developing and strengthening the compliance framework and programme</li><li>Participate in various meetings and committees with infrastructure and investment management teams across the firm assisting the team with providing regulatory and compliance advice</li><li>Assist in the creation, dissemination and delivery of compliance training</li><li>Assist Regulatory Operations on regulatory filings and participate in the annual review of the Form ADV</li><li>Opportunity to support the broader Compliance team on e-communication monitoring and MAR trade surveillance</li></ul>Key Competencies <ul><li>A recent Graduate with strong academics, educated to degree level or equivalent</li><li>Excellent written and verbal communication</li><li>Analytical and problem solving mindset</li><li>Knowledge of Python or similar would be advantageous</li><li>Up to 2 years prior experience in Compliance, Legal, Consulting or a similar role</li></ul>Inclusion, Work-Life Balance and Benefits at Man Group You'll thrive in our working environment that champions equality of opportunity. Your unique perspective will contribute to our success, joining a workplace where inclusion is fundamental and deeply embedded in our culture and values. Through our external and internal initiatives, partnerships and programmes, you'll find opportunities to grow, develop your talents, and help foster an inclusive environment for all across our firm and industry. Learn more at <a href="http://www.man.com/diversity" target="_blank">www.man.com/diversity</a>. You'll have opportunities to make a difference through our charitable and global initiatives, while advancing your career through professional development, and with flexible working arrangements available too. Like all our people, you'll receive two annual 'Mankind' days of paid leave for community volunteering. Our comprehensive benefits package includes competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Depending on your location, you may also enjoy additional benefits such as private medical coverage, discounted gym membership options and pet insurance. Equal Employment Opportunity Policy Man Group provides equal employment opportunities to all applicants and all employees without regard to race, color, creed, national origin, ancestry, religion, disability, sex, gender identity and expression, marital status, sexual orientation, military or veteran status, age or any other legally protected category or status in accordance with applicable federal, state and local laws. Man Group is a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact <a href="mailto:TalentAcquisition@man.com" target="_blank">TalentAcquisition@man.com</a>. Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent. Headquartered in London, we manage $172.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at <a href="http://www.man.com" target="_blank">www.man.com</a> * As at 31 March 2025

Junior Compliance Officer - Investment Management Advisory

The Audit officer will assist the audit manager and other colleagues with a range of internal audits that are designed to establish the level of compliance with established policies and procedures in key areas including, inter alia admissions, academic delivery, and student support. The Audit officer will be involved in all aspects of the audit including audit design,data/information collection, data presentationand report writing for a range of audiences <ul> <li>Collect data &amp; procedural information from related departments under audit.</li> <li>Assist in internal audits as and when required in accordance with the audit plan.</li> <li>Help the department during external audits as and when they are conducted.</li> <li>Maintain records of all reports of suspected compliance violations.</li> <li>Maintain records of adequate steps taken by related departments to rectify their compliance violations.</li> <li>Document recommendations for improvements in functioning of related departments' processes.</li> <li>Make notes of periodic reviews of the compliance audits and locate errors.</li> <li>Take active part in giving suggestions for annual audit plans.</li> <li>Participate and assist in open-ended compliance risk assessment processes.</li> </ul>Qualification:<ul> <li>Bachelor's degree required</li> <li>Advanced degree preferred.</li> </ul> Knowledge of and experience of working in processes related to: <ul> <li>Rules, standards, regulations of Compliance, Governance, &amp; ethical business actions.</li> <li>External and internal audits.</li> <li>Risk management.</li> <li>Safety specifications.</li> </ul>Skills in:<ul> <li>Critical thinking and problem-solving skills.</li> <li>Competence to analyse and interpret information quickly.</li> <li>Project management skills.</li> <li>Negotiation and communication skills.</li> <li>Networking skills are crucial.</li> <li>Being ethical and always having the will to do the right things.</li> </ul>Abilities:<ul> <li>Leadership</li> <li>Analytical</li> <li>Verbal and written communication</li> <li>Interpersonal conveying</li> <li>Attention to detail.</li> <li>Integrity</li> <li>Punctual</li> <li>Public speaking</li> <li>Decision making</li> </ul>GBS is a higher education provider offering a range of sector-relevant courses across eight campuses in London, Manchester, Birmingham, Leeds and beyond. We improve lives through education, committing to inclusiveness and realising the power of diversity each day. We are proud of the many backgrounds, experiences, beliefs, and cultures here at GBS - people are the heart of everything we do and our aspirations for the society we want to see in the future, and as such, we welcome people of all ethnicities, gender, ages, and abilities. #Li-Onsite #indeedmay

Audit & Compliance Officer - Greenford

FAIR BANKING COMPLIANCE OFFICER WHAT IS THE OPPORTUNITY? The Fair Banking Compliance Officer is responsible for assessing risks related to unfair, deceptive, and abusive acts and practices (UDAP/UDAAP) and Fair Lending (FL) across the Bank's products and services, including its affiliates, specifically focused on deposits and consumer lending. This role involves providing guidance to assigned lines of business, analyzing decision-making processes, and evaluating procedures to identify and mitigate compliance risks that impact clients and their accounts. Once risks are identified, the Compliance Officer collaborates with the line of business to address them effectively. Additionally, This position requires a strong understanding of the compliance laws and regulations as they apply to a federal financial institution, as well as expertise in banking operations as it pertains to client accounts. Compliance Risk Management Division This is a great opportunity to grow your career with a stable and expanding organization as a member of the Fair and Responsible Banking Department within City National's Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth. WHAT WILL YOU DO? <ul><li>Partner and provide FL/UDAAP guidance to the assigned lending and/or deposit lines of business in the review, development, and implementation, of new or changed products, services, and systems, including marketing.</li><li>Partner with the business units to create workflows and internal control documentation to assist in implementation and understanding of processes as they relate to their specific area of responsibility.</li><li>Work with Corporate Compliance colleagues to include reviews performed by the Compliance Officer are incorporated into applicable risk assessments.</li><li>Partner with business/operations units to remediate FL/UDAAP risk identified in internal and external examinations.</li><li>Apply both technical and general business knowledge to resolve the issues in assigned function.</li><li>Integrates activities with other departments to accomplish common goals.</li><li>Consult with the business units' compliance officers or other management as to any deficiencies, and monitor to ensure that required changes are made.</li><li>Perform Fair Lending/UDAAP qualitative analyses for assigned lines of business. </li><li>Work to ensure that products and services provided by the Bank and its affiliates do not create a potential for FL/UDAAP or regulatory violations.</li><li>Maintain up-to-date knowledge of Bank policies, procedures and industry best practices.</li><li>Develop and uses sound diagnostic and analytical processes that will identify risk.</li><li>Work with all levels of the company regarding the assessment of risk and corrective action plan, if needed.</li><li>Identify and address training needs by partnering with business areas and Compliance Training Manager.</li></ul>WHAT DO YOU NEED TO SUCCEED Must-Have* <ul><li>Bachelor's Degree or Equivalent Experience.</li><li>Minimum 5 years of experience in Compliance or Operations analysis roles that work closely with the Compliance area.</li><li>Minimum 3 years of experience with writing policies and procedures and implementing changes to programs.</li><li>Minimum 3 years of experience with developing and implementing changes to processes.</li></ul>Skills and Knowledge <ul><li>Must understand UDAP and UDAAP as they relate to the deposit line of business.</li><li>Must understand Fair Lending, UDAP, and UDAAP as it relates to consumer lending. </li><li>Must be able to write analyses, reports and correspondence, in a clear and concise manner.</li><li>Educational experience, through in-house training sessions, formal school, or financial industry related curriculum, should be applicable to the financial industry preferred.</li><li>Exceptional oral and interpersonal communication skills.</li><li>Ability to apply common sense to carry out instructions and instruct others, interpret documents, understand procedures, speak clearly to customers and employees.</li><li>Highly developed analytical and diagnostic skills that allow the colleague to assess all areas of the company whether the colleague does or does not have specific expertise in that area.</li><li>Ability to work with no supervision while performing duties.</li><li>Must be able to perform this position safely, without endangering the health or safety to himself or herself or others.</li></ul>Compensation Starting base salary: $92,114 - $156,880 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law. ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves. *City National Bank does business in Miami and the state of Florida as CN Bank. For more information about City National, visit cnb.com. #LI-JR1 #CR-JR

Fair Banking Compliance Officer

About Integrity Integrity, headquartered in Dallas, Texas, is a leading distributor of life and health insurance, and provider of innovative solutions for wealth management and retirement planning. Through its broad partner network of agents and advisors, Integrity helps millions of Americans protect their life, health and wealth with a commitment to meet them wherever they are - in person, over the phone and online. Integrity's proprietary, cutting-edge technology helps expand the insurance and financial planning experience for all stakeholders using an omnichannel approach. Providing best-in-class service to our clients and consumers is at the center of Integrity's holistic approach to life, health and wealth protection. The company and its partners focus on helping families and individuals prepare for the good days ahead, so they can make the most of what life brings. Position Summary We are looking for a Chief Compliance Officer of the Integrity Life segment. This individual will be a seasoned leader and own strategic compliance for Integrity Life, and management of the Integrity Life business segment Compliance Officers. The person will be conversant with federal and state regulations related to the marketing and advertising of life insurance products, including Indexed Universal Life, Term Life, Fixed Indexed Annuities, Final Expense, and ancillary products. The position will have full compliance operational responsibility for the Integrity Life segment, which includes working with the Legal, Regulatory, Marketing, and enterprise risk management ("ERM") teams to align legal, business, and compliance strategies to company-wide objectives, managing compliance strategy and oversight for Integrity Life, productively collaborating with the Marketing team on the timely development, review, and implementation of life-related marketing activities, and working with business leaders on life-related risk identification and mitigation. Primary Responsibilities <ul><li>Proactively identify, assess, and manage compliance risks facing the Integrity Life segment, and develop strategies to mitigate and resolve such risks</li><li>Supervise the overall compliance operations program for Integrity Life</li><li>Ensure compliance by the Integrity Health companies with federal and state laws and regulations</li><li>Stay advised regarding relevant compliance risks</li><li>Ensure Integrity Life companies maintain policies and procedures and supervisesubsidiary compliance officers</li><li>Manage day-to-day compliance risk strategy for Integrity Life</li><li>Collaborate with Integrity Enterprise Risk Management team to identify, assess, and mitigate risks for Integrity Life</li><li>Leverage technology platforms for compliance oversight and to monitor, evaluate and test for compliance with applicable rules, regulations, and policies</li><li>Recommend workable action plans to identify and correct material compliance weaknesses</li><li>Supervise and manage Integrity Life compliance officers in connection with examinations of Integrity Life companies</li><li>Collaborate effectively with senior management of Integrity Life segment, Integrity Life compliance officers and senior leadership of Integrity to communicate Integrity Life risk management and achieve strategic objectives</li></ul>Required Competencies <ul><li>Leadership, excellent writing and communication skills and the ability to identify, initiate and conclude strategic objectives in a collaborative, team-based "no ego" environment</li><li>Thorough knowledge of regulatory requirements for the marketing and advertising of life insurance products and ability to continue to learn and communicate learnings in a changing regulatory environment</li><li>Ability to establish productive, trusting working relationships with individuals and teams both inside and outside the organization</li><li>Ability and desire to train others and transfer knowledge to others and assess and coach talent</li><li>Ability to think and work at both strategic and tactical levels</li><li>Orientation towards process improvement, growth and best in class people, process and technology solutions</li><li>Passion for service and a desire to invest in employees</li><li>Ability to manage budget/cost center</li><li>Excellent time management given high demand on time</li><li>A proven, coach-leader who can also "do the work" and train team members with practical hands-on knowledge </li><li>Excellent communicator and influencer/team builder who can simply explain the organization's vision and motivate others with strong, honest leadership</li></ul>Education and Experience <ul><li>Bachelor's business degree in a related field</li><li>J.D. preferred with regulatory life experience</li><li>Minimum of 10 years of experience in compliance, regulatory affairs, or a related role within the life insurance industry</li><li>3+ years of compliance leadership with people management</li><li>Certified Regulatory Compliance Manager (CRCM) preferred; other compliance certifications desirable</li></ul>#LI-RP1- About Integrity Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead. Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com. Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

Chief Compliance Officer, Integrity Life

Job description At KPMG, our values define who we are and the way we do business. As a leading professional services firm, we know that our strength and capability come from our people - their different perspectives, experiences and backgrounds. From our inclusive leadership strategy to our diversity and inclusion targets - we're making bold changes to who we are and what we do. Be part of it. The Team We are currently recruiting a manager to join our successful Family Office &amp; Private Client Compliance team in Glasgow or Edinburgh. As a national practice our FO&amp;PC team consists of 162 team members across the UK, led by 5 Partners, 3 Associate Partners and 12 Directors. We work with a variety of high net worth individuals - from stakeholders in privately owned and entrepreneurial businesses, executives of multi-national firms, landed estates and senior members of private equity firms; who may be tax resident and/or domiciled in a range of jurisdictions. We also specialise in providing advice to Trusts and Estates, and Partnerships. If you are a highly motivated qualified tax adviser/ accountant (ATT, CTA or ACA/ACCA) with experience of working in personal tax, then we'd love to hear from you. We recognise that there are also highly motivated individuals who are qualified though experience and may not be exam qualified and we are open to considering such individuals also. The Role The is primarily a compliance role and it entails managing relationships with our compliance clients, from high net worth individuals and entrepreneurial clients to Trusts, and providing high quality compliance services on a wide range of personal tax matters. More specifically, some of the responsibilities will include:- - Ensuring the delivery of a high quality compliance service to our clients; including the review of complex and varied tax returns, capital gains calculations, land and property accounts and complex residence and remittance issues. Reviewing Trust accounts, tax computations and tax returns and maintaining strong relationships with Trustees. -Managing a diverse portfolio of varied clients and being able to identify advisory opportunities - Managing the compliance process and adhering to and developing best practice procedures to ensure deadlines are met and risk managed appropriately. - Managing work in progress and ensuring prompt billing and cash collection. Qualifications, Skills &amp; Experience Candidates interested in this role should have the following skills and qualifications: - Qualified accountant or tax advisor with experience working in a personal tax focussed environment with exposure to a varied client base. - Academically strong results in career to date coupled with a keen and insightful understanding of the issues facing private clients. - An ability to work as part of a team as well as on their own initiative. - A commitment to clients, colleagues and KPMG. - High level of analytical skills and a commercial approach to resolving issues and providing advice. - Strong interpersonal skills are required in addition to strong oral and written communication skills. In particular, the role will suit either a high performing Manager keen to work with an exciting client base and keen to progress, or a recently qualified individual looking to gain exposure to a dynamic and entrepreneurial team. We are also open to applicants from individuals with other relevant tax or accountancy experience that hold a suitable qualification and can demonstrate exceptional client service and a desire to develop in a new area of tax We recognise that as individuals, we each have particular needs and that one size doesn't fit all, when it comes to how, when and where you work. That's why we're proud to offer our colleagues flexible working options. We believe in putting you at the centre of your career - KPMG will offer the training, development and stimulating work environment to help you get to where your career ambitions are. That's why we introduced 'Our Deal' - it's our way of saying 'thank you' for bringing your best to work. As part of 'Our Deal', you'll benefit from a range of rewards from secondment opportunities and preferential banking services to a day off on your birthday and have open, honest conversations about your career development.

Private Client Tax - Compliance Manager

Job Advert Job Role: Assistant Compliance Manager Location: Worcester Hours: 35 hours per week- Monday to Friday Salary: Up to £35,000 depending on experience At Innovus, we are committed to delivering market leading solutions and professional services. As an Assistant Compliance Manager, you will be contributing to our vision to be recognised as the market leading provider of services to the UK's property sector. We are proud to employ highly skilled, experienced and innovative people who deliver business expertise and services across the property industry. Purpose of Job Responsible for monitoring statutory compliance inspections and ensuring follow-up actions across the portfolio, delivering high-quality Asset Management services to internal and external stakeholders Whilst you will not have direct reports you will be supported by two Compliance Administrators. Key expectations of this role: Supporting the team by reviewing inspections and updates from our panel of property managers, ensuring our key client remains fully compliant with all statutory obligations. Main Responsibilities <ul> <li>Providing relevant technical knowledge to the team and wider business to ensure that compliance activity is efficiently and effectively recorded in the clients Riskwise system</li> <li>Holding property managers to account for their compliance activities, working with agents to close actions and inspections (through teams' meetings, emails and phone calls)</li> <li>Monitoring statutory compliance inspections for the portfolio through auditing and formal reviews - ensuring systems are updated accurately and regularly, to include any relevant documentation to be saved within the appropriate areas</li> <li>Working closely with Asset Managers, Property Managers and the wider business to ensure that data input and monitoring is of the highest standard </li> <li>Managing incoming inspection documents</li> <li>Uploading documents and remedial actions to the risk management portal where required</li> <li>Ensure all customer information is handled confidentially and in line with GDPR</li> <li>To support other Asset Management activity as required</li></ul>Knowledge, Skills and Experience Essential <ul> <li>At least 3 years' experience in property management with a good working knowledge of Health and Safety regulations. </li> <li>Technical knowledge of building inspections</li> <li>Experience of working in a busy and highly demanding environment interfacing with a number of key departments able to prioritise and manage time effectively</li> <li>Ability to analyse basic data and produce appropriate reporting </li> <li>Excellent written and verbal communication skills, able to build relationships with customers and clients</li> <li>Efficient in maintaining administration and record keeping electronically</li> <li>Excellent IT skills, social-media awareness and up to date with new technology. Desirable</li> <li>Experience and/or understanding of RiskWise system</li> <li>Relevant property management qualification</li></ul>Personal Qualities &amp; Skills <ul> <li>Well-developed organisational skills</li> <li>Ability to work quickly and accurately to meet tight deadlines</li> <li>Enthusiastic team player</li> <li>Able to produce work of a consistently high quality </li> <li>Excellent interpersonal skills</li> <li>Possess a 'can do' attitude with a confident approach to ownership and accountability </li></ul>The Benefits Our customers deserve the best and the same applies to our people. We'll support you with all of the technology, training and support that you need to do your job well. We offer competitive salaries and a range of benefit packages. In addition to the core benefits, we also offer a range of exclusive discounts on extra benefits to help you and your family make the most of your money, safeguard your future and look after your health. Diversity and Inclusion We're committed to promoting diversity at Innovus and recruit on merit. We will consider applications from job share applicants. Innovus is an inclusive employer. We provide equal employment opportunities to all qualified applicants. If you have an additional need at any stage of our recruitment and selection process do speak to one of our team to let us know how we can accommodate you. Ready to apply? Click the below apply button to start your application for this role. We will ask you to upload your CV and answer a few questions. You may also be asked to complete verbal and numerical reasoning tests online. Please note, due to our sector all roles are subject to an Enhanced DBS. If you meet the criteria for the role, we'll be in touch to arrange a short telephone interview and our shortlist of candidates will be invited to attend a first interview with the hiring manager and another member of our team.

Assistant Compliance Manager

General Job Description &amp; Person Specification Job Title: Compliance Officer: BFL General Advisory Reports To: BFL Compliance Manager, General Advisory Key Relationships: Group Head of Compliance, BFL Senior Compliance Officers - General Advisory and Regulatory Affairs, Global Compliance advisory team, 2nd Line Assurance, Underwriters, Finance, Financial Crime team, DPO, Internal Audit, Culture and People, Risk Management, local regulatory authorities, outside legal counsel, Corporate Development and other internal stakeholders. Job Summary: Provide compliance/regulatory advice to the Beazley Furlonge Limited (BFL) executive and functions including BFL's overseas offices. As a Compliance Officer in the BFL General Advisory team, you are expected to work on compliance matters that impact BFL, including through their overseas businesses, from a strategic and regulatory standpoint. You will be expected to develop your understanding of UK and international compliance and provide support and advice in your assigned area/key markets. Your role will include a focus on licensing and the effectiveness of the implementation of the advice provided; this will be overseen by the Manager of the BFL General Advisory team working closely with the Heads of Compliance for relevant jurisdictions and the Head of Global Programmes. Key Responsibilities: Individual Responsibilities will include, but are not limited to: Regulatory and Compliance <ul><li>Keep abreast of key regulatory and legislative changes which may impact Beazley's Lloyd's Managing Agency (BFL) (undertaking impact analyses where necessary) by performing horizon scanning/research using any available Beazley tools and external providers.</li></ul><ul><li>Provide effective compliance advice on regulatory concerns with emphasis on licensing and regulated activity. </li></ul><ul><li>Provide support on audit and assurance reviews. </li><li>Work with and assist the BFL General Advisory Compliance Manager and other Compliance Officers and Senior Officers, including on strategic projects.</li><li>Assist in the business partnering for the product line or distribution area of BFL's underwriting team assigned to you by the BFL General Advisory Compliance Manager. </li><li>Assist with BFL inputs to Cross-border projects and reviews. </li></ul><ul><li>Contribute to the annual BFL compliance plan as part of the wider Compliance function annual plan.</li><li>Assist governance oversight of breaches and how breaches are managed from a compliance standpoint. </li></ul>Embedding compliance culture within Beazley <ul><li>Provide compliance advice to BFL's businesses.</li><li>Develop understanding of Beazley's operations, customers and plans, and assist in developing and implementing various measures necessary for embedding compliance throughout Beazley. This includes creating and conducting training and drafting bulletins and communications.</li><li>Provide training to BFL Underwriting and claims staff on UK and Lloyd's topics. </li></ul>Compliance team <ul><li>Support the BFL General Advisory team and the BFL business with applicable regulatory knowledge and expertise. </li><li>Develop an understanding of UK and relevant international compliance matters and provide advice to the BFL business on relevant transactions including distribution initiatives.</li></ul><ul><li>Effectively build partnerships with internal 'customers'. Maintain a close working relationship with the business. </li></ul><ul><li>Following the business's implementation of regulatory advice, work with assurance functions on the applicability of new guidance. </li><li>Provide excellent customer service to the internal business and support teams so that all teams go to Compliance for support in ensuring they conduct their roles in a compliant fashion.</li></ul>Personal Specification: Skills and Abilities <ul><li>Excellent oral and written communication skills.</li><li>Demonstrated ability to build positive relationships with a wide range of stakeholders and with the assistance of the Compliance Officers and the Manager of the BFL General Advisory team, challenge, negotiate with, influence and persuade stakeholders.</li><li>Good research skills.</li><li>An understanding of the compliance concepts and the three lines of defence.</li><li>Ability to detect areas of improvement in current compliance processes. </li><li>Ability to determine, understand and analyse regulatory requirements and their impact on insurance.</li><li>Organisational skills and ability to work on multiple tasks.</li><li>Ability to work with and report to a global team.</li><li>Ability to investigate efficiencies and seek automation where applicable. </li></ul>Knowledge and Experience <ul><li>2 years' insurance experience in either the Lloyd's (preferable) or company market is a requirement.</li><li>Compliance experience and understanding of fundamental compliance concepts. </li><li>Experience working with overseas offices/ Lloyd's overseas compliance.</li><li>An interest in working on global distribution initiatives.</li><li>Keen understanding of 2nd line oversight principles</li></ul>Aptitude and Disposition <ul><li>Flexible</li><li>Energetic, enthusiastic and positive</li><li>Self-motivated</li><li>Collaborative, team player</li><li>Firm but diplomatic.</li><li>Friendly and approachable</li><li>Service focused.</li><li>Solutions focused.</li></ul>Competencies <ul><li>Team working</li><li>Detail oriented with ability to retain sight of the bigger picture.</li><li>Effective communicator, especially in writing</li><li>Analytical thinking</li><li>Problem Solver</li><li>Inquisitive</li></ul>

Compliance Officer - BFL General Advisory

Job Summary The Manager Laboratory Quality and Point of care is responsible for quality, compliance, and process improvement activities of the clinical laboratory areas. This position coordinates accreditation activities for laboratory services across the organization (Laboratory and Point of Care). Job Responsibilities <ul><li>Oversee quality control program and quality assurance program to ensure high quality diagnostic testing and all laboratory activities follow organization and regulatory agency standards.</li><li>Responsible for the quality activities of the clinical laboratory areas and coordination of accreditation activities for the laboratories at Riverview Health.</li><li>Oversee point of care sites across the organization and coordinate accreditation activities for testing performed outside the laboratory.</li><li>Develop and implement general lab policies and procedures and actively participate in the review of new and revised policies and procedures.</li><li>Develop audit tools and mechanisms for evaluation of workflow and productivity for efficiency and use quality metrics to improve laboratory services.</li><li>Ensure enrollment in proficiency testing across the organization commensurate with activities performed in each laboratory. (CLIA waived, CLIA non-waived, PPT)</li><li>Work with vendors and evaluate products to provide quality technical services.</li><li>Provide input to the budget process and proactively contribute to meeting the revenue and expense targets of the fiscal year department budget. May use technical consultants as needed to estimate cost of capital or other expenses.</li><li>Interview, hire, onboard, and manage the performance of direct reports. Effectively work with other Laboratory leaders, Human Resources, and other support areas as needed to establish departmental practices that maximize retention and drive performance to meet department and organizational goals.</li><li>Provide consistent, objective, and regular feedback to direct reports to ensure understanding and accountability and growth.</li><li>Participate in the development of effective teams across laboratory disciplines and motivate staff to work together toward common goals. Provide functional and professional growth opportunities through the identification and delivery of educational resources and training.</li><li>Work with Laboratory leadership and other teams across the organization to ensure quality, accreditation and compliance goals are met. Collaborate on improvement initiatives to ensure alignment with customer needs and the delivery of effective lab services.</li><li>Other duties as assigned.</li></ul>Education Requirements <ul><li>Minimum: Bachelor's degree in medical technology, or chemical, physical, or biological science from an accredited institution and have at least five years of laboratory training or experience, or both, in high complexity testing within the specialty with a minimum of six months experience in high complexity testing within the subspecialty. </li><li>Preferred: Master's degree in clinical laboratory science, Medical Technology, or Business Administration and ten years of laboratory training or experience, or both, in high complexity testing within the specialty with a minimum of six months experience in high complexity testing within the subspecialty. </li></ul>Experience Requirements <ul><li>Minimum: Five (5) years of experience in hospital laboratory setting. Laboratory testing (general lab), quality reporting, laboratory accreditation, phlebotomy, point of care, and management. Prior experience working in a position of oversight of an analytical or quality function of the laboratory with a strong understanding of regulation and compliance is required.</li><li>Preferred: Minimum plus three (3) years Quality Assurance/QC experience in hospital laboratory setting. Laboratory testing (general), quality reporting, laboratory accreditation, LIS administration and laboratory management, point of care testing and management, technical supervision of lab, Lean Six Sigma process improvement and implementation.</li></ul>License/Certification Requirements <ul><li>Minimum: MT (ASCP) registered or MLS certified. Must meet requirements for Technical Supervisor and Technical Consultant under CLIA 1988.</li></ul>Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Laboratory Quality and Compliance Manager

Job Description: At Ferring Pharmaceuticals, we help people worldwide build families and live better lives As a pharmaceutical and medical device manufacturer, we have ethical and legal obligations to patients, employees, healthcare professionals, and regulators. We are committed to conducting our business with integrity and ensuring compliance with industry standards. Ferring + You Join our Global Compliance Office (GCO), where we oversee healthcare compliance across Ferring through a robust and innovative approach. This is an opportunity to apply your technical expertise and ethical principles in a global role. As a Global Compliance Manager, you will lead and contribute to key projects focused on developing and enhancing the GCO. This role requires the right education, experience, and skills to drive effective compliance initiatives. Your Day at Ferring <ul><li>Stay informed on industry trends, emerging technologies, and best practices in compliance, monitoring, audits, and investigations.</li><li>Collaborate with GCO colleagues and other departments to implement effective compliance strategies.</li><li>Ensure compliance policies and procedures are properly documented, implemented, and communicated.</li><li>Develop and execute compliance monitoring programs to assess adherence to regulatory requirements and internal policies.</li><li>Support internal audits to evaluate compliance controls and identify potential risks.</li><li>Conduct and manage investigations into potential compliance violations, including gathering evidence, interviewing relevant parties, and documenting findings.</li><li>Prepare detailed reports for senior management, summarizing findings, preventive measures, and corrective actions.</li><li>Oversee corrective action implementation by working with relevant departments to ensure timely and effective resolution.</li></ul>This position will be based in Lisbon, Portugal. Behind Our Innovation - There's You <ul><li>Bachelor's degree in compliance, law, accounting, finance, or a related field.</li><li>At least 5 years in monitoring, auditing, or investigative processes (pharmaceutical or medical device industry preferred).</li><li>Strong analytical skills, attention to detail, and decision-making abilities.</li><li>Ability to work independently with minimal supervision and collaboratively within a team.</li><li>Understanding of compliance topics in the pharmaceutical and medical device industries (e.g., ABAC laws, regulatory frameworks, IFPMA/EFPIA/MedTech Code, FCPA, OECD).</li><li>Knowledge of digitalization and process automation.</li><li>Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).</li><li>Fluency in English (written and spoken) with strong communication skills for engaging with all levels of management.</li></ul>People come first at Ferring Our philosophy, People Come First, flows through every part of the business. We are entrepreneurial and innovative, with a global team focused on scientific advances in the areas of reproductive and women's health, gastroenterology, and urology. Ferring + You is all about working together and sharing ideas to bring science to life for patients worldwide. Our future is shaped by a science-driven approach, a passion to lead, and our need to collaborate and develop long-lasting relationships to ensure our focus remains on innovation. Behind our Purpose - There's you If our mission and your vision align, don't hesitate to apply! We strive to build and maintain an inclusive and diverse workplace with equal opportunities and mutual respect for all employees regardless of their backgrounds and socioeconomic status. "Note to agencies: this search is being managed by Ferring's Talent Acquisition team. Kindly do not send us spontaneous profiles." Location: Ferring Service Center Portugal

Global Compliance Manager

Are you looking for a team where your contributions truly matter? Do you thrive in a collaborative environment where success is shared, and support is constant? If you see laws and regulations as tools for driving progress and enjoy exploring new possibilities, we'd love to hear from you. Join a team that works hard, has fun, and is committed to growing together. WHAT YOU'LL DO <ul><li>Develop and gain a deep understanding of Optiver's trading operations from front to end, becoming the subject matter expert for the Compliance Department in relation to Optiver's FICC business.</li><li>Provide trading floor and regulatory advice to Optiver's Commodities, Fixed Income, and FX traders.</li><li>Draft policies and guidance on compliance matters applicable to the business.</li><li>Design and deliver training to relevant trading desks.</li><li>Review and assess business development initiatives and strategic projects accurately yet pragmatically to support controlled business growth.</li><li>Review and assess changes in the regulatory framework as applicable to the business.</li><li>Lead or contribute to inquiries from regulators and exchanges.</li><li>Support the surveillance teams in analysing and reviewing escalations and other internal investigations.</li><li>Maintain strong relationships with compliance team members and other global functions.</li><li>Assist in the preparation of regulatory filings, including responses to inquiries.</li></ul>WHAT YOU'LL GET Optiver's London office is the location of our foreign exchange and commodities trading business. You will be part of a well-established and high performing global firm whilst experiencing the excitement that comes from a growing operation. We offer a supportive environment for you to perform at your best. Some of our key benefits Include: <ul><li>Competitive remuneration;</li><li>27 paid vacation days plus all UK public holidays;</li><li>Daily Breakfast and lunch;</li><li>Support on commuting expenses;</li><li>ClassPass Fitness Membership;</li><li>Private Medical Insurance;</li><li>Pension scheme;</li><li>Training and continuous learning opportunities;</li><li>Access to conferences and Tech events;</li><li>International transfer opportunities.</li></ul>WHO YOU ARE <ul><li>6-7 years of advisory experience on the trading floor.</li><li>Experience in Commodities and FX, particularly in the energy and power sectors.</li><li>Familiarity with LME (London Metal Exchange), NDEX (REMIT regulation), ICE Futures Europe, and other exchanges (CME, ICE US).</li><li>Experience working within a global firm, demonstrating an understanding of cross-jurisdictional compliance.</li><li>Strong interpersonal skills and the ability to build trusted relationships.</li><li>A team player with a proactive and results-driven mindset.</li><li>A fast learner with the ability to make structured, quick decisions.</li><li>A strong work ethic and the ability to contribute to various areas within the Compliance team.</li><li>Excellent verbal and written communication skills.</li></ul>WHO WE ARE Optiver's story began over 30 years ago, when we started business as a single trader on the floor of Amsterdam's options exchange. Today, we are at the forefront of trading and technology as a leading global electronic market maker specialising in pricing, execution and risk management. Working together, our traders and software engineers design proprietary systems and execute strategies to provide liquidity and increase market efficiencies. We don't just meet industry standards we aim to set them! HOW TO APPLY Apply directly via the form below. If you have any questions please reach out to our Recruitment team via <a href="mailto:recruitment@optiver.uk" target="_blank">recruitment@optiver.uk</a> Please note: <ul><li>We cannot accept applications via email for data protection reasons.</li><li>We do not require any assistance from third-parties including agencies in the recruitment of this role</li></ul>DIVERSITY STATEMENT Optiver is committed to diversity and inclusion.

Senior Compliance Officer - FICC Trading Advisory

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice. Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system. Job Description: At Regions, the Business Unit Compliance Manager leads a team of first line of defense risk management experts that advise on business and/or product decisions. Associates at this level ensure that all compliance activities within their area of expertise follow the necessary rules and regulations, contribute to process change and redesign in addition to developing business plans, policies, and procedures to support a specific line of business. Primary Responsibilities <ul><li>Oversees small team of professional level compliance staff and compliance efforts for designated business unit</li><li>Manages a monitoring and testing program to ensure effective compliance with all applicable laws and regulations</li><li>Participates in discussions with business partners, communicating compliance testing plan, and reviews risks identified from testing</li><li>Supports business unit by collaboratively facilitating the development of processes and procedures to ensure regulatory compliance, including participation in team meetings, business process improvement efforts, and compliance improvement initiatives</li><li>Maintains knowledge of rules and regulations and their impact on products, services, and operations for a specific line of business</li><li>Develops policies and procedures to comply with federal regulations and applicable state laws</li><li>Provides guidance to various departments regarding compliance issues and implementation of new compliance requirements</li><li>Ensures timely, accurate, and appropriate submission of information requested by regulatory agencies</li><li>Assists in the development and execution of training programs to ensure adherence to established policies and procedures</li></ul>This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay. This position is incentive eligible. Requirements <ul><li>Bachelor's degree and seven (7) years of directly related experience, and three (3) years of management experience</li><li>Or High School Diploma or GED and eleven (11) years of directly related experience and three (3) years of management experience</li><li>Knowledge of legal and regulatory environment as it relates to compliance in a specific line of business</li></ul>Preferences <ul><li>Master's degree</li><li>Certified Regulatory Compliance Manager (CRCM)</li></ul>Skills and Competencies <ul><li>Ability to learn additional systems as needed</li><li>Ability to research, analyze data, and derive facts</li><li>Ability to supervise and manage a team</li><li>Ability to work under pressure and meet deadlines</li><li>Demonstrated leadership capabilities</li><li>Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook, etc.)</li><li>Strong verbal, written communication, and organizational skills</li><li>Strong work ethic and self-motivation</li></ul>This position must be within a reasonable driving distance to our Professional Office Building with the primary location being for Birmingham, AL, Atlanta, GA, Nashville, TN, or Charlotte, NC. This position is currently remote but may be asked to come onsite or sit onsite in the future. The manager will set the work schedule for this position, including in-office expectations. Regions will not provide relocation assistance for this position, and relocation would be at your expense. Position Type Full time Compensation Details Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job. The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position. Job Range Target: Minimum: $118,539.30 USD Median: $163,050.00 USD Incentive Pay Plans: This role is eligible to participate in the annual discretionary incentive plan. Employees are eligible to receive a discretionary award based on individual, business, and/or company performance.Opportunity to participate in the Long Term Incentive Plan. Benefits Information Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions. <ul><li>Paid Vacation/Sick Time</li><li>401K with Company Match</li><li>Medical, Dental and Vision Benefits</li><li>Disability Benefits</li><li>Health Savings Account</li><li>Flexible Spending Account</li><li>Life Insurance</li><li>Parental Leave</li><li>Employee Assistance Program</li><li>Associate Volunteer Program</li></ul>Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please click or copy the link below to your browser. <a href="https://www.regions.com/welcometour/benefits.rf" target="_blank">https://www.regions.com/welcometour/benefits.rf</a> Location Details Riverchase Operations Center Location: Hoover, Alabama Equal Opportunity Employer/including Disabled/Veterans Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.

280 Business Compliance Full time Jobs