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Compliance Manager, Compliance Advisory 22 Bishopsgate, London - Hybrid Permanent At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper. As a future Compliance Manager, you will report to our Senior Compliance Manager, and you will be part of AXA IM Global General Secretary. DISCOVER your opportunity To act as the UK Compliance Advisory specialist within AXA Investment Manager's UK regulated entities with a focus on Alternative (including Real Assets) and Prime expertise. Your role and responsibilities will include: <ul><li>Be the UK Compliance Advisory team representative for the Alternatives and Prime expertise in the UK covering Real Estate, Infrastructure debt, Infrastructure equity, private equity, private debt and hedge funds.</li><li>Provision of accurate and timely advice and training to the UK Regulated Entities to facilitate their adherence to UK Compliance policies and Global standards, focusing particularly on the front office investment management activities of the expertise.</li><li>Identify regulatory changes in relevant business area and effectively communicate these to the business.</li><li>Assist with the implementation of regulatory developments, working collaboratively with the business to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements.</li><li>Assist in projects to provide compliance analysis and review of new business initiatives and developments of AXA IM in the UK. </li><li>Build a close working relationship with Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.</li><li>Regularly attend expertise 1st line control committees, investment committees and produce and present relevant MI where required. </li><li>Preparation and completion of client reporting and regulatory reporting including filing a Form ADV with the SEC as AXA IM UK is registered with the SEC as an exempt reporting adviser.</li><li>Assist with the provision of information to clients, audit and / or regulators as need be.</li><li>Assist the Senior Compliance Advisory manager in leading the day-to-day activities of the Compliance Advisory Team including monitoring the advisory inbox, required sign-offs and approvals.</li><li>Assist and support the Senior Compliance Advisory manager in the maintenance, ongoing effectiveness and implementation of all compliance policies and procedures owned by the Compliance Advisory team.</li><li>As required, and in the absence of the Senior Compliance Manager participate in relevant governance committee meetings.</li><li>Provide management information to governance committees and senior management to demonstrate compliance with policies or to highlight issues and trends where appropriate.</li><li>Assist the Senior Compliance Advisory Manager in providing updates, assessments and escalation of issues as required to the UK Head of Compliance.</li></ul>SHARE your unique expertise We welcome different combinations of skills &amp; experiences. Your qualifications and experience: <ul><li>Relevant professional qualification would be preferable but not essential.</li><li>Significant proven Asset management experience largely gained in a Compliance function, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues.</li><li>Experience and knowledge of alternatives investment business including Real Assets, private equity, infrastructure, hedge funds, and private debt.</li></ul>Your knowledge and skills: <ul><li>Thorough understanding of the Investment Management business servicing both institutional and retail clients with a particular focus on alternative investments.</li><li>Technical regulatory expert (with previous experience) of Real Assets, Alternative and Private Equity Investment management regulation </li><li>The ability to build business relationships with senior stakeholders.</li><li>Effectively work with and challenge the business where required.</li><li>Excellent verbal and written communication skills with the ability to effectively communicate with all areas of the business.</li><li>Excellent problem-solving skills taking a collegial and collaborative approach. </li></ul>We would love to know more about you. Let's connect! Send us your resume. The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries. We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management. Our mission: To act for human progress by protecting what matter Our values: Customer first, Integrity, Courage and One AXA At AXA IM we are investing with a clear purpose - to make the world a better place. We act for human progress by investing for what matters. Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative and core asset classes. We are already entrusted by our clients with more than €887 billion in assets. AXA Investment Managers | Home | AXA IM Corporate (axa-im.com) AXA IM is an Equal Opportunity Employer, and we encourage candidates with disabilities or any other protected characteristic to apply. We are committed to providing reasonable accommodation to qualified applicants and employees with disabilities, when needed, to apply for a position or to perform essential job functions. Inclusion and Diversity | Careers | AXA IM Corporate (axa-im.com)

Compliance Manager, Compliance Advisory

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

Regulatory Compliance Manager

Company Description We're ASOS, the online retailer for fashion lovers all around the world. We exist to give our customers the confidence to be whoever they want to be, and that goes for our people too. At ASOS, you're free to be your true self without judgement, and channel your creativity into a platform used by millions. But how are we showing up? We're proud members of Inclusive Companies, are Disability Confident Committed and have signed the Business in the Community Race at Work Charter and we placed 8th in the Inclusive Top 50 Companies Employer list. Everyone needs some help showing up as their best self. Let our Talent team know if you need any adjustments throughout the process in whatever way works best for you. Job Description The Details The Compliance Manager will be integral to the ASOS Legal team. You will work closely with the Head of Data Privacy and Compliance and will have responsibility for ensuring the continued development, maintenance and management of the Global Compliance Program for ASOS. You'll help ASOS to take the next steps in its journey towards best-in-class governance, transitioning from start-up mode to a more mature operating environment. This is an exciting time to join a dynamic, fast paced, and ambitious company with plenty of opportunity to make your mark. What You'll be Doing <ul><li>Working with the Head of Data Privacy and Compliance to mature and deliver the Global Compliance Framework for ASOS - aiming to make compliance simple for ASOSers. </li><li>Reviewing ASOS' compliance requirements and identifying improvement areas as remediation activities.</li><li>Developing and refining policies in connection to existing and upcoming relevant regulatory compliance requirements. Working cross functionally to design and embed a policy update process and policy management framework.</li><li>Horizon scanning to ensure the business is prepared for future regulatory changes.</li><li>Maintaining appropriate training and communication programmes to help embed the Compliance Framework within the business and ensure consistent understanding of key compliance policies and procedures.</li><li>Working cross functionally with key stakeholders across People Experience (PX), Legal, Data Protection and Co-Sec to manage a robust Compliance and Ethics programme on the areas of Anti-Bribery and Corruption (ABC), Code of Conduct, Declaration of Interest, and Whistleblowing.</li><li>As a senior internal business partner, building collaborative relationships to drive the compliance agenda and business maturity forwards. </li><li>Acting as an independent advisor and business partner - a critical friend to help the business achieve its vision and objectives.</li><li>Working with emerging second line functions to present an aligned approach to compliance, finding efficiencies from working together where possible.</li><li>Responsible for following up on agreed actions and driving through change.</li><li>If required, assisting the Data Privacy team.</li><li>Supporting our culture by driving Diversity, Equity &amp; Inclusion strategies.</li></ul>Qualifications About You <ul><li>Excellent stakeholder management and communication skills with the flexibility and agility to work within a fast paced, ever-changing business and risk landscape.</li><li>Strong cross functional communication and influencing skills.</li><li>A diverse compliance technical background.</li><li>Strong understanding of Financial Crime regulation, Sanctions regulation and Consumer Credit</li><li>Experienced in conducting ad-hoc investigations as required.</li><li>E-commerce and/or retail experience.</li><li>Experience building a team, leading in-house compliance.</li><li>A thought "leader" with respect to risk management, governance, compliance and internal control best practice.</li><li>Someone who wants to make a difference and is excited by opportunity to grow.</li></ul>Additional Information BeneFITS' <ul><li>Employee discount (hello ASOS discount!) </li><li>ASOS Develops (personal development opportunities across the business) </li><li>Employee sample sales </li><li>Access to a huge range of LinkedIn learning materials </li><li>25 days paid annual leave + an extra celebration day for a special moment </li><li>Discretionary bonus scheme </li><li>Private medical care scheme </li><li>Flexible benefits allowance - which you can choose to take as extra cash, or use towards other benefits </li></ul>Why take our word for it? Search #InsideASOS on our socials to see what life at ASOS is like.

Compliance Manager

Role Overview We're currently looking to appointan experienced Compliance Manager to join our Richmond or Sevenoaksoffice. The successful candidate will be the key point of contact to guide, support and ensure the lettings division is compliant with: HMO Licensing, Cladding &amp; MEES. Click here to download the full job specification. Please ensure you read this before applying. Requirements: <ul> <li> Qualifications: ARLA Propertymark Technical Award as a minimum</li> </ul><ul> <li>5 years + experience working in the lettings industry</li> </ul>What we offer you: <ul> <li>Career and Professional Development</li> </ul><ul> <li>25 Days Annual Leave</li> </ul><ul> <li>Life Assurance</li> </ul><ul> <li>Private Medical Scheme</li> </ul><ul> <li>Virtual GP</li> </ul><ul> <li>Global Mobility Scheme</li> </ul><ul> <li>Rewards Platform</li> </ul><ul> <li>Company Pension Scheme</li> </ul><ul> <li>Enhanced Incremental Annual Leave</li> </ul>Find out more about Savills offer Recruitment agencies Savills only pay agency fees where we have a signed agreement in place and that agency has been previously contacted and directed by a member of our recruitment team. We do not pay agency fees when speculative and unsolicited CVs are submitted to Savills or any of our employees other than via our careers website and through our recruitment process. If this is not adhered to, agency fees will not be paid. Submission of any unsolicited CVs or proposals to Savills will be deemed evidence of full and unlimited acceptance of this approach. Business area Residential Sales and Lettings Role Residential Lettings Locations Church Road, Richmond, Sevenoaks Contract Type Permanent, Full time Remote Status This role offers some working from home Salary Competitive

Company Description Legal &amp; General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us - from Hong Kong and Singapore, to Chicago and major European financial hubs. Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers - which include individual savers, pension scheme members and global institutions - and deliver enhanced shareholder returns. Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners. Job Description We're recruiting for a Compliance Manager (Surveillance)to join us. We're offering acompetitive base salary and good benefits package. What you'll be doing: <ul><li>Providing high quality compliance surveillance support to L&amp;G Asset Management's regulated entities</li><li>Leading investigations into adverse conduct and ensuring practices are inline with regulations and risk appetite</li><li>Remining up to date on emerging regulations and developing, implementing and enhancing additional surveillance scenarios in response to this</li><li>Designing and implementing new mitigating actions to reduce risks</li><li>Production of clear and concise MI for boards, committees and team meetings</li><li>Analysing compliance data, incorporating new data sets, and implementing new tests to continuously develop the Compliance Surveillance Plan</li></ul>Qualifications Who we're looking for: <ul><li>Experience of working at the Regulator or an Asset Manager in a compliance surveillance role</li><li>Strong understanding of the relevant FCA regulations</li><li>Strong working knowledge of any of the following desks: Global Trading, Active Equity or Fixed Income, Multi-Asset, Money Market, Index &amp; ETF</li><li>Experience of analysing large stets of data and using systems like SQL and Python to manipulate data</li><li>Proficient with trade surveillance systems</li></ul>Whatever your role, we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer: <ul><li>The opportunity to participate in our annual, performance-related bonus plan and valuable share schemes </li><li>Generous pension contribution </li><li>Life assurance </li><li>Private medical insurance (permanent employees only) </li><li>At least 25 days holiday, plus public holidays, 26 days after 2 years' service. There's also the option to buy and sell holiday </li><li>Competitive family leave </li><li>Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice </li><li>There are the many discounts we offer - both for our own products and at a range of high street stores and online </li><li>In 2023, some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart </li></ul>Additional Information Legal &amp; General is a leading financial services group and major global investor, named Britain's Most Admired Company in 2023, for the second year running. Rated top in our sector and top for inspirational leadership, we have a strong heritage and an exciting future. We aim to build a better society for the long term by investing our customers' money in things that make life better for everyone. If you join us, you'll be part of a welcoming culture, with opportunities to collaborate with people of diverse backgrounds, views and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel. We strive to be open, mindful and inclusive, so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs. If you're open to find out more, we'd love to hear from you. Videos To Watch <a href="https://youtu.be/8ZYGBwImH08" target="_blank">https://youtu.be/8ZYGBwImH08</a> <a href="https://www.youtube.com/watch?v=ZBOaxOH1C2c" target="_blank">https://www.youtube.com/watch?v=ZBOaxOH1C2c</a> <a href="https://youtu.be/YwHNjdPbbkk" target="_blank">https://youtu.be/YwHNjdPbbkk</a>

Asset Management Compliance Manager (Surveillance)

Working with Us Challenging. Meaningful. Life-changing. Those aren't words that are usually associated with a job. But working at Bristol Myers Squibb is anything but usual. Here, uniquely interesting work happens every day, in every department. From optimizing a production line to the latest breakthroughs in cell therapy, this is work that transforms the lives of patients, and the careers of those who do it. You'll get the chance to grow and thrive through opportunities uncommon in scale and scope, alongside high-achieving teams rich in diversity. Take your career farther than you thought possible. Bristol Myers Squibb recognizes the importance of balance and flexibility in our work environment. We offer a wide variety of competitive benefits, services and programs that provide our employees with the resources to pursue their goals, both at work and in their personal lives. Read more: careers.bms.com/working-with-us Responsible for supporting the Vice President, Compliance &amp; Ethics identify &amp; implement operational &amp; programmatic efficiencies across European Markets. Support the Compliance Heads of BMS France &amp; Germany manage key programmatic compliance operations in France &amp; Germany, with a particular focus on education, strategic communications, culture of Integrity programs and digital monitoring activities. KEY RESPONSIBILITIES • Identify &amp; manage European Markets C&amp;E team operational efficiencies. • Support data and information gathering to support in-market and across market advisory activities. • Manage development, enhancement and promotion of BMS' Integrity Culture programs and other compliance culture programs in European Markets. • Manage/conduct transactional monitoring and analytics activities in consultation with the market compliance heads to ensure appropriate identification and remediation of compliance risk exposures. • Manage development or revision of market specific compliance education curriculums, courses, materials or just-in-time communications for European Markets. • Manage development of market Compliance Committee agendas, materials and general administration of the compliance committees in consultation with the market compliance heads. • Support European Market risk assessment activities and periodic internal audit activities, including support of BMS France's annual Sapin II Compliance program activities. REQUIREMENTS • 5 years minimum experience in a pharmaceutical compliance role. • Effective communicator and trainer with a demonstrated ability to support multiple elements of a comprehensive compliance program. • Strong strategic-thinking skills with an ability to identify and recommend process improvements and best practices. • Ability to prioritize and manage multiple projects under deadline pressure with flexibility to work on a broad range of matters. • Experience with France and/or German pharmaceutical industry laws, regulations and codes strongly preferred. • Language requirements: English: Fluency required If you come across a role that intrigues you but doesn't perfectly line up with your resume, we encourage you to apply anyway. You could be one step away from work that will transform your life and career. Uniquely Interesting Work, Life-changing Careers With a single vision as inspiring as "Transforming patients' lives through science™ ", every BMS employee plays an integral role in work that goes far beyond ordinary. Each of us is empowered to apply our individual talents and unique perspectives in an inclusive culture, promoting diversity in clinical trials, while our shared values of passion, innovation, urgency, accountability, inclusion and integrity bring out the highest potential of each of our colleagues. On-site Protocol BMS has a diverse occupancy structure that determines where an employee is required to conduct their work. This structure includes site-essential, site-by-design, field-based and remote-by-design jobs. The occupancy type that you are assigned is determined by the nature and responsibilities of your role: Site-essential roles require 100% of shifts onsite at your assigned facility. Site-by-design roles may be eligible for a hybrid work model with at least 50% onsite at your assigned facility. For these roles, onsite presence is considered an essential job function and is critical to collaboration, innovation, productivity, and a positive Company culture. For field-based and remote-by-design roles the ability to physically travel to visit customers, patients or business partners and to attend meetings on behalf of BMS as directed is an essential job function. BMS is dedicated to ensuring that people with disabilities can excel through a transparent recruitment process, reasonable workplace accommodations/adjustments and ongoing support in their roles. Applicants can request a reasonable workplace accommodation/adjustment prior to accepting a job offer. If you require reasonable accommodations/adjustments in completing this application, or in any part of the recruitment process, direct your inquiries to <a href="mailto:adastaffingsupport@bms.com" target="_blank">adastaffingsupport@bms.com</a>. Visit careers.bms.com/eeo-accessibility to access our complete Equal Employment Opportunity statement. BMS cares about your well-being and the well-being of our staff, customers, patients, and communities. As a result, the Company strongly recommends that all employees be fully vaccinated for Covid-19 and keep up to date with Covid-19 boosters. BMS will consider for employment qualified applicants with arrest and conviction records, pursuant to applicable laws in your area. Any data processed in connection with role applications will be treated in accordance with applicable data privacy policies and regulations. Bristol Myers Squibb is Disability Confident - Employer A UK Government scheme

Compliance Manager, European Markets

Company Description Legal &amp; General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us - from Hong Kong and Singapore, to Chicago and major European financial hubs. Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers - which include individual savers, pension scheme members and global institutions - and deliver enhanced shareholder returns. Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners. Job Description We're recruiting for a Compliance Manager (Surveillance)to join us. We're offering acompetitive base salary and good benefits package. What you'll be doing: <ul><li>Providing high quality compliance surveillance support to L&amp;G Asset Management's regulated entities</li><li>Leading investigations into adverse conduct and ensuring practices are inline with regulations and risk appetite</li><li>Remining up to date on emerging regulations and developing, implementing and enhancing additional surveillance scenarios in response to this</li><li>Designing and implementing new mitigating actions to reduce risks</li><li>Production of clear and concise MI for boards, committees and team meetings</li><li>Analysing compliance data, incorporating new data sets, and implementing new tests to continuously develop the Compliance Surveillance Plan</li></ul>Qualifications Who we're looking for: <ul><li>Experience of working at the Regulator or an Asset Manager in a compliance surveillance role</li><li>Strong understanding of the relevant FCA regulations</li><li>Strong working knowledge of any of the following desks: Global Trading, Active Equity or Fixed Income, Multi-Asset, Money Market, Index &amp; ETF</li><li>Experience of analysing large stets of data and using systems like SQL and Python to manipulate data</li><li>Proficient with trade surveillance systems</li></ul>Whatever your role, we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer: <ul><li>The opportunity to participate in our annual, performance-related bonus plan and valuable share schemes </li><li>Generous pension contribution </li><li>Life assurance </li><li>Private medical insurance (permanent employees only) </li><li>At least 25 days holiday, plus public holidays, 26 days after 2 years' service. There's also the option to buy and sell holiday </li><li>Competitive family leave </li><li>Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice </li><li>There are the many discounts we offer - both for our own products and at a range of high street stores and online </li><li>In 2023, some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart </li></ul>Additional Information Legal &amp; General is a leading financial services group and major global investor, named Britain's Most Admired Company in 2023, for the second year running. Rated top in our sector and top for inspirational leadership, we have a strong heritage and an exciting future. We aim to build a better society for the long term by investing our customers' money in things that make life better for everyone. If you join us, you'll be part of a welcoming culture, with opportunities to collaborate with people of diverse backgrounds, views and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel. We strive to be open, mindful and inclusive, so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs. If you're open to find out more, we'd love to hear from you.

Company Description Evelyn Partners is the UK's leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities and businesses. We provide an award-winning service for our clients by employing the best people. Join us on our mission to place the power of good advice into more hands because we believe that everyone deserves access to good advice, regardless of where they're at in their financial journey. An exceptional track record of growth and innovation is driven by our core values of: Personal, offering advice based on a true understanding of what matters to our clients; Partnership, working with our clients in a joined-up, collaborative way; and Performance, demonstrating a breadth and depth of advice expertise to deliver first-class results. Read more about us and available career opportunities here: Wealth, accountancy and business advisory services / Evelyn Partners Careers / Evelyn Partners Why Evelyn Partners London? Our team operates from the Evelyn Partners head office, fostering collaboration among 1,600 colleagues in a modern environment. We prioritise audit quality through regular training sessions and social events to encourage best practice sharing and teamwork. Additionally, our office is divided into smaller pastoral care teams to foster relationships and ensure a supportive culture, emphasising wellbeing. Job Description Reporting to the function Head, provide regulatory input to support delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the Group's business model and strategy. Key Responsibilities <ul><li>Regulatory horizon scanning<ul><li>Conduct the identification, analysis , monitoring &amp; evaluation of Financial Services regulatory pronouncements which impact on the activities of Evelyn Partners business.</li><li>Produce management information and written communications for Working Groups, Committees &amp; Boards.</li></ul></li><li>Support regulatory change implementation<ul><li>Developing and maintain implementation plans.</li><li>Serve on relevant interest groups, working parties and committees.</li><li>Prepare packs for Regulatory Developments led meetings and taking minutes where required.</li></ul></li><li>Support the design and implementation of Evelyn Partners compliance learning programme<ul><li>Consult with compliance policy owners on how learning interventions should be designed and delivered.</li><li>Working with the Learning &amp; Development function and compliance colleagues, design and deliver. engaging and high-impact learning solutions via multiple platforms e.g. recorded learning, webinars, workshops, etc.</li><li>Develop and update training materials, ensuring they are appropriate, technically accurate, fit for purpose and meet the business needs.</li></ul></li><li>General<ul><li>Assist the function maintain up-to-date departmental procedures.</li><li>Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.</li></ul></li></ul>Qualifications Key Skills and Experience <ul><li>Good knowledge and understanding of relevant FS Wealth Management regulatory requirements, including FSMA 2000 / FCA rulebook</li><li>Experience of working in the wealth management compliance sector</li><li>Good inter-personal skills, judgement and decision-making ability, and a determined and proactive approach</li></ul>Professional Qualifications and Education <ul><li>Educated to Degree level</li><li>Relevant regulatory qualifications an advantage</li></ul>Additional Information As a colleague here at Evelyn Partners, you will have access to benefits that include: <ul><li>Competitive salary</li><li>Private medical insurance</li><li>Life assurance</li><li>Pension contribution</li><li>Hybrid working model (role dependant)</li><li>Generous holiday package</li><li>Option to purchase additional holiday</li><li>Shared parental leave</li></ul>We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we're delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment. We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

Compliance Officer

Description Guernsey - Head of Compliance Role Location: Guernsey, Channel Islands (Relocation required) Department: Complian ce Employment Type: Permanent, Full Time Subject areas : Regulatory Compliance and Financial Crime Compliance across both fund administration and management company business Role Summary The Guernsey Head of Compliance will act as the resident Compliance lead for the Guernsey-based Apex Group entities covering both Regulatory Compliance and Financial Crime Compliance. The role holder will assume a number of prescribed roles (MLRO/MLCO) and work closely with the Compliance functions in each entity, across each business line, and report to Group as appropriate . Key Responsib ilities <ul><li> To promote an efficient and effective approach to managing Compliance and regulatory related tasks across the Apex Group affiliates in Guernsey which are involved with fund administration and management company businesses; </li><li>Create, implement and roll-out of applicable Compliance and Financial Crime Compliance related policies and policy guidance </li><li>Draft reports to Group, Senior Executives and Boards as required </li><li>Promoting a culture of compliance and adherence to applicable rules and standards across the Campus </li><li>Providing an escalation point for disclosures, concerns and unusual activity </li><li>Completing appropriate training and helping to design staff training and awareness, promoting high staff completion rates across the Campus </li><li>Own the material, regulatory matters, including thematic inspections </li><li>Own relevant KPIs across the Apex Group's 1 st and 2 nd lines of defence, seeking to address any deficiencies in a timely manner </li><li>Own an effective Compliance Monitoring Program; promoting a consistent Guernsey approach and standard where possible </li><li>Monitoring adoption of, and compliance with, relevant legislation and local requirements </li><li>Ensuring robust data privacy controls are in place and that Compliance has processes in place to manage local incidents, per the relevant Group Policy; </li><li>Own the overall relationship of the Apex Group with the Guernsey Financial Services Commission ; </li></ul> Other Responsib ilities <ul><li> Assisting with other duties to support the Group and Regional Compliance functions as may be necessary from time to time </li><li>Positive engagement with Risk, Legal, IT and business departments to ensure Group and local issues are being effectively dealt with and progressed through to completion</li><li>Overseeing the closure of Internal Audit and External Audit action items as relevant</li><li>Attending Board Meetings, Risk Committee and Management meetings as required </li><li>Ensuring there are adequate processes in place for monitoring and testing the effectiveness of systems and controls </li><li>Contributing to IT and system initiatives and projects which may impact the Compliance Framewor k </li><li>Maintain an open dialogue and channel of communication with regional/jurisdictional Compliance staff </li><li>Support the Global Head of Compliance with general Compliance-, regulatory- and Financial Crime-related m atters </li><li>Keep up to date with developments in relevant laws, regulations and best practices</li><li>Providing advice and direction to support planned acquisitions and mergers </li><li>Contributing to various working group and steering committees </li><li>Sharing concerns or identified deficiencies to senior executives as appropriate </li><li>Contributing to the creation of a culture of risk awareness and the highest standards of corporate go vernance </li><li>Review new product and business initiatives and evaluate the impact on the relevant risks</li></ul>

Head of Compliance Guernsey

Description Guernsey - Head of Compliance Role Location: Guernsey, Channel Islands (Relocation required) Department: Compliance Employment Type: Permanent, Full Time Subject areas: Regulatory Compliance and Financial Crime Compliance across both fund administration and management company business Role Summary The Guernsey Head of Compliance will act as the resident Compliance lead for the Guernsey-based Apex Group entities covering both Regulatory Compliance and Financial Crime Compliance. The role holder will assume a number of prescribed roles (MLRO/MLCO) and work closely with the Compliance functions in each entity, across each business line, and report to Group as appropriate. Key Responsibilities <ul><li>To promote an efficient and effective approach to managing Compliance and regulatory related tasks across the Apex Group affiliates in Guernsey which are involved with fund administration and management company businesses; </li><li>Create, implement and roll-out of applicable Compliance and Financial Crime Compliance related policies and policy guidance </li><li>Draft reports to Group, Senior Executives and Boards as required </li><li>Promoting a culture of compliance and adherence to applicable rules and standards across the Campus </li><li>Providing an escalation point for disclosures, concerns and unusual activity </li><li>Completing appropriate training and helping to design staff training and awareness, promoting high staff completion rates across the Campus </li><li>Own the material, regulatory matters, including thematic inspections </li><li>Own relevant KPIs across the Apex Group's 1st and 2nd lines of defence, seeking to address any deficiencies in a timely manner </li><li>Own an effective Compliance Monitoring Program; promoting a consistent Guernsey approach and standard where possible </li><li>Monitoring adoption of, and compliance with, relevant legislation and local requirements </li><li>Ensuring robust data privacy controls are in place and that Compliance has processes in place to manage local incidents, per the relevant Group Policy; </li><li>Own the overall relationship of the Apex Group with the Guernsey Financial Services Commission; </li></ul>Other Responsibilities <ul><li>Assisting with other duties to support the Group and Regional Compliance functions as may be necessary from time to time </li><li>Positive engagement with Risk, Legal, IT and business departments to ensure Group and local issues are being effectively dealt with and progressed through to completion</li><li>Overseeing the closure of Internal Audit and External Audit action items as relevant</li><li>Attending Board Meetings, Risk Committee and Management meetings as required </li><li>Ensuring there are adequate processes in place for monitoring and testing the effectiveness of systems and controls </li><li>Contributing to IT and system initiatives and projects which may impact the Compliance Framework </li><li>Maintain an open dialogue and channel of communication with regional/jurisdictional Compliance staff </li><li>Support the Global Head of Compliance with general Compliance-, regulatory- and Financial Crime-related matters </li><li>Keep up to date with developments in relevant laws, regulations and best practices</li><li>Providing advice and direction to support planned acquisitions and mergers </li><li>Contributing to various working group and steering committees </li><li>Sharing concerns or identified deficiencies to senior executives as appropriate </li><li>Contributing to the creation of a culture of risk awareness and the highest standards of corporate governance </li><li>Review new product and business initiatives and evaluate the impact on the relevant risks</li></ul>

Job summary The post holder will develop, implement and maintain sponsor oversight management systems, including audits plans, to assure the quality of clinical research sponsored or co-sponsored by GSTT is in accordance with prevailing legislative and best practice requirements, including Good Manufacturing Practice, Good Laboratory Practice principles, the UK Policy for Health and Social Care, ICH Good Clinical Practice as defined in the Medicines for Human Use (Clinical Trials) Regulations (as amended from time to time), the Human Tissue Act, the Data Protection Act and the Mental Capacity Act. Main duties of the job You will be an experienced ICH-GCP research auditor, who is an expert in sponsor oversight management systems (e.g. audit plans, monitoring, trial committees, research databases, risk-assessments) who will further develop the quality management systems of clinical research sponsored or co-sponsored by GSTT. To do this you will be knowledgeable of research funding, approvals process and the regulations of clinical trials in the UK. As a research audit lead the post-holder will work autonomously and collaborate with other QA and clinical trial management professionals, across the trust, university and KHP Clinical Trials Office. Working in a complex organisation with multiple partners and competing pressures, you must be able to influence change, negotiate and act with diplomacy to improve quality standards. About us This is a dynamic, lively and diverse department with a high- level of research activity who look forward to welcoming a new Quality Assurance expert in our team. This is a part-time job: 0.8 WTE (30 hours or 4 days a week). We are open to flexible working arrangements such as compressed hours in line with the Trust Flexible working policy. However, the post-holder will be required to work in the R&amp;D office at Guy's hospital a minimum of one day a week and as a senior member of the R&amp;D office may on occasions be required to attend more frequently to support the team and when conducting on-site audits. The R&amp;D office on the 16th Floor Guy's Tower will work across all hospital sites within the organisation and across KCL campuses. The post-holder will be required to visit other UK research sites and organisations e.g. CTUs and labs to conduct on-site audits. Job description Job responsibilities The post-holder will develop, implement and maintain a clinical trial and GCP audit and monitoring programme, improving the R&amp;D Quality Management System (QMS) with a particular focus on studies that are sponsored/co-sponsored by GSTT. This will include risk-assessments at grant stage and supporting the R&amp;D sponsorship team of risk management during the set-up process. Responsibilities will include incident and breach management, CAPA, the establishment of sponsor oversight mechanism for third-parties e.g. selected CTUs and vendors, report and SOP and guidance document writing. Along with in-depth technical knowledge about clinical trials, ICH-GCP and their regulations, the post-holder will have experience in trial monitoring and/or GCP auditing, change-management and be a skilled influencer who will collaborate with professionals at all levels including senior clinical investigators, KHP CTO, R&amp;D clinical trials management platform, KCL RMID and RGO research delivery managers and staff and the wider R&amp;D office. This is an exciting opportunity to promote and lead quality research culture across a complex organisation. Job description Job responsibilities The post-holder will develop, implement and maintain a clinical trial and GCP audit and monitoring programme, improving the R&amp;D Quality Management System (QMS) with a particular focus on studies that are sponsored/co-sponsored by GSTT. This will include risk-assessments at grant stage and supporting the R&amp;D sponsorship team of risk management during the set-up process. Responsibilities will include incident and breach management, CAPA, the establishment of sponsor oversight mechanism for third-parties e.g. selected CTUs and vendors, report and SOP and guidance document writing. Along with in-depth technical knowledge about clinical trials, ICH-GCP and their regulations, the post-holder will have experience in trial monitoring and/or GCP auditing, change-management and be a skilled influencer who will collaborate with professionals at all levels including senior clinical investigators, KHP CTO, R&amp;D clinical trials management platform, KCL RMID and RGO research delivery managers and staff and the wider R&amp;D office. This is an exciting opportunity to promote and lead quality research culture across a complex organisation. Person Specification Qualifications Essential <ul> <li>Educated to at least degree level preferably in a related subject area, e.g. a life science or clinical subject</li> <li>Evidence of ICH GCP Audit and Monitoring Training</li> </ul> Desirable <ul> <li>Computer Systems Validation qualification</li> </ul> Experience Essential <ul> <li>Monitoring and auditing, co-ordination or managing clinical trials to GCP in pharmaceutical company, contract research organisation, NHS or academic setting.</li> <li>Risk and incident management experience in the NHS or pharmaceutical industry environment</li> <li>Experience of managing a team</li> </ul> Desirable <ul> <li>Experience of research across a range of therapeutic areas including first in human and phase I, device trials</li> </ul> Skills, Knowledge &amp; Abilities Essential <ul> <li>Strong ability to build successful relationships, influence and collaborate in a cross functional team and maintain a positive work environment with GST and KCL colleagues</li> <li>Ability to communicate complex information to members of the team and groups of health service staff</li> <li>Strong ability to problem solve</li> </ul>Person Specification Qualifications Essential <ul> <li>Educated to at least degree level preferably in a related subject area, e.g. a life science or clinical subject</li> <li>Evidence of ICH GCP Audit and Monitoring Training</li> </ul> Desirable <ul> <li>Computer Systems Validation qualification</li> </ul> Experience Essential <ul> <li>Monitoring and auditing, co-ordination or managing clinical trials to GCP in pharmaceutical company, contract research organisation, NHS or academic setting.</li> <li>Risk and incident management experience in the NHS or pharmaceutical industry environment</li> <li>Experience of managing a team</li> </ul> Desirable <ul> <li>Experience of research across a range of therapeutic areas including first in human and phase I, device trials</li> </ul> Skills, Knowledge &amp; Abilities Essential <ul> <li>Strong ability to build successful relationships, influence and collaborate in a cross functional team and maintain a positive work environment with GST and KCL colleagues</li> <li>Ability to communicate complex information to members of the team and groups of health service staff</li> <li>Strong ability to problem solve</li> </ul>Disclosure and Barring Service Check This post is subject to the Rehabilitation of Offenders Act (Exceptions Order) 1975 and as such it will be necessary for a submission for Disclosure to be made to the Disclosure and Barring Service (formerly known as CRB) to check for any previous criminal convictions. Certificate of Sponsorship Applications from job seekers who require current Skilled worker sponsorship to work in the UK are welcome and will be considered alongside all other applications. For further information visit the . From 6 April 2017, skilled worker applicants, applying for entry clearance into the UK, have had to present a criminal record certificate from each country they have resided continuously or cumulatively for 12 months or more in the past 10 years. Adult dependants (over 18 years old) are also subject to this requirement. . Additional information Disclosure and Barring Service Check This post is subject to the Rehabilitation of Offenders Act (Exceptions Order) 1975 and as such it will be necessary for a submission for Disclosure to be made to the Disclosure and Barring Service (formerly known as CRB) to check for any previous criminal convictions. Certificate of Sponsorship Applications from job seekers who require current Skilled worker sponsorship to work in the UK are welcome and will be considered alongside all other applications. For further information visit the . From 6 April 2017, skilled worker applicants, applying for entry clearance into the UK, have had to present a criminal record certificate from each country they have resided continuously or cumulatively for 12 months or more in the past 10 years. Adult dependants (over 18 years old) are also subject to this requirement. . Employer details Employer name Guy's and St Thomas' NHS Foundation Trust Address Guy's hospital Great Maze Pond, London SE1 9RT Employer's website

R&D Auditor and Research Compliance Manager

Basic information Job Name: Compliance Manager Location: London Line of Business: Legal &amp; Compliance Job Function: Investment Professionals Date: Thursday, September 26, 2024 Position Summary To manage key elements of Carlyle's London-based compliance program and support the compliance team's further development and implementation of the regulatory compliance platform. The Compliance Manager will undertake responsibility for management of ongoing monitoring, surveillance and reporting together with significant compliance projects from time to time. This individual will be responsible for components of reorganization or acquisition projects, creating new processes, implementing new compliance plans and researching new regulations potentially becoming the compliance team point person on specific regulatory areas. The Manager will be required to interact closely with investment professionals and investor relations professionals to support their activities. In particular, the Manager will work on preparing procedures and processes for new business areas undertaken by the firm. The Manager needs to be highly motivated with excellent analytical and drafting skills with the ability to communicate clearly and use initiative. Responsibilities Manage and develop regulatory compliance program relating to the businesses, regulated entities, employees, and advisory clients including: <ul><li>Manage compliance monitoring process and recommend and implement changes to keep program current; </li><li>Support drafting of various compliance risk assessments and completion of risk reviews including as part of the ICARA process and also in relation to financial crime; </li><li>Contribute to the development and drafting of compliance policies and procedures, including as a result of new UK and European regulations, and implement new compliance plans; </li><li>Support business reorganization or acquisition projects including management of key workstreams for these projects and creation of new processes as necessary; </li><li>Coordinate compliance engagement with auditors and external compliance consultants during annual audit and review processes; </li><li>Prepare research and analysis on upcoming regulatory changes, make recommendations for action and potentially become the point person on specific regulatory areas; </li><li>Oversee testing including on restricted lists, information barriers, market abuse and best execution; </li><li>Complete regulatory application forms, notifications and preparation of period regulatory reporting; </li><li>Assist in managing the compliance review of marketing materials including liaison with investor relations professionals; </li><li>Liaise with Luxembourg AIFMD team on AML, due diligence, marketing and other matters; </li><li>Oversee preparation of management information for senior management; </li><li>Monitor compliance with relevant bribery and money laundering laws and regulations; </li><li>Monitor compliance with relevant sanctions legislation in the UK; </li><li>Research possible internal policy violations identified and recommend corrective action; </li><li>Provide staff compliance training at orientation, as part of the SMCR process and other ad hoc training; </li><li>Manage day-to-day staff compliance requests and questions such as in relation to personal account dealing, gifts and entertainment, and outside business interests; </li><li>Oversee organisation and maintenance of compliance books and records; and </li><li>Fulfil other duties as assigned. </li></ul>Qualifications Education &amp; Certificates <ul><li>Bachelor's Degree; </li><li>Legal qualification and/or other professional qualification beneficial. </li><li>Professional Experience </li><li>Minimum 6-7 years of experience in a compliance role at a private equity fund, hedge fund or other asset management firm, law firm, compliance consulting firm or investment bank; </li><li>Knowledge of UK and EU compliance requirements, including rules and guidance in the FCA Handbook and the various relevant EU regulations and directives (knowledge desirable regarding some or all of SMCR, CCO, IFPR, AIFMD, UK MiFID, SFDR, MAR, GDPR, EMIR); </li><li>Experience working for a US-based firm useful; </li><li>Knowledge of the financial services industry.</li></ul>Competencies &amp; Attributes <ul><li>Highly motivated; </li><li>Strong organisational and project management skills; </li><li>High technical proficiency in analytical and presentational software; </li><li>Excellent drafting skills with attention to detail; </li><li>Ability to communicate and present clearly; </li><li>Ability to use initiative, think independently and seek solutions while being a team player. </li></ul>Company Information The Carlyle Group (NASDAQ: CG) is a global investment firm with $435 billion of assets under management and more than half of the AUM managed by women, across 606 investment vehicles as of June 30, 2024. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 2,200 professionals operating in 29 offices in North America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense &amp; government services, consumer &amp; retail, energy, financial services, healthcare, industrial, real estate, technology &amp; business services, telecommunications &amp; media and transportation. At Carlyle, we value diversity as a key driver of performance and success. Our CEO, Harvey Schwartz, has stated that, "To build better businesses and create value for all of our stakeholders, we are focused on assembling leadership teams with the strongest insights from a range of perspectives." Our aim is to cultivate a community where insights are continually exchanged and different perspectives are embraced. We recognize that diverse teams perform better and we are dedicated to leveraging diversity as a competitive advantage at Carlyle.

Aareon is the leading provider of SaaS solutions for the European property industry. With our software, we digitise and connect the industry and support our clients in optimising processes and acting more sustainably. Our solutions address the major challenges of our time: climate change, housing shortage and skills shortage. We value a working environment in which diversity and flexibility are appreciated, cooperation in partnership and mutual support in the team are a matter of course and learning is perceived as an opportunity. Become part of our international team! Become part of #OneAareon! We are looking forward to meeting YOU! Salary Range: £35,000 - £40,000 DOE Work Location: Home Based Hours per week: 37.5 Contract type: Permanent As a critical member of the organisation's governance structure, the Compliance Officer is expected to proactively reduce compliance risks and ensure that our organisation adheres to ethical standards, laws, and industry regulations. This will be achieved by prevention of improper conduct of vendors, employees and partners by developing, implementing and enforcing compliance standards and policies. Key objectives of this role <ul><li>Developing, implementing and enforcing procedures and policies to ensure the organisation's compliance with industry and government regulations, (including ISO 27001/14001/9001 where appropriate)</li><li>Consistent risk assessments to recognise areas where the company might be vulnerable to non-compliance.</li><li>Working with all other departments in the UK operations to ensure quality and information security are embedded within the DNA of everything we do.</li></ul>Responsibilities <ul><li>Manage and distribute our Quality Management, Environmental and Data Management and Security strategies and controls across the organisations and external stakeholders as required.</li><li>Implementing governance controls, reviews and employee awareness systems and training for Data Protection, Security, Quality and Environmental Assurance Standards.</li><li>Manage and report non-compliance with Legislation, Regulation and Standards by providing detailed analysis on data management, protection, quality and environmental related matters.</li><li>Manage risks of non-compliance through ensuring potential risks are identified, mitigated where possible, and demonstrably addressed with key members of the leadership and operational service team members. This includes our data protection breach and incident management reporting process - applying learning outcomes to mitigate future risks appropriately.</li><li>Ensure the company is compliant with the relevant ISO standards and guidelines</li><li>Perform risk assessments and compliance audits to understand risk level, significance and scope</li><li>Monitor compliance with laws, regulations and internal policies</li><li>Interpret and communicate regulatory changes, ensuring that your findings are recorded and reported to management</li><li>Champion compliance best practice and contribute to robust and effective compliance controls within the organization</li></ul>Required skills and qualifications <ul><li>Demonstrable experience in compliance and risk management.</li><li>Experience in conducting audits and investigations and providing relevant feedback and corrective action recommendations</li></ul><ul><li>Excellent communication and analytical skills</li><li>Excellent Stakeholder management</li><li>Critical problem-solving skills as you'll often have to make decisions based on the information available, which may be open to interpretation</li><li>Strong written, verbal and presentation skills to communicate technical information to non-technical audiences</li><li>Negotiation and influencing skills</li><li>Attention to detail as you will be examining laws and regulations and checking compliance</li></ul>

Finance Compliance Officer

About us Founded in 2018, we are one of the largest independent, fully vertically integrated omnichannel payments companies in the UK and Europe. We help businesses receive payments either through POS systems (the ones you tap your card on) or online. Recently listed in the top 50 fintech start-ups by Beauhurst. We raised £100 million through Alchemy and currently process over £1.2bn a month, servicing over 60,000 customers across the UK &amp; Europe. DNA is made up of nine subsidiaries (and counting), DNA Payments, 123Send, Optomany, Opto KZ, Active Payments, EFT Solutions, Kwalitas, FPMS and Card Cutters. There are 350 of us across our head office in London, regional offices in the UK and Kazakstan. We are growing quickly and are on the lookout for the very best talent to help us achieve our mission; to be a Pioneering Payments Provider, Powering businesses to thrive. Job Summary: The Risk &amp; Compliance Officer will be responsible for ensuring DNA Payments adheres to regulatory requirements while managing and mitigating operational risks (from a 2nd line of defence perspective). This role will play a pivotal part in safeguarding the business, ensuring compliance with legal and industry standards, and maintaining the integrity of our operations. You will report to the Director of Risk and Compliance, working closely with various departments to ensure our risk management processes are robust and effective. Key Responsibilities Risk Management: <ul> <li>Identify, assess, and monitor operational risks across the company, focusing on areas such as payments processing, data protection, fraud prevention, and cybersecurity.</li> <li>Develop and implement risk mitigation strategies and frameworks to reduce exposure to operational risks.</li> <li>Conduct regular risk assessments and audits to ensure compliance with regulatory and internal policies.</li> <li>Work closely with teams to create a culture of risk awareness and provide training on risk management best practices.</li> <li>Ensure management and effectiveness of the Business Risk Appetite of DNA Payments</li> </ul>Compliance Oversight: <ul> <li>Ensure compliance with all relevant regulations, including FCA, PSD2, GDPR, AML, and other financial regulations applicable to the fintech and payments sector.</li> <li>Maintain and update compliance policies, ensuring they align with changes in regulations and business activities.</li> <li>Liaise with regulatory bodies and external auditors, managing relationships and responding to inquiries.</li> <li>Lead the development and maintenance of compliance monitoring programs, including regular testing and reporting.</li> </ul>Operational Risk: <ul> <li>Monitor and assess operational risks arising from business processes, technology systems, and third-party providers.</li> <li>Collaborate with other teams to ensure risk controls are integrated into daily business practices.</li> <li>Analyse incidents, near misses, and trends to identify opportunities for improvement.</li> <li>Provide recommendations to enhance the operational risk framework, including contingency planning and crisis management.</li> </ul>Reporting &amp; Documentation: <ul> <li>Prepare regular reports for senior management on risk and compliance metrics, highlighting key issues and recommendations.</li> <li>Maintain thorough documentation of risk assessments, compliance audits, and regulatory communications.</li> <li>Support in the development of risk management and compliance training programs for employees. Qualifications &amp; Experience </li> </ul><ul> <li>Bachelor's degree in Finance, Law, Business, or related field. Master's degree or professional certification (e.g., ICA, CISI, or IRM) is a plus.</li> <li>4+ years of experience in risk management, compliance, or operational risk within the financial services or fintech industry.</li> <li>Strong understanding of FCA regulations, PSD2, GDPR, AML, and operational risk management frameworks.</li> <li>Experience with payment systems, cybersecurity, and data protection.</li> <li>Excellent analytical skills with the ability to assess and mitigate risks effectively.</li> <li>Strong communication skills, with the ability to liaise with both internal and external stakeholders. Skills &amp; Attributes </li> </ul><ul> <li>Detail-oriented and organized, with a focus on accuracy.</li> <li>Ability to work independently and manage multiple priorities in a fast-paced environment.</li> <li>Strong problem-solving skills and a proactive approach to risk management.</li> <li>Collaborative team player, with the ability to influence and educate others on risk and compliance matters. What's in it for you? </li> </ul>You'll work with a collaborative team and join a fast-growth fintech where you'll get the chance to learn and develop, and if that's not enough, you also receive the following benefits. - 25 days holiday per year -Private Medical -Life Assurance -Ride to work -Access to self-learning platform -Bookboon -Income Protection -Workplace Pension -Employee Assistance Programme Educate, Discover &amp; Inspire At DNA Payments, we believe that diversity drives innovation and inclusion fosters creativity. We are committed to building a team that represents a variety of backgrounds, perspectives, and skills. We celebrate and promote an inclusive environment where all employees feel valued, respected, and empowered. Join us in creating a workplace that reflects the diverse world and customers we serve. Should you require any reasonable adjustments throughout the interview process, please make us aware. Department Risk Locations London Remote status Hybrid Remote

Risk And Compliance Officer

On average it takes 5 minutes to apply for this role. Kick-start your career in the online gaming world and experience the very latest in technology and innovation. Do you see yourself as one of those "out-of-the-box thinkers", "Technical masterminds", "Outstanding creatives", or "Mind-boggling number crunchers"? If so, we want to welcome you to the Betway family and celebrate what makes you unique! Our global customer base is exploding and we need your skills to support us on this exciting journey! Don't look back and submit your application before the opportunity passes you by.. Who we are We're part of Super Group, the NYSE-listed digital gaming company behind some of the world's leading Sports and iGaming brands. At Betway, we're driven by our shared vision to become the global leader in the online sports betting and casino industry. Our people are forward-thinking team-players who thrive on a collective diversity of skills and backgrounds. Founded in 2006, our teams in Guernsey, London, Malta, Germany, Portugal and Spain are constantly expanding and evolving. Who we're looking for We're on a thrilling journey of growth and innovation, and we need passionate, driven individuals to join us. At Betway, every day is action-packed, and we expect you to bring your A-game. In return, you'll find a supportive environment where your skills can flourish and your career can soar. Ready to become a game-changer? Supercharge your career with us and be part of something extraordinary. Why we need you We're on a mission to create extraordinary experiences for our customers, and we believe that your unique skills, passion and superdrive will help us achieve our vision. As a Regulatory Compliance Manager you'll be supporting the delivery of all day-to-day duties concerning the regulated market(s) assigned to you and general business requirements, including ensuring that Betway meets its reporting obligations. What you'll be doing As part of your role, your responsibilities will include: <ul><li>Developing a solid knowledge base of legislation, regulations and technical documents</li><li>Assisting with ensuring Betway is compliant with applicable regulations by providing the business with advice and support</li><li>Carrying out a programme of monitoring for compliance risks</li><li>Compilation, maintenance and submission reports, returns and notifications as required to meet the expectations of regulators</li><li>Management and oversight of the Betway website(s)</li><li>Supervision and management of change controls</li><li>Liaising and maintaining close working relationships with third party companies involved in the operations of Betway's licences</li><li>Assisting in ad hoc duties as and when required</li></ul>This job description is not intended to be an exhaustive list of responsibilities. You may be required to complete other reasonable duties in order to achieve business objectives. Essential skills you'll bring to the table The necessary skills that we require for this role include: <ul><li>Strong verbal and written communication skills, with the ability to convey complex ideas clearly and effectively</li><li>Experience working collaboratively in cross-functional teams, with a focus on achieving shared goals</li><li>Expertise in managing multiple projects simultaneously, with a track record of delivering on time and within scope</li><li>Exceptional attention to detail, ensuring high standards of quality in all outputs</li><li>Ability to adapt quickly to changing environments and priorities, maintaining effectiveness in dynamic situations</li><li>Exceptional English language skills - both written and verbal</li><li>Knowledge of legislative frameworks and regulation of the online gambling industry, specifically Great Britain</li><li>Experience in gambling regulatory compliance</li><li>Strong organisational and prioritisation skills with the ability to manage a high volume of tasks</li><li>Ability to maintain a high level of confidentiality and discretion</li><li>Ability to think out of the box, proactively investigate and resolve problems efficiently</li></ul>Desirable skills you've got up your sleeve It would be great if you also have some of the following skills: <ul><li>In-depth knowledge of sports betting markets, including odds calculation, betting types and market trends</li><li>Previous experience in the online gaming or casino industry, with a strong understanding of player behaviour and industry regulations</li><li>Familiarity with gambling regulations and compliance requirements in various jurisdictions, ensuring adherence to legal standards</li><li>Experience in developing and executing customer retention strategies</li><li>A second European language such as Spanish or German</li><li>Experience of working in a process driven environment</li><li>Compliance qualifications by ICA</li></ul>Our values are non-negotiables Our culture is underpinned by core values that are linked to key behavioural competencies. Along with the below behavioural competencies, these are essential for all employees in order for you to embed in and drive our culture forward. These competencies are: <ul><li>Adaptability</li><li>Ownership and accountability</li><li>Initiating action</li><li>Resilience</li><li>Team orientation</li><li>Integrity</li><li>Innovation</li></ul>What you'll get back We offer a great variety of personal and professional benefits to help you thrive at Betway and Super Group. This includes: <ul><li>We're dedicated to your supergrowth. Our comprehensive learning and development programmes give you a range of resources and opportunities to expand your skills and advance your career.</li><li>Your hard work and achievements won't go unnoticed. Our innovative Performance Tool ensures you receive regular, constructive feedback, helping you to continuously improve and reach your full potential.</li><li>Our Employee Assistance programme offers a variety of benefits which you and your family can benefit from.<ul><li>Vitality Health Care</li><li>Unum Dental</li><li>Life Assurance &amp; Income Protection</li><li>Tusker car scheme</li><li>Cycle to Work</li><li>Retail discounts</li></ul></li></ul>Be part of that Superclass feeling. At Super Group, diversity is part of our DNA. With teams across 17 countries, 85 nationalities, and 30 languages, we take equal opportunities seriously, championing a supportive, inclusive and empowering environment wherever you are in the Group. It's all about putting your experience first and ensuring honesty and fairness in all we do. Here, your growth is supported and your contributions valued. Game on! Should you not hear from us within 2 weeks, please assume your application has not been successful.

Hi, We're Sayer Vincent and we're not your typical audit firm! We've been around for quite a while... established in 1983 by three accountants committed to social justice they saw the need for dedicated specialist audit and advice for charities and social purpose organisations. Our company is growing and adapting but we're pleased to say out founding ethos is still a drive at the firm to this day. We make charities become more effective at what they do - which in turn helps their beneficiaries. So, if you are passionate about causes, working for us would be right up your street! We really value what every individual brings to our business and believe our people are the most important part. Providing a supportive culture where everyone can learn, develop and grow whilst really understanding what they bring to the business. About your role Reporting to the Head of Change and Operations sitting within the wider operational team the Audit Compliance Officer supports Sayer Vincent in its delivery of a high-quality service by assisting the technical (audit) teams with adherence to Quality, Auditing and Ethical standards. Some of the key aspects of the role are: <ul><li>Ensure that the firm's technical team comply with and enhance our existing system of our Quality Management.</li><li>Performing key audit quality monitoring activities and updating the monitoring and evaluation calendar.</li><li>Reporting results from monitoring activities to the Leadership Team</li><li>Perform root cause analysis on issues identified during Quality Review activities and determine which output actions are required, such as technical training or audit process changes.</li><li>Produce quarterly monitoring reports for review and sign off by the Technical Partner</li><li>Chair Technical Group and coordinate internal technical training updates, agreeing topics and liaising with SMEs to deliver training</li><li>Encourage the adoption and implementation of new systems, new technology &amp; drive the continuous improvement of practices, procedures and controls already in place</li><li>Establish and maintain positive working relationships with all key stakeholders, including team, clients and Partners</li></ul>This role is not limited to the above-mentioned tasks. As Sayer Vincent continues to grow and develop, from time to time you may be required to engage with and have involvement in other tasks. About you You will need to understand the fundamentals of accounting, compliance and training to be successful within this role. Essential experience <ul><li>Compliance reporting to a regulated body</li><li>Translating technical content into a digestible format for an audience with mixed abilities</li><li>Experienced in MS Office experience, including Excel and Word</li><li>Familiar with and able to navigate and interpret International Standards on Auditing (ISAs), International Standards on Quality Management (ISQM1 and ISQM2), The Financial Reporting Council's Ethical Standard and Financial Reporting Standard (FRS) 102 (Charities Statement of Recommended Practice would be desirable).</li><li>Awareness of Companies Act and financial reporting requirements relating to our client base would also be beneficial, but not essential (can be learned if they have base knowledge of FRS 102).</li></ul>Desirable experience and qualifications <ul><li>Professional and positive approach</li><li>High level of integrity and ethical conduct.</li><li>Proactive and willingness to learn.</li><li>Problem-solving and continuous improvement mindset</li><li>Well-developed organisation and time management skills, with the ability to multitask and prioritise</li><li>Excellent written and verbal communications skills</li><li>Developing training plans and materials</li><li>Ability to build strong and productive working relationships with the internal Sayer Vincent Team and external stakeholders.</li><li>A keen eye for detail and accuracy with pride in the job at hand.</li></ul>If this sounds like you, we'd be keen to hear from you and look forward to reviewing your application. Salary 43-47k Dependant on experience

Audit Compliance Officer

Description This role has a starting salary of £29,697 per annum, based on a 36 hour working week. This is a 12 month fixed term contract/secondment opportunity. We are excited to be hiring a Purchase to Pay Compliance Officer (P2P) to join our fantastic P2P Team. This role is within Surrey's Finance and Purchasing Service, who manage the transactional elements of the groups core processes covering; income, banking, debt recovery, payments, orders, customer data and query handling via a helpdesk. This role is based at Dakota House in Weybridge. This is a hybrid role split between home and office working. Office attendance is 1 to 2 days a week, which may increase during periods of training. Rewards and Benefits <ul><li>26 days' holiday (prorated for part time staff), rising to 28 days after 2 years' service and 30 days after 5 years' service</li><li>Option to buy up to 10 days of additional annual leave</li><li>An extensive Employee Assistance Programme (EAP) to support health and wellbeing</li><li>Up to 5 days of carer's leave per year</li><li>Paternity, adoption and dependants leave</li><li>A generous local government salary related pension</li><li>Lifestyle discounts including gym, travel, shopping and many more</li><li>2 paid volunteering days plus 1 team volunteering day per year</li><li>Learning and development hub where you can access a wealth of resources</li></ul>About the Role The Purchase to Pay (P2P) team consists of P2P Compliance, the Payment Team and Data Operations. Collectively the team manage the process from setting up suppliers, ordering through to payment. The team are responsible for supporting internal customers with their purchasing requirements, ensuring ease of purchase and compliance and managing customer records. This is a small team where flexible working and prioritisation is key. As the Purchase to Pay Compliance Officer, you will provide advice and support to Surrey's purchasing community, with particular regard to their different purchasing needs and aiming to meet or exceed their requirements and expectations. Day to day duties include: <ul><li>Raising requisitions within defined guidelines</li><li>Carrying out compliance checks</li><li>Managing supplier and customer data</li><li>Fraud prevention</li><li>Cost centre creation</li><li>Providing internal customer support and advice</li></ul>Shortlisting Criteria To be shortlisted to interview for this position your application must clearly evidence: <ul><li>Excellent written and oral communication skills</li><li>Ability to establish strong working relationships with both fellow colleagues and customers</li><li>Great IT skills, in particular with Outlook, Word and Excel</li><li>Experience in a data entry environment</li></ul>We are seeking a team player with high attention to detail, excellent customer service skills and a great communicator to fulfill this important role. Contact Us Please contact us for any questions relating to the role. This could be to discuss flexible working requests, transferable skills or any barriers to employment. For an informal discussion please contact Emma Pope, F&amp;P Operations Manager by e-mail at e <a href="mailto:mma.pope@surreycc.gov.uk" target="_blank">mma.pope@surreycc.gov.uk</a> . The job advert closes at 23:59 on 13th October 2024 with interviews to follow. We look forward to receiving your application, please click on the apply online button below to submit. Our Values Our values are as important as our abilities and shape who we are as an organisation. Discover more about our values . Before submitting your application, we recommend you read the job description. Our Life at Surrey handbook also attached provides insights of the culture at Surrey and how as a valued employee, you can help shape our Council. Our Commitment Surrey County Council is proud to be a Disability Confident Employer. A guaranteed interview will be offered to all disabled applicants where: <ul><li>The candidate has evidenced the minimum criteria for the role through their application </li><li>The candidate has chosen to share that they have a disability on the application form </li></ul>Our application form and onboarding process will provide an opportunity to request any reasonable adjustments for the interview and/or the role. We want to be an inclusive and diverse employer reflecting the community we serve and particularly welcome applications from all underrepresented groups. Files to download <ul> <li> Purchase to Pay Compliance Officer - Job Description (PDF) </li> <li> Life at Surrey Handbook (PDF) </li> </ul>Back Apply online

Purchase to Pay Compliance Officer

<ul> <li> Email </li> </ul>As part of our Global Risk Management Group, this team represent the Compliance Governance and Frameworks team in London primarily supporting EMEA and the Americas. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility This role will give you the opportunity to own multiple compliance material risk frameworks and ensuring that updates are made in a timely manner and ongoing evidencing is performed. You will lead the compliance involvement in the Legal Entity Working Group, Legal Entity RCSA (Risk and Control Self-Assessment) Reviews, Compliance RCSA Input and involvement in the Management Representation Letter. You will also manage critical requests for compliance frameworks in region and route queries to the appropriate channels and support regional projects across Risk Management Compliance. What you offer Press space or enter keys to toggle section visibility <ul><li>Ability to represent Risk Management Group Compliance Governance and Frameworks in the location </li><li>Must have prior experience of banking or financial services, preferably Compliance, Operational Risk or Audit </li><li>Demonstrated ability to manage ongoing ad hoc requests, queries and issues appropriately with attention to detail and deadlines </li><li>Ability to work in a virtual global team, and manage cross-border relationships effectively </li><li>Strong stakeholder and relationship management skills </li><li>Strong written and verbal communication skills </li><li>Experience in analysing data using excel or other data analysis tools</li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About the Risk Management Group Press space or enter keys to toggle section visibility In our Risk Management Group, you will be part of an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. Our divisions include Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Prudential Risk, and Risk Management Group Central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

Senior Compliance Manager -12 month fixed term contract

What you'll do The role supports Vodafone Business within Vodafone Group, focusing on two main areas: managing the Compliance framework (policy, training, monitoring) and the Anti-Bribery programme. Vodafone Business delivers a broad range of products and services to global customers. <ul> <li>Compliance Framework: <ul> <li>Manage Vodafone Business's Policy governance, including the Policy portal.</li> <li>Oversee the rollout of mandatory "Doing What's Right" training and monitor completion.</li> <li>Establish strong stakeholder relationships, particularly with the Vodafone Business Head of Legal and Compliance and maintain consistent compliance communications.</li> <li>Collaborate with the control testing team to develop a control testing plan and report results.</li> </ul> </li></ul><ul> <li>Anti-bribery Programme: <ul> <li>Act as a subject matter expert, providing advice and guidance on Anti-bribery matters, including third party risk management.</li> <li>Ensure effective implementation of the Anti-bribery programme across Vodafone Business.</li> <li>Conduct risk assessments and provide regular reports on bribery-related risks.</li> <li>Engage senior stakeholders to drive Anti-bribery programme implementation.</li> </ul> </li></ul>Who you are <ul> <li>Sound technical knowledge of the UK Bribery Act and FCPA.</li> <li>Experience in implementing compliance frameworks, risk management and third party assessments.</li> <li>Strong communication, organizational, and stakeholder management skills.</li> <li>Proactive and self-motivated.</li> <li>Qualifications:</li> <li>Previous experience in a compliance role</li> <li>Compliance &amp; Ethics qualifications (e.g., ICA, SCCE) is desirable.</li></ul>Not a perfect fit Worried that you don't meet all the desired criteria exactly? At Vodafone we are passionate about Inclusion for All and creating a workplace where everyone can thrive, whatever their personal or professional background. If you're excited about this role but your experience doesn't align exactly with every part of the job description, we encourage you to apply as you may be the right candidate for this role or another role, and our recruitment team can help you see how your skills fit in. What's in it for you We want you to feel happy and fulfilled at work, without compromising the other things in life that matter to you. There are lots of ways we support this, including hybrid working and generous parental leave. You'll also get four Spirit Days a year to focus on your personal development and wellbeing, plus a host of other great benefits too. <ul> <li>Discretionary yearly bonus: 10%</li> <li>Annual leave: 28 days + bank holidays + the opportunity to buy/sell/carry over 5 days/year</li> <li>Charity days: 5 days/year</li> <li>Maternity/adoption leave: 52 weeks out of whichthe first 13 weeks are fully paid followed by 26 weeks of half pay and 6 months - working 4 days, getting paid 5</li> <li>Paternity leave: 16 weeks fully paid</li> <li>Private pension: You can contribute up to 5% of your basic pay with 2:1 matching from Vodafone up to 10%.</li> <li>Access to: private medical, private dental, free health assessments, share save scheme</li> <li>Additional discounts: Vodafone retail, gym, cinema, cycle to work, season ticket loan</li></ul>Who we are

Vodafone Business Compliance manager

Let's care for tomorrow. Your ambitions. Your dreams. Your tomorrow Whether it's aircraft, international business or offshore wind parks, Allianz Commercial has an extensive range of risks covered when it comes to protecting businesses. We are looking for a Global Head of Compliance (m/f/d), preferably based in Munich, Germany. Alternatively London or Zürich. Your Team At Allianz Commercial, we are committed to providing our clients with customer-centric insurance solutions while maintaining the highest ethical standards. We are seeking a highly experienced Global Head of Compliance to join our leadership team and ensure full compliance with all relevant laws, regulations, and internal policies. You will report to the Chief Financial Officer (Board Member) and functionally to the Allianz Group Chief Compliance Officer. You are part of CFO Management Team and lead 8 direct reports, with a total of ~25 employees in the business unit. You collaborate closely with the Legal department. The Impact You Will Have The Global Head of Compliance will be responsible for overseeing the Compliance framework, managing regulatory risks, and ensuring that the company's policies and practices are aligned with the legal and regulatory environment in the insurance/reinsurance industry. You will work closely with the Business Units, the Board of Management, the governance functions and Group Compliance to create a strong compliance culture across the organization. You will act as a trusted partner to the business and demonstrate your high integrity, personal commitment to ethical practices, transparency, and trustworthiness. Some of your specific responsibilities could include: <ul> <li>Lead the development, implementation, and maintenance of the company's Compliance Programs to ensure adherence to all applicable insurance laws, regulations, and guidelines in multiple local jurisdictions. </li> <li>Identify potential compliance risks and implement proactive strategies to mitigate them, including risk assessments, reviews, control assessments and investigations. </li> <li>Establish and maintain company-wide policies and procedures to promote legal and ethical behaviour and to protect the company's reputation. </li> <li>Ensure timely reporting and updates to regulators, the Board of Management, the Audit and Risk Committee and Group Compliance. </li> <li>Develop and manage comprehensive training programs globally to promote a Compliance-oriented mindset across all departments. </li> <li>Collaborate with Group Compliance on Compliance Programs, projects and developments. </li> <li>Foster a culture of ethical behaviour and transparency, promoting Compliance with the company's code of conduct and corporate governance standards. </li> <li>Lead, mentor, and develop the Compliance team, ensuring high performance and professional growth. </li></ul>What You'll Bring to the Role <ul> <li>The successful candidate will be a strategic and hands-on leader, committed to driving compliance excellence and ensuring the team's success in a complex, regulated environment. </li> <li>Other competencies will help you succeeding in the role: </li> <li>Outstanding organizational and communication skills, with the ability to convey complex information clearly and confidently to diverse audiences. </li> <li>Recognized interpersonal and leadership skills, cultivating trust-based relationships and fostering a collaborative team culture. </li> <li>Extensive experience in the compliance, audit, legal or governance function within the P&amp;C insurance market, with a deep understanding of the regulatory landscape, market environment, and related processes, in multiple jurisdictions. </li> <li>In-depth knowledge of insurance laws and regulations, as well as governance and risk management frameworks. </li> <li>Familiarity with compliance management software, regulatory reporting tools, and data analytics systems to monitor compliance activities and risks. </li> <li>Proven track records in leading change projects. </li> <li>Master or PhD in Law (LLM, JD), Economics or Risk Management. Professional certifications in compliance (e.g., Certified Compliance &amp; Ethics Professional (CCEP), Certified Insurance Compliance Professional (CICP), or similar) are highly desirable. </li> <li>Fluent in English; an additional language will be beneficial (German, French, Spanish). </li></ul>What's in it for you? Let's care about everything that makes you, you We are committed to nurturing an inclusive environment where everyone feels they belong. We offer a hybrid working model, which recognizes the value of striking a balance between in-person collaboration and remote working. Please feel free to discuss flexible working arrangements with us. Let's care for your financial wellbeing We believe in rewarding performance with a great compensation and benefits package (details vary by location), including a generous bonus scheme and pension. Let's care for your opportunities to progress From career development and digital learning programs to international career mobility, we offer lifelong learning for our employees worldwide and an environment where innovation, delivery and empowerment are fostered. Let's care for life's twists and turns From our support for flexible working, health and wellbeing (including private healthcare and generous parental leave benefits), to helping people return from career breaks with experience that nothing else can teach. We've got your back. Let's care for our society and our planet With opportunities to be engaged in shaping a future that is safe, inclusive and sustainable, we care for the tomorrows of our people, our industry and our clients. Care to join us? Allianz Commercial is the Allianz Group brand serving the world's largest consumer brands and major industry players through to family-owned enterprises forming the backbone of nations' economies. We bring together the corporate multinational business of Allianz Global Corporate &amp; Specialty and the commercial business of national Allianz Property &amp; Casualty entities and provide both traditional and alternative risk transfer solutions, outstanding risk consulting and Multinational services as well as seamless claims handling. As a key strategic player in the Allianz Group network, Allianz Commercial is present in over 200 countries and in 2022 generated more than €19 billion gross premium. Learn more about careers at Allianz Commercial by clicking here. Learn more about Allianz Commercial by clicking here. Allianz is an equal opportunity employer, and therefore welcomes applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability, sexual orientation or any other protected characteristic. Diversity of thinking is an important part of our culture. People with disabilities: We want to give all our candidates the best opportunity to succeed. If you need any adjustments to be made during the application and selection process, please email <a href="mailto:agcsglobalcareers@allianz.com" target="_blank">agcsglobalcareers@allianz.com</a> Recruitment Agencies: Allianz Commercial has an in-house recruitment team, which focuses on sourcing great candidates directly. Allianz Commercial does not accept unsolicited resumes from agency or search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired. When we do use agencies, we have a PSL in place, so please do not contact managers directly.

Global Head of Compliance (m/f/d)

Company purpose: Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. Our employer promise is built around three pillars: • Being a great place to work • Committed to sustainability and having a positive impact • Being dedicated to the development of our people Business area CIB UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in assessing compliance related regulatory requirements and adhering to internal policies and controls as well as with external rules and managing compliance risks. The function typically acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training &amp; competence, market integrity and protections of clients, whistleblowing, anti-money laundering &amp; combating the financing over terrorise (AML/CFT). The Private Side, Control Room, CIB2S &amp; Functions team provides compliance oversight, support and advisory in the UK to the Private Side businesses, Functions Advisory, and Securities Service advisory. Functions Compliance Advisory's supports BNPP London Functions with: • Providing compliance advice on Market Integrity, Protection of Clients Interests, Professional Ethics risks related to their activities. • Business Lines and Functions compliance risks related to Third Party Risk Management, Digital and Innovation initiatives. • Providing training to London Branch's Function staff on relevant regulations and Compliance policies and policies • Occasionally supporting investigations of suspected breaches of laws, regulations and standards Job purpose To provide Compliance advice, support and oversight to the BNP Paribas CIB Corporate Functions in adhering to applicable regulations and internal policies as well as supporting in assessing and mitigating compliance risks including in the context of BL and Functions Third party risk management as well as in Digital and Innovation projects. Key responsibilities • Acting as a senior Compliance Advisor guiding and supporting London Branch Functions on Compliance risks, Compliance mitigants, conditions or actions in relation to regulations, policies and procedures on Functions owned governances or processes (mainly ITO) impacting UK CIB activities. • Lead on Compliance risk assessment reviews of digital innovation and technology projects impacting the London branch. • Support autonomously the London Branch Functions in key processes and governances where Compliance is required to provide "Checks and Challenge"; such as RCSAs, Incidents management, regulatory notifications or reports submission as well as ensuring awareness on Compliance related policies and regulatory developments impacting London Branch Functions, • Support Functions and BLs in a solution-oriented manner/as an enabler where projects require complex advice considering Compliance constraints with Business/functions needs, will be involved in the engagement with the Local Functions' Governance /committees (e.g ITO Committees, LB Outsourcing committees, LB Resilience Committees) and where / when necessary, challenge and contribute by providing Compliance related updates valuable for the function and coordinating effectively with Compliance CIB and/or Central stakeholders, • Support UK Compliance Function COO Office with Compliance advisory expertise on TPRM and Digital/AI related projects/BAU as they apply to the UK Compliance Function, ensuring that UK regulatory specificities/constraints are articulated in an efficient and smooth way with Group and or CIB requirements. • Produce and or review of Compliance reporting and MI for governance and control Committees as required. • Drive an awareness of Compliance regulatory requirements and conduct risk within the Functions, including Compliance risks related to Technology, Cyber security and Operational Resilience. • Design and deliver targeted, bespoke, topical training sessions on relevant rules, regulations, or best practices. • Assist the Head of Functions Compliance conducting regulatory gap analysis and risk assessments to identify any material weaknesses, or control gaps; developing recommendations to remediate, and ensuring changes are executed in efficient, effective and timely manner. • Support the rollout of new or updated policies, procedures and controls. • Provide in real time, decisions and judgements relating to queries raised in line with the compliance advisory in decision making process. • Ensure intervention on own initiative when necessary. Ensure escalation or referral of issues and problems in a speedy and efficient manner with own opinion provided when possible. • Display confidence and autonomy and maturity when interacting with Function or business stakeholders including management and acts in a solutions-oriented manner/enabler where required. • Develop and maintain positive working relationship with other CIB or Central Compliance counterparts to ensure consistency and a collaborative approach in the opinions provided still taking into account UK specificities. • When necessary, support autonomously on Compliance related investigations upon ad-hoc request of Compliance management. Requirements • Knowledge and Technical skills include: - Strong experience in Financial Services' Compliance (Professional qualification appreciated) - Robust experience/ understanding of or quick capacity to learn on Systems, Digital projects and Artificial Intelligence • Experience within Functions (e.g IT, RISK) appreciated. Good knowledge of 360 is a plus. • Knowledge and experience of providing advice to functional areas or a business line. • Good general knowledge of Regulatory requirements and Compliance policies and procedures to support including on complex questions. • Capacity to manage change and innovation. • Excellent analytical skills with the ability to translate technical concepts and provide specialist guidance and advice to others. • Experience of designing and delivering face-to-face training. • Excellent written and oral English skills to articulate technical issues and effectively communicate with individuals across the business. • Computer literacy and a good understanding of relevant specialist Compliance software. • Proficiency on Microsoft 365 pack including on PPT and Excel (intermediate level required) • Soft skills expected will require capacity to lead, influence, problem solving as well as critical thinking for the check and challenge. • Ability to deliver change / Result driven mindset. • Ability to manage, facilitate a meeting, seminar, training, • Ability to manages relationships with key stakeholders across the business, as well as acting as a team leader to members of the business unit. And of course, we expect all our colleagues to embody and practice the Group values (alignment with the Bank's strategy, commitment, work ethic, integrity and Code of Conduct). A bit more about why you should join us 1. We're a great place to work We aim for optimal work/life balance (depending on role, this includes hybrid working, flexible working and agile) We are proud of our award-winning flexible benefits and health &amp; wellbeing strategy. Our flexible benefits include: • Generous holiday allowance of at least 26 days (plus bank holidays) with option to buy and sell holidays. • Valuable financial plans a 12% non-contributory pension which has been moved to sustainable investments*, life assurance*, income protection and personal accident insurance. • Extensive wellbeing and mental health offering one of the most advanced private medical schemes in the UK, dental cover, wellbeing app, Cognitive Behavioural Therapy support, subsidised gym memberships, bespoke health assessments including genetic testing, Private GP (including digital GP services to parents of employees), Employee Assistance Programme, menopause &amp; fertility support (we are an accredited Menopause Friendly Employer), neurodiversity assessment and support. • Key onsite services and facilities in London include physiotherapy, nutrition, massage therapy, physiology, mental health first aiders, seasonal flu vaccinations and free onsite fitness centre. • Plus, emergency back-up care for dependants, green car leasing, season ticket loan, and a range of other benefits. * Subject to relevant caps 2. As the eurozone's largest bank, we are committed to having a positive impact in the world. For example, we are committed to Net Zero in all of our financing and investment portfolios by 2050. By 2030, 80% of our energy production financing will be low carbon. But impact for us means more than climate. It means empowering our people every day. Everyone gets four volunteering days each year - in 2023, we achieved over 18,000 hours of volunteering across the UK and reaching over 4,500 young people. 3. We believe in our people We support our people to develop skills to adapt to the ever-evolving world of work and to prepare for the jobs of today and tomorrow. We do this through a comprehensive training offering, talent programmes, mentoring, career days and inhouse career tools. We are proud of the number of our people who progress and secure new roles internally. In fact, in 2023, nearly half of our positions in UK CIB were filled internally. Investing in our people also means we have a collaborative and inclusive culture: • Direct feedback from our people shows that our internal culture sets us apart from our industry peers. • Each year, nearly 30,000 employees globally are involved in professional networks that play an active role in promoting Diversity and Inclusion within the Group. These include our: Pride Network, Ability Network (which supports disabled employees), MixCity (gender equality network), Women in Global Markets, Women in Global Banking, Women in IT, Diversity Equity &amp; Inclusion in Technology, Early Careers Network, Multicultural Network and Parents &amp; Carers Network. Equal opportunities BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or any other legally protected status. Adjustments We don't want anyone to be disadvantaged in our recruitment processes, so if you have a disability or health condition which may mean that you'd benefit from some adjustments or additional support, please let us know as early in the process as possible. #LI-Hybrid

Compliance Manager, Functions Advisory Vice President

Entity: Strategy, Sustainability &amp; Venture Job Family Group: Ethics &amp; Compliance Group Job Description: The Compliance Manager is responsible for working with the E&amp;C team to implement an effective and consistent compliance program in relation to a particular bench or set of benches for their respective product area. The primary components of the role are to provide accurate, consistent and timely advice and guidance to the oil trading and origination business. The role will liaise with other E&amp;C team members to ensure strong relationships and knowledge sharing across E&amp;C. Ket Accountabilities: In more detail, you will have the exciting opportunity to: <ul><li>Identify, assess and monitor ethics &amp; compliance risks and requirements applicable to the trading and origination business;</li><li>Monitor trading activity on exchanges to ensure alignment with exchange rules and regulatory requirements in various jurisdictions;</li><li>Support training on regulatory and compliance requirements and bp's policies and procedures related to trading compliance, including on all relevant financial services and market abuse regulations;</li><li>Monitor developments and proposals and assist with the planning and the implementations of changes into respective business groups;</li><li>Undertake activities in relation to the risk-based monitoring programme and ensure that record keeping supports actions taken and any recommendations made, including but not limited to: <ul><li>Developing relationships/partnerships with the business and other enabling functions, establishing compliance as an enabling business partner;</li><li>Build strong working relationships with other E&amp;C team members to ensure effective knowledge sharing and timely resolution of questions or incidents;</li><li>Provide E&amp;C advice and oversight to the implementation of projects within the area; and</li><li>Assist the business to identify and mitigate risks involved in new business activity.</li></ul></li></ul>Role requirements: <ul><li>Knowledge and understanding of traded products, markets and strategies, both physical and paper based trading</li><li>A background in oil products and/or trading would be a strong advantage.</li></ul><ul><li>Experience, knowledge and understanding of financial regulations, exchange rules, relevant laws and managing regulatory relationships.</li><li>Experience of designing and conducting compliance monitoring and surveillance activity.</li><li>Ability to demonstrate integrity, courage and sound judgement.</li><li>Ability to impact and influence at all levels of the organization.</li><li>Strong work ethic, initiative and creativity to achieve identified goals, both individually and as a team player working in a global and fast-paced environment.</li><li>Strong problem-solving skills with critical thinking ability to see the next step and follow through on operational detail.</li><li>Great communication and interpersonal skills - capable of advising on E&amp;C matters and adopting a variety of styles to achieve the desired result and build consensus with diverse partners.</li><li>Excellent analytical and report drafting skills with attention to detail.</li><li>Ability to develop and deliver training materials</li></ul>Why join us? At bp, we provide an excellent working environment and employee benefits such as an open and inclusive culture, a great work-life balance, tremendous learning and development opportunities to craft your career path, life and health insurance, medical care package and many others. We support our people to learn and grow in a diverse and exciting environment. We believe that our team is strengthened by diversity. We are committed to crafting an inclusive environment in which everyone is respected and treated fairly. There are many aspects of our employees' lives that are significant, so we offer benefits to enable your work to fit with your life. These benefits can include flexible working options, collaboration spaces in a modern office environment, and others benefits. Reinvent your career as you help our business meet the challenges of the future. Apply now! Travel Requirement Up to 10% travel should be expected with this role Relocation Assistance: This role is not eligible for relocation Remote Type: This position is a hybrid of office/remote working Skills: Analytical Thinking, Compliance Monitoring, Compliance Programs, Detail-Oriented, Influencing, Oil Markets, Oil Trading, Operational Compliance, Risk Compliance, Stakeholder Management, Strategic Advice, Trade Policy, Trading knowledge, Trading risk control Legal Disclaimer: We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, socioeconomic status, neurodiversity/neurocognitive functioning, veteran status or disability status. Individuals with an accessibility need may request an adjustment/accommodation related to bp's recruiting process (e.g., accessing the job application, completing required assessments, participating in telephone screenings or interviews, etc.). If you would like to request an adjustment/accommodation related to the recruitment process, please contact us . If you are selected for a position and depending upon your role, your employment may be contingent upon adherence to local policy. This may include pre-placement drug screening, medical review of physical fitness for the role, and background checks. Grade G Responsible for advising the businesses and functions on ethics and compliance initiatives and adherence to policy regarding supply and trading activities, using advanced technical knowledge and experience to ensure conformance to all related internal and external trading policies and regulations and to help embed the BP ethics and compliance culture in all trading operations.

Deputy Risk and Regulatory Compliance Officer Office based role - London or Milton Keynes Are you ready to make a significant impact in the world of digital payments with one of Europe's most innovative payments companies? Join viva.com as a Deputy Risk and Regulatory Compliance Officer, where your expertise will drive innovation and strengthen our risk management framework. This is a unique opportunity to work in a dynamic environment, collaborating with top-tier professionals, and contributing to a sustainable cashless economy. Apply now to become a pivotal part of our team and help shape the future of payments. Why viva.com viva.com is a leading European cloud-based neobank, delivering the future of payments, now. With presence in 24 markets, it is the payment institution with the largest footprint in Europe. viva.com's mission is to change the way businesses pay and get paid, offering truly unifying, yet localized, end-to-end advanced digital payments solutions and embedded banking services tailored to their needs. An advocate for a sustainable cashless economy, the Organisation delivers digital payments services across three different time zones, in 17 languages and 9 currencies, featuring over 30 payment methods. Harnessing the power of revolutionary technologies, such as the viva.com Terminal app and Smart Checkout payment gateway, viva.com provides an omnichannel solution, that offers seamless, conversion-boosting and secure ways to process online and in-person transactions, streamlining business operations and enhancing the customer experience. Learn more at viva.com About the role: We are currently seeking an experienced, skilled, and detail-orientated Deputy Risk and Regulatory Compliance Officer to join our Risk and Compliance Team. In this role, you will be instrumental in developing, maintaining, and continuously enhancing our compliance and risk management framework. You will be expected to foster a strong risk culture throughout the organization by promoting awareness, knowledge, and training in collaboration with the Chief Risk Officer and Head of Regulatory Compliance. As a Deputy Risk and Regulatory Compliance Officer, you will <ul><li>Work closely with the Chief Risk Officer and Head of Regulatory Compliance and deputize when required. </li></ul><ul><li>Lead the development and execution of a comprehensive compliance monitoring plan. </li></ul><ul><li>Support the monitoring of business activities for compliance with internal policies and external regulations. </li></ul><ul><li>Manage direct reports, providing mentorship and coaching to foster their professional growth and enhance their skills. Cultivate a supportive environment that encourages knowledge sharing and continuous improvement among team members. </li></ul><ul><li>Proactively consider changes to laws and regulatory requirements and ensure that the organization is informed, and also to lead on the implementation of any required business changes. </li></ul><ul><li>Facilitate training sessions for employees on compliance policies and risk management practices. </li></ul><ul><li>Work closely with various departments to advise on risk and compliance matters, ensuring that business strategies align with regulatory and ethical standards. This includes managing senior stakeholders within the business to influence any desired changes. </li></ul><ul><li>Lead on scoping and execution of internal and external audits related to risk and compliance. Implement corrective actions and enhancements based on audit findings. </li></ul><ul><li>Participate in the investigation of compliance issues and risk incidents. Prepare reports and documentation for internal and external stakeholders, including regulatory bodies. </li></ul><ul><li>Take an active role in the development and coaching of team members. Foster a culture of continuous improvement and learning by identifying training needs, providing constructive feedback, and supporting career growth opportunities for team members in the risk and compliance function. </li></ul><ul><li>Execute and embed a comprehensive risk management strategy aligned with the company's objectives, regulatory requirements, and industry best practices. This will include ownership of the Enterprise-Wide Risk Management Framework, the risk appetite, and risk thresholds. </li></ul><ul><li>Ensure that the UK business tracks all of its Key Risk Indicators (KRI's) on a regular basis, and monitor on and report breaches to the ERC </li></ul><ul><li>Chair (when necessary) and ensure ownership of the ERC Committee to provide the SLT with a mechanism to oversee all key risks to the UK business </li></ul><ul><li>Report all material risks to the Board of Directors, and ensure that all key risks are adequately monitored. </li></ul><ul><li>Lead the development and enhancement of compliance and risk management information (M.I.) and use this information to develop business-wide compliance and risk strategies. </li></ul><ul><li>Project manage regulatory change initiatives and ensure good governance and delivery of key projects (e.g. APP scams) </li></ul><ul><li>Help to deal with ad hoc inquiries either from the business and/or the Group </li></ul><ul><li>Help to deal with and manage the flow of information requests and the overall relationship with our key regulator (FCA). </li></ul><ul><li>Manage and support the ongoing implementation of Consumer Duty work across the organization, ensuring it is continually aligned with the expectations set out by the FCA </li></ul>Requirements Essentials: <ul><li>Bachelor's degree in Law, Finance/Economics, Business Administration, or related field from a top institution. </li></ul><ul><li>Minimum of 10 years of experience in: </li></ul><ul><li>Risk management, </li></ul><ul><li>Regulatory Compliance, </li></ul><ul><li>Regulatory or related field, </li></ul><ul><li>Excellent understanding of payment industry standards and regulatory requirements (PSD2, E-money regulations, Consumer Duty, Operational resilience etc) </li></ul><ul><li>Excellent understanding of risk assessment methodologies, risk appetite, enterprise wide risk frameworks and compliance frameworks. </li></ul><ul><li>Excellent analytical, organizational, and decision-making skills. Proficient in Microsoft Office Suite, with a strong emphasis on Excel and PowerPoint. </li></ul><ul><li>Ability to communicate effectively across all levels of the organization and with external stakeholders. </li></ul><ul><li>Strong ethical judgment and the ability to handle confidential information with discretion. </li></ul><ul><li>A proactive, detail-oriented individual who can work independently and as part of a team. </li></ul><ul><li>Fluent English language skills, both written and verbal. </li></ul>Of advantage, although not essential: <ul><li>A master's degree or professional certifications (e.g., CRCM, CRISC). </li></ul><ul><li>Experience of working with Payments, Finance, and/or E-Money Institutions. </li></ul>Personal Profile: <ul><li>Demonstrates superior written and verbal communication skills coupled with sharp commercial acumen. </li></ul><ul><li>Possesses outstanding interpersonal abilities, crucial for building strong, enduring relationships. </li></ul><ul><li>Confident and professional in interactions with individuals at all levels, showcasing the ability to engage a diverse range of stakeholders. </li></ul><ul><li>Capable of working independently, utilizing initiative to navigate and resolve complex issues. </li></ul><ul><li>Comfortable making independent, judgment-based decisions with significant potential impacts on viva.com and its customers. </li></ul><ul><li>Exhibits exceptional organizational capabilities and an unparalleled attention to detail. </li></ul><ul><li>Approaches work with a passionate, tenacious attitude, and a solution-oriented "can do" mindset. </li></ul><ul><li>A true team player, deeply committed to contributing to the success and future growth of viva.com, taking pride in personal and collective achievements. </li></ul>#LI-Onsite Benefits <ul> <li>Individual performance bonus.</li> <li>Private medical health insurance.</li> <li>25 Days holiday rising to 30 with service + bank holidays.</li> <li>A diverse multi-cultural working environment.</li> <li>Opportunity to fast track skills development by working on a broad range of risk topologies, within the fast evolving digital payments environment. </li> <li>Technology focused organization, employing many leading edge technologies.</li> <li>Office based role working out of either London or Milton Keynes offices. </li> <li>9am-5pm office hours Monday to Friday.</li> </ul>

Deputy Risk and Regulatory Compliance Officer

At Amazon, we're not just building the world's most customer-centric company - we're also pioneering new frontiers across industries. As a Senior Compliance Manager on our growing Amazon Payments UK (APUK) team, you'll be at the forefront of this transformation, ensuring our payments propositions adhere to the highest standards of regulatory compliance. Imagine a workplace where the pace is fast, the challenges are complex, and the impact is global. That's the world of Amazon. Here, you'll be responsible for providing expert regulatory oversight and guidance on new and existing products, services, and initiatives. You'll work closely with cross-functional stakeholders to develop sustainable, compliant solutions that delight our customers. Whether you're analyzing emerging regulations, designing robust control frameworks, or training the business on compliance best practices, your work will play a crucial role in maintaining the trust and integrity of the Amazon brand. You'll be empowered to think creatively, challenge the status quo, and implement cutting-edge compliance strategies. Sound like your kind of mission? Then we want you on our team. As a Senior Compliance Manager, you'll enjoy a collaborative, fast-paced culture that celebrates intellectual curiosity, rewards innovative thinking, and provides opportunity for growth. You'll report to the APUK Chief Compliance Officer, champion good customer outcomes and work alongside compliance experts and business pioneers, learning from the best and shaping the future of the industry. So if you're a compliance professional who's ready to make a real impact, we want to hear from you. Apply today and let's build the future together. Key job responsibilities - Ensure APUK's payment activities comply with all legal and regulatory requirements by monitoring business activities and regulatory change - Advise on regulatory requirements and develop compliance plans for new business initiatives - Develop, document, and maintain compliance policies and procedures - Deliver compliance awareness and training to the business - Prepare reports for internal governance committees - Review, challenge and approve risk records, policy breaches, and escalation items - Collaborate with business leads to respond to auditor and regulator inquiries BASIC QUALIFICATIONS - Experience in compliance, audit or risk management - Bachelor's degree or equivalent - Experience developing and implementing of standards, policies and programs or equivalent PREFERRED QUALIFICATIONS - Significant regulatory compliance experience in financial services or payments - Deep understanding of Payment Services Regulations and related FCA compliance areas like Consumer Duty, Complaints Handling and Safeguarding - Proven ability to lead compliance strategy and regulatory engagement - Experience of delivering results through collaboration - Excellent communication, influencing, and presentation skills - Strong analytical and problem-solving - Resilience and adaptability to thrive in a fast-paced, entrepreneurial environment Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. For individuals with disabilities who would like to request an accommodation, please visit <a href="https://www.amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://www.amazon.jobs/content/en/how-we-hire/accommodations</a>.

APUK Sr. Compliance Manager, APUK Compliance Office

THE COMPANY: Our client is a leading online multi-asset brokerage firm, specializing in FX/CFD products. This role will report directly to the Global Head of Risk and Compliance. THE RESPONSIBILITIES: <ul> <li>Establish and maintain appropriate policies, procedures, systems and controls in relation to regulatory compliance and financial crime for the UK entity.</li> <li>Oversee the implementation of the Compliance Monitoring Plan to assess those systems and controls and ensure processes and procedures meet regulatory requirements, providing recommendations for and oversight of remediation where required.</li> <li>Liaise with all areas of the business, including the Board of Directors, to provide sound advice and guidance in relation to regulatory matters and consider the regulatory risks associated with new business initiatives, including new products.</li> <li>Act as a point of contact for regulatory bodies and auditors (both internal and external).</li> <li>Ensure staff are trained in local regulatory requirements and receive induction training, and that all staff required to comply with the regulator's training and competence regime do so.</li> <li>Assess the Company's status of compliance and prepare relevant MI to the Board, including KRIs/KPIs and attend relevant committees where required.</li> <li>Ensure firm adheres to its IFPR requirements and take responsibility for the ICARA process.</li> <li>Provide support for CASS oversight and control.</li> <li>Take responsibility for the completeness and accuracy of regulatory reporting.</li> <li>Effectively deal with any complaints raised by clients and any subsequent interaction with the Financial Ombudsman Service.</li> <li>Develop and strengthen relationships across the firm to promote best practice and ensure a good understanding of the regulatory framework within which the firm must operate.</li> <li>Consider all suspicious activity reports and where appropriate make and/or oversee both STOR and SAR filing to external authorities.</li> <li>Keep up to date with key changes to regulation and legislation including regulatory actions that will impact the business.</li> <li>Provide support and guidance to the Compliance Team and take responsibility for individual team development.</li> <li>Participate in ad hoc investigations, reviews and compliance/financial crime projects as required.</li> </ul>EXPERIENCE REQUIRED: <ul> <li>Knowledge of Retail FX/CFD products is key.</li> <li>7+ years compliance experience gained within a similar organisation.</li> <li>Thorough understanding of the legal and regulatory frameworks in which the firm operates.</li> <li>Proven experience in developing and implementing compliance programs and policies.</li> <li>Excellent communication and interpersonal skills, with the ability to influence and build relationships at all levels.</li> <li>High ethical standards and a commitment to integrity and professionalism.</li> <li>Strong analytical, prioritisation and organisational skills, ability to work under pressure and to fixed deadlines.</li> <li>Strong leadership and management skills.</li> <li>Ability to explain regulatory requirements and advanced compliance concepts clearly and concisely.</li> </ul>For further information please contact Duncan Jeffery

118 Business Compliance Jobs in London, UK