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Job Introduction An opportunity has arisen for a Compliance Officer to join our New Client Administration team where each Compliance Officer is involved in anti-money laundering ("AML") and sanctions compliance. The role would suit candidates able to attend our Leeds or Bristol offices 1-2 days a week. The team sits within the Group's Office of the General Counsel ("OGC") and has primary responsibility for client inception including, undertaking anti-money laundering due diligence and sanctions checks. The team provides support and advice to Fee Earners/Partners and other Business Services functions across the Group on a range of regulatory, risk and compliance issues. The team is also involved in aspects of matter inception. Whilst the Compliance Officer's time will be split primarily between working within the New Client Administration team and the financial crime working groups, the successful candidate will have the opportunity to work with other members of OGC on a variety of matters. Training, supervision and guidance will be provided by other members of OGC. We are a Disability Confident employer and guarantee to interview anyone with a disability, long term health condition or neurodiversity whose application meets the essential criteria for the role as set out in this advert. If this applies to you contact <a href="mailto:disabilityconfident@dacbeachcroft.com" target="_blank">disabilityconfident@dacbeachcroft.com</a> in confidence, quoting the reference number for this vacancy in the subject box of your email, and a member of the team will be in touch. We are happy to talk flexible working and have in place a Flex-forward working scheme. We would encourage you to talk to us about our approach to flexible working during the hiring process if you would like to explore this further. Role Responsibility Main Responsibilities <ul> <li>Reviewing and verifying information provided in new client acceptance forms to ensure the information is complete and compliant with the Group's financial crime policies and procedures.</li> <li>Liaising with Fee Earners/Partners to obtain further information and clarification where information is incomplete or clarity is required.</li> <li>Conducting comprehensive customer due diligence reviews and analysis of information in order to establish the corporate structure of a client, including the identification and verification of ultimate beneficial owners.</li> <li>Providing advice and guidance to Fee Earners/Partners to assist them in discussions with prospective clients with regards to the client onboarding process. </li> <li>Escalating AML and sanctions issues in accordance with internal processes.</li> <li>Performing ongoing monitoring of existing clients including review of daily screening results.</li> <li>Conducting periodic reviews of customer due diligence.</li> <li>Participating in financial crime working groups and wider OGC team discussions.</li> <li>Supporting the Money Laundering Reporting Officer (and Deputies) to resolve any AML concerns.</li></ul>Additional Tasks <ul> <li>Helping with the drafting and updating of policy documents and guidance notes.</li> <li>Carrying out horizon scanning, maintaining awareness of regulatory/compliance changes, developing knowledge of financial crime requirements, and helping to implement process changes.</li> <li>Responding to ad hoc queries from the Group.</li> <li>Assisting with regulatory reporting requirements, research and other administrative tasks to support the team.</li> <li>Supporting on project work including: <ul> <li>Collaborating with the learning and development team to formulate and deliver bespoke training;</li> <li>Helping with preparation for SRA thematic reviews or data gathering exercises; and</li> </ul> </li> <li>Liaising with IT and Procurement functions for the improvement of the new client onboarding/matter opening process.</li></ul>The Ideal Candidate <ul> <li>Must be graduate level (or equivalent i.e. have experience in the legal sector)</li> <li>Previous experience of working in a risk and compliance function is preferred</li> <li>Previous experience of working in a regulated industry, such as Legal or Financial Services is highly desirable</li> <li>Experience and knowledge of anti-money laundering and sanctions regulations</li> <li>Good IT skills with a knowledge of Microsoft Office packages </li> <li>Good attention to detail, accuracy / 'getting things right first time'</li> <li>The ability to work on own initiative and manage own workload</li> <li>Good written and verbal communication skills</li> <li>Good interpersonal skills</li> <li>Focused and analytical</li> <li>Good team player</li> <li>Confident decision-maker</li></ul>About the Company We're a leading international legal business with over 3,000 colleagues and a diverse range of capabilities. We're market leaders in insurance, health and real estate but with a full-service offering, including growing Financial Services and Tech capabilities. We represent a wide range of clients - from household names to government departments and NHS bodies. We act for nearly all of the top-20 UK and global insurers, we're market leaders in the provision of strategic, commercial and regulatory advice to providers and commissioners in the health sector, and in real estate we advise all of the UK's top-five housebuilders. We are a fast-growing international business with offices around the globe. In addition to our 11 UK offices, we also have offices in Dublin, Madrid, Paris, Milan, Rome, Singapore, Argentina, Chile, Colombia, Mexico, Peru and Miami, plus a broad network of affiliations across the globe. Working with us Our vision is to be leading business advisers, recognised for our insight and our outstanding commitment to clients, and for being the place where talented people want to work. Combine this with our supportive culture and hybrid working model, and you have: a Life that Works. Our flexible approach means that we help our colleagues to be their best at work, while recognising that they have all sorts of different interests and commitments outside work. We pride ourselves on our supportive, approachable culture. We are trusted, appreciated as individuals and embraced as part of a team. At DACB, we don't just accept your differences, we celebrate and advocate for them. From bespoke solutions for our clients, to treating you as an individual. Our strength comes from your diverse ideas and bringing the 'whole you' to work. So if you're good at what you do, come as you are! Note for Recruitment Agencies - the DAC Beachcroft LLP resourcing team is responsible for managing all current vacancies through direct hiring and referrals. Whilst we do work with recruitment agencies, we will formally release those vacancies to instructed agencies deemed best placed to assist us. Speculative CVs sent by any agency to any DAC Beachcroft employee without a specific request by the resourcing team will not be accepted and no introduction fee will be applicable. Our resourcing team can be contacted at <a href="mailto:recruitment@dacbeachcroft.com" target="_blank">recruitment@dacbeachcroft.com</a>. DAC Beachcroft

Compliance Officer - Leeds

Compliance Officer - Bristol

Our Story Hello there. We're Zopa. We started our journey back in 2005, building the first ever peer-to-peer lending company. Fast forward to 2020 and we launched Zopa Bank. A bank that listens to what our customers don't like about finance and does the opposite. We're redefining what it feels like to work in finance. Our vision for a new era of banking puts people front and centre - we've built a business that empowers everyone to aim high, every day, to move finance forward. Find out more about our fantastic offerings at Zopa.com! We're incredibly proud of our achievements and none of it would be possible without the amazing team here. It's not just industry awards we're winning, we've also been named in the top three UK's Most Loved Workplaces. If you embrace unconventional challenges, are unafraid to think differently and are driven to make an outsized impact, you'll thrive here at Zopa, so join us, and make it count. Want to see us in action? Follow us on Instagram @zopalife Zopa is looking for an experienced Compliance Manager to join our 2nd Line of Defence Compliance team. Reporting to the Head of 2nd Line Compliance, this role is an exciting opportunity to help Zopa develop and implement its framework for managing compliance risk. You'll use your expert knowledge of the UK regulatory framework to support the team in carrying out all its functions, from writing policies to reviewing business changes, interpreting new regulatory requirements and conducting assurance on the business. We are looking for someone with a deep level of expertise, as well as a strong focus on customer outcomes. We're open to applications from experienced individuals looking to work flexibly or on a part-time basis. We have a friendly, fun, and ambitious culture where everyone contributes pro-actively towards the growth of the business, so a parallel mind-set is what we are looking for. A day in the life: <ul><ul><li>Provide technical regulatory expertise to support the whole range of work of the second line. </li><li>Aiding the development, maintenance and implementation of compliance frameworks and policies </li><li>Help with the second line horizon scanning process, ensuring that new regulatory requirements are identified, interpreted and communicated effectively to the business </li><li>Conduct second line review and challenge on new products and other business initiatives from a compliance perspective </li><li>Support the production of briefings to senior staff and committees on compliance-related matters </li><li>Assist with the completion of assurance work on compliance matters </li><li>Contribute to the production of FCA communications and submissions </li><li>Support the Senior Director, Risk and Compliance to deliver Compliance related project(s) as required </li></ul></ul>About you: <ul><ul><li>You'll have previous Compliance experience within financial services, with excellent knowledge of the UK regulatory landscape, particularly FCA and broader consumer-focused regulation, and a strong commitment to good customer outcomes </li><li>The ability to get to grips with and interpret a wide range of regulations </li><li>Excellent written and verbal communication skills </li><li>You're eloquent, able to explain complex sets of rules / translate regulations into clear language to all levels of staff </li><li>Can demonstrate a pragmatic approach, able to understand not just what the regulations say but what implementation looks like in practice </li></ul></ul>#LI-LK1 Flexible working? Yes please! At Zopa we value flexible ways of working. We understand the benefits of face-to-face collaboration and the importance of a good work-life balance. Our teams work in a hybrid manner, from our vibrant UK offices and the comfort of their own homes, at a frequency that suits the team and the work they do. Not only that - you'll also have the option of working from abroad for up to 120 days a year!* But no matter where you are, we'll make sure you've got everything you need to thrive, both in your work and home life, from day one. *Subject to having the right to work in the country of choice Diversity Statement Zopa is proud to offer a workplace free from discrimination. Diversity of experience, perspectives, and backgrounds leads to better products for our customers and a unique company culture for our people. We are made up of nearly 50 nationalities, have a DE&amp;I forum made up of Zopians wanting to make a difference and we are proud of our culture where everyone can bring their full self to work. Our approach to DE&amp;I is reflected in our hiring process so please let us know if you require any reasonable adjustments.

Compliance Manager (2nd Line of Defence) Full or Part time opportunity

Vacancy details General information Entity About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022). 8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world. Crédit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients. For more information, please visit <a href="http://www.ca-cib.com" target="_blank">www.ca-cib.com</a> Twitter: <a href="https://twitter.com/ca_cib" target="_blank">https://twitter.com/ca_cib</a> LinkedIn: <a href="https://www.linkedin.com/company/credit-agricole-cib/" target="_blank">https://www.linkedin.com/company/credit-agricole-cib/</a> By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities. Reference 2024-92046 Update date 23/08/2024 Job description Business type Types of Jobs - Compliance / Financial Security Job title Central Compliance Officer (Associate) Contract type Permanent Contract Management position No Job summary The Central Compliance team is responsible for transversal compliance and regulatory matters. The remit of the team is wide, evolving and includes (but is not limited to): regulatory projects, regulatory training and awareness, internal and external reporting, certification process, policies and procedures, control work, and data protection. The Central Compliance Officer will undertake multiple compliance matters and will be cross- trained to assist all members of the Central team. The individual should have strong administrative, organisational and communication skills and demonstrate a 'can do' attitude and good team spirit. On the job training will be provided but it is important that the individual is flexible, proactive and able to learn swiftly. Key Responsibilities: 1. Administration of the Senior Managers Regime Certification Regime (SMCR) <ul><li>Ensuring that the necessary forms and training have been completed prior to approving staff for Certification.</li><li>Providing guidance and assistance on the Certification process to both business lines and HR.</li><li>Maintain database on all SMR and Certified staff, reconciling on a regular basis in accordance with Compliance Operating Policy and Procedures.</li><li>Ensure that the Bank remains compliant with the SMCR following organisational changes.</li></ul> 2. Maintain and report on Personal Account Dealing activities <ul><li>Respond to requests for permission to trade in accordance with Compliance Operating Policy and Procedures.</li><li>Reconciling broker notes to approved dealing requests</li><li>Collating statistics for reporting to senior management</li></ul>3. Compliance Reporting / Control work <ul><li>Perform routine review / control work as defined in the annual control plan</li><li>Escalate any system and control issues immediately where necessary and track all identified issues formally and within management reporting to conclusion.</li></ul>4. Trade reporting on UK stocks <ul><li>Daily Position Aggregation to identify reportable transactions to POTAM on behalf of the group</li><li>Maintain and distribute Daily Takeover Panel stock list</li></ul>5. Compliance reviews <ul><li>Carry out compliance monitoring as directed by Compliance Management</li></ul> 6. Data Loss Prevention <ul><li>Investigate, remediate, and record alerts raised to Compliance in the Data Loss Prevention tool.</li></ul>7. Data Subject Access Requests (DSARs) <ul><li>Collaborate with Monitoring and Surveillance, HR, and Legal teams to coordinate searches and responses to the Data Subject.</li><li>Handle the sharing of data with external legal counsel where necessary</li><li>Ensure that the requested data is sent to the Data Subject in compliance with the regulatory time limits.</li><li>Maintain a record of all DSARs received.</li></ul>8. General Compliance matters <ul><li>Ensure relevant Policies and Procedures are reviewed and up to date.</li><li>Oversee the PPM process (which includes ensuring policies and procedures are updated, reviewed and approved by relevant staff and then published on PPM and read by the appropriate audience.) </li></ul>Supplementary Information <ul><li>Maintain a working knowledge of FCA/PRA rules and regulations and a broad awareness of European rules and regulations that may impact Credit Agricole CIB in the UK through focused reading of industry insights, FCA and PRA publications and speeches, and on-going attendance at Regulatory and Compliance Forums as directed.</li><li>Coordinate the submission of monthly Management Information reports.</li><li>Undertake periodic FCA Regulatory Reporting</li></ul>Our commitment to you: Join our team at Crédit Agricole CIB, the corporate and investment banking arm of 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2023). We offer more than just a job. You will be part of a dynamic and collaborative work environment where CSR is embraced in our day-to-day business operation, innovation is encouraged and diversity is celebrated. Crédit Agricole CIB, the first French bank to have committed to the Equator Principles, is a pioneer and global leader in sustainable finance. Our commitment to sustainability and corporate responsibility means that your work will have a positive impact on our communities and the environment. With a people-centric culture where everyone is valued, and opportunities for personal and professional growth, Crédit Agricole CIB is not just a place to work - it is where you make an impact. Our hiring process is open to all and should you have any particular needs or you may require adjustments, please let us know. Position location Geographical area Europe, United Kingdom City London Candidate criteria Minimal education level Bachelor Degree / BSc Degree or equivalent Academic qualification / Speciality <ul><li>Degree, preferably in law or finance-related topics</li><li>Compliance related qualification</li></ul>Experience <ul><li>Previous experience at a wholesale investment bank / financial services firm</li><li>Understanding of FCA/PRA Rules.</li></ul>Required skills <ul><li>Proactive and able to initiate and run tasks, controls, reporting and mini-projects</li><li>IT literacy (MS Office, databases etc).</li><li>Regulatory awareness including working knowledge of FCA MIFIDII Transaction Reporting rules.</li><li>Project management.</li><li>Analytical skills</li><li>Compliance, Banking and product knowledge</li><li>Strong administrative skills.</li><li>Good interpersonal skills with strong diplomacy and tact.</li><li>Confident and adaptable, and possess an eye for detail.</li><li>Proactive, with a 'can do' attitude.</li><li>Ability to work well independently or as part of a team.</li><li>Energy and tenacity to work well under pressure to deadlines.</li><li>Strong IT skills / ability to work with e Learning systems</li></ul>Languages English

4 Business Compliance Permanent Jobs