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Senior Compliance Manager (Lending) Overland Park, KS or other Sunflower KS office locations available. Hybrid and potential fully remote options available. MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB Sunflower Bank is looking for a highly motivated individual to fill the position of a full-time Senior Compliance Manager Lending at our Overland Park, KS location. In support of the Bank's overall compliance management systems (CMS), the Senior Compliance Manager - Lending engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations. <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance programs, policies, practices, and reporting commensurate with the size and complexity of the Bank, and in support of the Bank's strategy and risk appetite.</li><li>Collaborating across the three lines of defense to support a culture of risk awareness, identification, measurement, reporting and management of enterprise-wide Compliance related opportunities and risks.</li><li>Supporting a culture of continuous improvement to enhance the enterprise-wide compliance risk management program framework that incorporates risk assessment, control design, training, testing, and reporting of compliance matters.</li><li>Serving as subject matter expert on compliance related topics by maintaining industry insights and timely review of related industry alerts and environment to help determine applicability and risk to the organization.</li><li>Partnering with the various lines of business, staff areas, and production groups on maintaining an active and effective CMS and to address compliance issues which may impact the supported business lines.</li></ul>Hybrid and fully remote options available. Overland Park, KS or other Sunflower KS office locations available. Education / Experience Preferred: <ul><li>Bachelor's degree or international equivalent (preferably in business, economics, finance, or management).</li><li>Ideally 7+ years of compliance experience in a banking institution, regulatory agency, or major consulting company with a particular focus on consumer compliance laws/regulations and industry rules that govern lending and loan servicing (ex: Reg Z, Reg X, FCRA, Reg O, FDPA, GSE requirements, etc.).</li><li>Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.</li></ul>Pay is dependent on knowledge, skills, abilities, experience, and location. Sunflower Bank Benefits Employees enjoy outstanding benefits, including: <ul><li>401(k) Plan with 6% Match</li><li>Health/Dental/Vision Insurance</li><li>Company-paid Life Insurance</li><li>Tuition Reimbursement</li><li>Fitness Reimbursement</li><li>Paid Time Off</li><li>Volunteer Leave</li><li>Paid Holidays</li><li>Plus many more employee perks &amp; incentives!</li></ul>People choose to "bank" with us, but for those we serve, we're more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team. If you qualify, apply online at <a href="http://www.sunflowerbank.com/careers" target="_blank">www.sunflowerbank.com/careers</a>. You've never worked anyplace like Sunflower Bank! EOE/AA: Minorities/Females/Disabled/Vets Open until filled; early application encouraged. This vacancy announcement may be used to fill similar positions within 90 days. If you are a California resident, you may be entitled to certain rights regarding your personal information, which is information that identifies, relates to, or could reasonably be linked with a particular California resident or household. Additional information about our data collection practices and location specific notices is available on our privacy policy. Senior Compliance Manager (Lending) Overland Park, KS or other Sunflower KS office locations available. Hybrid and potential fully remote options available. MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB

Senior Compliance Manager - Lending

Senior Compliance Manager (Lending) Denver, CO location Hybrid and potential fully remote options available. MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB Sunflower Bank is looking for a highly motivated individual to fill the position of a full-time Senior Compliance Manager Lending at our Denver, CO location. In support of the Bank's overall compliance management systems (CMS), the Senior Compliance Manager - Lending engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations. <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance programs, policies, practices, and reporting commensurate with the size and complexity of the Bank, and in support of the Bank's strategy and risk appetite.</li><li>Collaborating across the three lines of defense to support a culture of risk awareness, identification, measurement, reporting and management of enterprise-wide Compliance related opportunities and risks.</li><li>Supporting a culture of continuous improvement to enhance the enterprise-wide compliance risk management program framework that incorporates risk assessment, control design, training, testing, and reporting of compliance matters.</li><li>Serving as subject matter expert on compliance related topics by maintaining industry insights and timely review of related industry alerts and environment to help determine applicability and risk to the organization.</li><li>Partnering with the various lines of business, staff areas, and production groups on maintaining an active and effective CMS and to address compliance issues which may impact the supported business lines.</li></ul>Hybrid and fully remote options available. Colorado office locations available. Education / Experience Preferred: <ul><li>Bachelor's degree or international equivalent (preferably in business, economics, finance, or management).</li><li>Ideally 7+ years of compliance experience in a banking institution, regulatory agency, or major consulting company with a particular focus on consumer compliance laws/regulations and industry rules that govern lending and loan servicing (ex: Reg Z, Reg X, FCRA, Reg O, FDPA, GSE requirements, etc.).</li><li>Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.</li></ul>Salary: 110-135k and is dependent on knowledge, skills, abilities, experience, and location. Sunflower Bank Benefits Employees enjoy outstanding benefits, including: <ul><li>401(k) Plan with 6% Match</li><li>Health/Dental/Vision Insurance</li><li>Company-paid Life Insurance</li><li>Tuition Reimbursement</li><li>Fitness Reimbursement</li><li>Paid Time Off</li><li>Volunteer Leave</li><li>Paid Holidays</li><li>Plus many more employee perks &amp; incentives!</li></ul>People choose to "bank" with us, but for those we serve, we're more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team. If you qualify, apply online at <a href="http://www.sunflowerbank.com/careers" target="_blank">www.sunflowerbank.com/careers</a>. You've never worked anyplace like Sunflower Bank! EOE/AA: Minorities/Females/Disabled/Vets Open until filled; early application encouraged. This vacancy announcement may be used to fill similar positions within 90 days. If you are a California resident, you may be entitled to certain rights regarding your personal information, which is information that identifies, relates to, or could reasonably be linked with a particular California resident or household. Additional information about our data collection practices and location specific notices is available on our privacy policy. Senior Compliance Manager (Lending) Denver, CO location Hybrid and potential fully remote options available. MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB

Neuberger Berman (NB) is an independent, employee-owned, global asset management firm that serves that financial needs of institutional and individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity, commodities, and portfolio advise, as well as wealth planning services. We offer a broad platform to meeting the evolving needs of our clients. About Our Team: The Asset Management Guideline Oversight (AMGO) group is a critical part of Neuberger Berman's global Risk group. AMGO serves as an independent control group, ensuring that investment portfolios remain compliant with regulatory, prospectus, client, and internal guidelines. This involves monitoring and enforcing the rules and restrictions set by legal documents, prospectuses, and agreements related to investment activities. The oversight ensures that asset managers adhere to the investment strategies and risk parameters agreed upon with clients and regulators. This role requires deep technical understanding of investment products across asset classes, including private markets. The NB Alternative business encompasses a range of strategies, including Private Equity (Primary, Secondary, and Co-Investments), Private Credit, Fund of Hedge funds, and other specialty alternatives. AMGO Collaborates with NB Alternatives to oversee compliance and guideline monitoring across these private market strategies. Primary Responsibilities: <ul><li>Oversee and monitor investment guidelines based on client or fund legal documents in collaboration with investment teams, legal and compliance, finance teams, and relevant NB Alternative support teams.</li><li>Conduct guideline oversight for each investment opportunity and perform post-investment review on a quarterly basis, utilizing financial statements.</li><li>Maintain and enhance guideline oversight template for ongoing monitoring, working closely with investment teams, legal, and other stakeholders.</li><li>Collaborate across the firm on projects to ensure successful implementation of guideline compliance procedures and improve process efficiency.</li><li>Assist in analyzing, developing, and implementing policies and procedures to ensure compliance with global regulations.</li><li>Lead and drive cross-functional initiatives as needed, ensuring alignment with NB's organization goals, and adapting to evolving business priorities.</li></ul>Experience &amp; Skills Qualifications: <ul><li>Bachelor's degree with strong academic credentials,</li><li>Minimum of 3 years of relevant work experience in private markets, such as private equity, investment management, asset management, or management consulting</li><li>Understanding of investment products across asset classes</li><li>High level of accountability with a strong sense of ownership and high attention to detail</li><li>Intellectually curious self-starter with a strong aptitude for quantitative and qualitative analysis</li><li>High degree of professionalism, integrity, and maturity;</li><li>Superior analytical, thinking, presentation and communication (Oral and written) skills</li><li>Proficiency in Microsoft Excel, PowerPoint, and other data systems</li><li>A collaborative team player who can manage multiple priorities and perform complex analysis under tight deadlines.</li></ul>#LI-DD2 #LI-Hybrid Compensation Details The salary range for this role is $90,000-$110,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in New York City. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees. Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law. Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact <a href="mailto:onlineaccommodations@nb.com" target="_blank">onlineaccommodations@nb.com</a>. Learn about the Applicant Privacy Notice.

Asset Management Investment Guidelines Compliance Officer - Private Markets

Job Description: Job Title Global Financing and Credit Trading Compliance Officer Location London Corporate Title VP You will be a member of the Compliance team covering the Bank's Global Financing and Credit Trading (GFCT) platform. This position reports directly to the UK Head of Global Financing and Credit Trading (GFCT) Business Line Compliance. The Compliance Department seeks to protect the Bank's licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connect with the Bank's regulated activities, and driving a culture of compliance and ethical conduct in the Bank. What we'll offer you A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its centre. You can expect: <ul><li>Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them</li><li>Competitive salary and non-contributory pension</li><li>30 days' holiday plus bank holidays, with the option to purchase additional days</li><li>Life Assurance and Private Healthcare for you and your family</li><li>A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits</li><li>The opportunity to support a wide ranging CSR programme + 2 days' volunteering leave per year</li></ul>Your key responsibilities <ul><li>Advising, supporting, and maintaining relationships with GFCT businesses on applicable laws, regulations, including the development of responses to, and implementation of new regulations</li><li>Providing advice on the application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and product portfolios</li><li>Managing or assisting in the timely resolution and escalation of exchange, regulatory or internal investigations and enquiries</li><li>Participating in regular assessments of the business, products and transactions in relation to the Compliance controlled risks</li><li>Assessing the adequacy of the policy and procedures framework governing the relevant London-based businesses</li><li>Delivering face-to-face Compliance training as required in line with regulatory requirements and annual training objectives</li></ul>Your skills and experience <ul><li>The ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal and regulatory provisions</li><li>Excellent communication skills, both written and verbal with the ability to communicate with team members, other infrastructure functions and the front-office</li><li>Self-starter with an ability to work independently with minimum direction and ability to show and demonstrate initiative</li><li>An understanding and up-to-date working knowledge of key UK, European and US financial services regulation, including MAR, MiFID II, Swap-Dealer rules and the FCA Handbook</li><li>Experience advising on the application of rules and policies to specific transactions/deals and general business activities based on an understanding of business strategies and product portfolios</li></ul>How we'll support you <ul><li>Training and development to help you excel in your career</li><li>Flexible working to assist you balance your personal priorities) </li><li>Coaching and support from experts in your team</li><li>A culture of continuous learning to aid progression</li><li>A range of flexible benefits that you can tailor to suit your needs</li><li>We value diversity and as an equal opportunities' employer, we make reasonable adjustments for those with a disability such as the provision of assistive equipment if required (e.g. screen readers, assistive hearing devices, adapted keyboards)</li></ul>About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named a The Times Top 50 Employers for Gender Equality 2024 for five consecutive years. Additionally, we have been awarded a Gold Award from Stonewall and named in their Top 100 Employers 2024 for our work supporting LGBTQ+ inclusion. We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

Global Financing and Credit Trading Compliance Officer

Are you currently working in compliance and looking for a real challenge in a rapidly expanding business? Or maybe you areworking in the energy sector and are looking for your first compliance position? If so, come and join us in this key role where you will play a major role in the ongoing success of our business. Full training and developmental opportunities are available. In this varied role, you will be involved with the following: <ul> <li>Reviewing internal processes and controls and managingcompleting in depth quality reviews;</li> <li> Risk Assessment and implementingmeasures to mitigate these risks;</li> <li>Creating and updating compliance policies and procedures, ensuring they reflect current laws and regulations;</li> <li>Assist in completing investigations into compliance issues, for both internal and external reports. </li> <li>Design QA guidance and forms;</li> <li>Providing day-to-day operational compliance support;</li> </ul>What sets us apart? <ul> <li> Global Impact: With offices in the UK, US, and Australia, and plans for further expansion, you'll be part of a dynamic, globally-minded team, with opportunities to explore new markets and make a difference on a global scale.</li> </ul><ul> <li> Flexible Working: Embrace the freedom to work from anywhere in the world for up to 30 days a year. We prioritize work-life balance, recognizing that your well-being matters. Find out more here. </li> </ul><ul> <li> Commitment to Diversity and Inclusion: We celebrate our diverse culture and value individuals irrespective of background, disability, religion, gender identity, sexuality, or ethnicity. Join a team where diversity is not just welcomed but celebrated as a key driver of growth and innovation.</li> </ul>What does hybrid working mean to us? Hybrid working typically means 2 days in the office location listed on this advert and 3 days working at home each week. Some occasional travel to our other offices may be required. What happens next? Once we receive your application, it will be reviewed by a human - no bots here! The average process typically takes around 2-3 weeks, with 2 stages of video interviews using Teams. However, this can vary depending on the role. We may invite you for a face-to-face meeting or require only 1 video interview. If you have any questions or need support, our Recruitment Team is here to assist you. Ready to join us on our journey to digitise, decarbonise, and localize the future of energy? Apply now. We're committed to making the application process easy and comfortable. Let us know how we can help you with any reasonable adjustments that can be tailored to your needs. At the bottom of each of our adverts you can find one of our recruitment teams' contact details. Please reach out so we can discuss with you further. Check out all our current open positions Our privacy policy is here Department Compliance and Regulation Locations SmartestEnergy Business Limited - Worthing office Remote status Hybrid Remote Yearly salary £35,000 - £40,000 Employment type Full-time

Compliance Officer - Energy

Job description Calling all Houmous heroes! Technical Compliance Manager Wanted. Are you passionate about quality? Do you dream of a world where every bite of houmous is a taste sensation? Then we want YOU to join our team as a Technical Compliance Manager at our new houmous factory! About us: We're not just a factory - we're a houmous haven, a sanctuary for taste buds everywhere! From classic chickpea to spicy jalapeno, we're on a mission to delight customers with our delicious dips. And we need a Technical Compliance Manager to ensure that every tub is a triumph! Your role: To be responsible for maintaining and improving the current accreditation status of Continental. You will proactively prepare for all customer and external visits (announced and unannounced) by ensuring key aspects are reviewed in a team forum to ensure focus and action is taken. You will complete gap analysis of new codes of practice and implement the changes through procedures / risk assessments. You will work closely with internal auditors and drive down non-conformances. This will be achieved by spending a minimum of 70% time in the factory. What you'll do: <ul><li>Run the internal audits program, engage relevant staff and personnel in advance and prepare to ensure the maximum benefit is achieved from the internal audits. Effectively communicate the outcome and close out any non-conformances effectively</li><li>Prepare for planned customer visits, review historical actions and arrange preparation meetings to ensure the purpose and expectations of the visits are effectively communicated to all areas. To write up the visit, document any actions and ensure all matters are closed out effectively</li><li>Prepare for unannounced audits based on previous audit dates. Review historical actions and arrange scheduled preparation review meetings to ensure the purpose and expectations of the audits are effectively communicated to all areas. Write up all audits, close out any non-conformances and submit evidence where required for the auditing body</li><li>Review new customer codes of practice, complete a GAP analysis and make the necessary procedural changes to comply. Follow up and review the implementation to ensure it is successful including the training review</li><li>To form part of the HACCP team and assist in reviewing and implementing new and existing HACCP studies.</li><li>To have a detailed knowledge of departmental working procedures and specifications.</li><li>Conduct internal assessments of procedures and audits of CCP's, Allergen control, Species control, Pest, Control, Foreign body control and other relevant high-profile systems in place.</li><li>Effectively communicate the outcome of these audits</li><li>Challenge training, frequencies and competencies to ensure all staff are trained effectively, within a reasonable time and are reviewed within the agreed period</li><li>To carry out monthly non-conformance reviews to ensure forming trends are not developing and to implement additional preventative measures where trends are forming.</li><li>To carry out a process audit for all new product launches to ensure the product meets the agreed specification and all the associated machinery controlling CCP's &amp; weight control are programmed to specification. Validate all QAS documents before hand over to factory</li><li>Ensure foreign body/glass register audit is conducted to schedule and all corrective actions are completed to schedule via verification of action list.</li><li>To assist the Site Technical Manager in ensuring all corrective actions are implemented where issues are raised during internal and external audits.</li><li>Fully understand our off-line and on-line label verifications system and be able to challenge and identify weaknesses with a view to continually improve.</li><li>Assist with customer complaints - trending, tracking and effective reduction by establishing the root cause.</li><li>Line manager, coach and develop Technical Assistants, Technical Support and the janitors are direct reports.</li><li>Conduct early morning hygiene inspections, set up a matrix so all areas are fully inspected within a period. Effectively report back the findings and implement improvements where required.</li><li>To assist the Site Technical Manager in performing investigations were requested into micro, hygiene, and process control issues</li></ul>What you'll bring: <ul><li>A passion for houmous that rivals even the most dedicated dip connoisseur.</li><li>Leadership skills that can inspire a team to greatness and keep morale as high as our flavour profiles.</li><li>Background in food production or Technical Compliance - but if you're a houmous enthusiast with a knack for quality, we want to hear from you.</li><li>A commitment to food safety and quality standards that's as solid as a scoop of houmous on a pitta bread.</li></ul>Role: Technical Compliance Manager Direct Report: Technical Manager Working Hours: Monday to Friday Work Location: Chaddock Ln, Worsley, Manchester, M28 1DR Job Types: Full Time,

Technical Compliance Manager

This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&amp;M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. For our teams, we create an environment with opportunities for our people to succeed, backed by the culture and support to ensure they are enabled to truly own their careers. We are motivated individuals who tackle unique technical challenges at scale and solve them as a team. Together, we deliver innovative and ethical solutions that help businesses achieve their ambitions faster. UK Money Laundering Reporting Officer (MLRO) A key part of building our business is ensuring we do it compliant and sustainably. In order to do so, we, as a financial institution, need to know at all times what happens on our platform and whether this is in line with the rules, regulations and our risk appetite. And all of this in a scalable way. Therefore, Adyen has global regulatory compliance teams that enable the growth of the business in a responsible manner. Within the global AML Compliance team, we are looking for an experienced UK professional with a proven track record in AML Compliance to help building Adyen's business operations in the UK. In this role, you will be the responsible for managing Adyen's internal and external regulatory compliance obligations in the UK. The successful candidate will be also acting as the designated Money Laundering Reporting Officer for the UK, serving as the point of contact for regulators and authorities. What you'll do <ul><li>Maintain and continuously improve the local regulatory compliance frameworks to ensure that all UK regulatory requirements, including the UK AML/CFT and Sanctions Laws and corresponding regulations, are embedded in local Policies and Procedures;</li><li>Lead regulatory engagements and manage relationships with regulators and supervisors in the UK to achieve Adyen's strategic opportunities;</li><li>Anticipate local regulatory obligations and risks, and ensure these are addressed in a practical and scalable way;</li><li>Represent theAdyen compliance function on a variety of workstreams and industry bodies to develop regulatory strategies that align with global objectives and ensure controlled and compliant growth; </li><li>Oversee the day-to-day operations of Adyen's UK AML/CFT and sanctions programme, including the implementation of the training programme, (oversee) filing of reports to the NCA, as well as responding to enquiries made by the FCA or law enforcement;</li><li>Act as the internal contact point for any employee having information on possible money laundering and/or terrorism financing and/or circumvention of Sanctions legislation; </li><li>Report on Adyen's UK AML/CFT and Sanctions Programme to the Adyen UK Board; and prepare and submit the Annual Financial Crime report to the FCA. </li></ul>Who you are <ul><li>You have at least 10 years of experience in a regulatory and/or compliance function within the payments-, financial services- and/or fintech industry;</li><li>Your knowledge of the UK AML/CFT regulatory landscape (Money Laundering Regulations, Proceeds of Crime Act and Terrorism Act) and best practices is well established, preferably in a recent MLRO or deputy-MLRO role in a UK financial institution;</li><li>You have strong interpersonal and communication skills as well as experience in managing the relationship with UK regulators or supervisors and internal stakeholders across multiple jurisdictions;</li><li>Being tech savvy, hands-on and solution oriented will help you to be successful in a growing FinTech.</li><li>You have a strong sense of initiative, independence and ability to take ownership will add value to a fast-growing business; and</li><li>You are an analytical thinker who can ideate creative solutions for complex regulatory dilemmas, challenge the status quo and drive business opportunities while staying in control.</li></ul>Ready to meet us? If you are excited about this role, apply by clicking the link below. We can't wait to meet you! Our Diversity, Equity and Inclusion commitments Our unique approach is a product of our diverse perspectives. This diversity of backgrounds and cultures is essential in helping us maintain our momentum. Our business and technical challenges are unique, and we need as many different voices as possible to join us in solving them - voices like yours. No matter who you are or where you're from, we welcome you to be your true self at Adyen. Studies show that women and members of underrepresented communities apply for jobs only if they meet 100% of the qualifications. Does this sound like you? If so, Adyen encourages you to reconsider and apply. We look forward to your application! What's next? Ensuring a smooth and enjoyable candidate experience is critical for us. We aim to get back to you regarding your application within 5 business days. Our interview process tends to take about 4 weeks to complete, but may fluctuate depending on the role. Learn more about our hiring process here. Don't be afraid to let us know if you need more flexibility. This role is based out of our London office. We are an office-first company and value in-person collaboration; we do not offer remote-only roles.

AML Compliance Manager/MLRO

£35 - £45k DOE | Hybrid Working | Somerset / South Devon Our client a prestigious and forward-thinking Financial Services firm are seeking a Compliance Officer to join their team. The base for the role offers the flexibility of two offices. This role offers a hybrid working model; 4 days in the office and 1 day working from home. Responsibilities for the Compliance Officer include: <ul> <li>Regulatory Compliance: Maintain and improve policies and procedures in line with FCA rules, ensuring robust frameworks for Consumer Duty and vulnerability in advice</li> <li>Oversight and Monitoring: Manage compliance monitoring plans, audit files, and collaborate on governance reviews to ensure operational integrity</li> <li>Conduct and Risk Management: Monitor conduct risks, manage conflicts of interest, and oversee breach identification and remediation</li> <li>Training and Development: Organize and deliver tailored training programs, ensuring staff are equipped with compliance knowledge and maintain professional certifications</li></ul>Requirements for the Compliance Officer include: <ul> <li>Minimum of 3 years in compliance within IFA/Wealth Management, with knowledge of FCA regulations.</li> <li>Ideally Level 4, or working towards Level 4 CII</li> <li>Strong organisational, analytical, and communication skills, with attention to detail and proficiency in Microsoft Office.</li> <li>Proactive, diligent, and team-oriented with the ability to manage multiple tasks and provide credible challenge to senior management.</li></ul>Benefits include: <ul> <li>25 days annual leave + bank holidays</li> <li>Pension Scheme 3% employer contribution</li> <li>DIS x 2 salary</li></ul>Note on Sponsorship: We regret to inform you that at this time, we are unable to offer sponsorship for work authorisation for this role. Therefore, candidates must possess valid authorisation to work in the UK without requiring visa sponsorship. Recruitment Consultant: Jo Howell Ref: 10709

Compliance Officer

Location University of Warwick Campus, Coventry /*generated inline style */ Department Education /*generated inline style */ Position Type Permanent /*generated inline style */ Salary £34,866 to £45,163 per annum /*generated inline style */ About the Role For informal enquiries, please contact Jackie Whitehouse (Head of Work-based &amp; Professional Learning) at <a href="mailto:Jackie.whitehouse@warwick.ac.uk" target="_blank">Jackie.whitehouse@warwick.ac.uk</a> OR Laura Yetton (Programmes Manager) at <a href="mailto:Laura.yetton@warwick.ac.uk" target="_blank">Laura.yetton@warwick.ac.uk</a>. We have an exciting opportunity to join the Work-Based &amp; Professional Learning Team, as part of the Flexible &amp; Online Learning Division within the Education Group as a Degree Apprenticeships Compliance Officer, a full time permanent post. The post will include working as part of a team who maintain an oversight of the collation of apprentice data for learner records, leading on audits (e.g. by the Education and Skills Funding Agency) and developing an embedded culture of compliance and risk management across the institution. The post holder will support the Programmes Managers, Head of Work-Based &amp; Professional Learning, other Professional Services staff and academic departments through provision of high quality, audit ready management of data to ensure compliance of Degree Apprenticeship programmes with our statutory obligations. /*generated inline style */ About You We are seeking an individual who is able to support multiple streams of work and is adaptive to new initiatives and priorities. The candidate should be a self starter, be able to work on their own initiative, demonstrating accurate and excellent attention to detail as well as being an effective communicator. You will be expected to demonstrate a proactive attitude to your work, supporting and contributing positively to departmental decision making, and engaging with all colleagues across the professional team. It is essential to have apprenticeship knowledge and experience working within this area. For further information regarding the skills required for this role please see the personal specification section of the attached job description. /*generated inline style */ About the Department This is an exciting opportunity to join a team working to establish alternative pathways into Higher Education across the University. Reporting directly to a Programmes Manager in the Work-Based &amp; Professional Learning Team the successful candidate will work with University departments and external stakeholders to ensure compliance with statutory and legislative obligations relating to Degree Apprenticeships. The department has a flexible approach to hybrid working, the candidate would be expected to be able to work on campus at least twice a week. There will be occasions when the successful candidate would be expected to work on campus when required for business need. /*generated inline style */ About the University Born in the 60s with a mindset of boldness, imagination and collaboration, the University of Warwick is a world-leading research-intensive university with the highest academic and research standards. We're one of the world's top universities, ranked 67th in the world and 10th in the UK*, with 92% of our research assessed to be 'world leading or internationally excellent'**. You'll be joining a diverse, innovative and globally connected community committed to igniting real world progress. Here at Warwick, we offer you opportunities to follow your ambitions as long as you bring the energy and determination to succeed. *QS World University Rankings 2024 ** Research Excellence Framework 2021 To find out more about us visit our website. /*generated inline style */ How to Apply CLOSING DATE: Sunday 12 January 2025 at 11.55pm To apply, please click 'Apply' below and submit an application form by the closing date. Please plan for any potential delays as you will not be able to submit an application past this deadline (even if you opened the form at, say, 11.30pm). Please attach a CV and cover letter. <ul><li>Your CV should include your most recent employment experience, any other relevant experience, and education history.</li><li>Your cover letter must detail how you meet each of the essential criteria found in the Job Description document below (desirable criteria too, where possible).</li></ul>Please see here for guidance on writing a cover letter. We highly recommend using individual criteria as headers and giving examples below, though you are free to format the letter as you wish. To streamline our hiring processes, we can only accept applications via our official website, warwick-careers.tal.net . Interview Date: TBC Start Date: TBC /*generated inline style */ What we Offer We will provide you with a great range of benefits, which include an attractive pension scheme, 30 days holiday plus Christmas closure, excellent learning and development opportunities, and savings on a wide range of products and services. We offer a generous maternity/paternity/adoption/parental leave policy, and onsite childcare facilities. We recognise the importance of a healthy work/life balance and offer you access to flexible working, for more information click here . We are proud to say that we are a Living Wage employer . If you are considering relocating to the UK, read our Relocation Guide to find out more about what Warwick has to offer and what might be involved in the process. /*generated inline style */ Our Commitment to Inclusion Warwick is committed to building an organisation of mutual respect and dignity, promoting a welcoming, diverse, and inclusive working and learning environment. We recognise that everyone is different in a variety of visible and non-visible ways, and that those differences are to be recognised, respected, and valued. Where possible, we go beyond legislation to provide a place where everyone can thrive, supporting all staff to achieve their full potential. We aspire to remove economic, social, and cultural barriers that may otherwise prevent people from succeeding. We therefore welcome and encourage applications from all communities regardless of culture, background, age, disability, sex/gender, gender identity or expression, ethnicity, religion/belief, or sexual or romantic orientation. To find out more about our social inclusion work at Warwick visit our webpages here . The University currently holds a Race Equality Charter Bronze Award , Athena Swan Sliver Award and a Disability Smart Bronze Award . The University of Warwick is also one of the six founder institutions of the EUTOPIA European University Alliance . Disclosure &amp; Barring Service (DBS) The University of Warwick is committed to safeguarding and promoting the wellfare of all those we work with. In line with the DBS Code of Practice, the successful candidates for any roles involving regulated activity, will be subject to a DBS check at the appropriate level. The University will take all neccessary measures to ensure that any individual subject to a barring order does not undertake any work with the barred group specified (ie. children and/or adults). We expect all employees, volunteers, and partners to share our commitment to safeguarding. Rehibilitation of Ex-Offenders The University undertakes not to discriminate against anyone who makes a disclosure relating to a conviction. The information disclosed at application stage is only visible to the central DBS team (ie. not recruiting managers) to ensure there is no bias during the shortlisting process. /*generated inline style */ Job Description JD - Compliance Officer (101431).pdf - 667KB Opens in a new window /*generated inline style */ Right to Work in the UK If you do not yet have the right to work in the UK and/or are seeking sponsorship for a Skilled Worker visa, please follow this link which contains further information about obtaining the right to work in the UK. /*generated inline style */ /*generated inline style */

Compliance Officer (101431-1224)

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 2024-92931 Update date 17/10/2024 Job description Business type Types of Jobs - Compliance / Financial Security Job title AML / OFAC Compliance Officer / Advisory (Financial Security) Contract type Permanent Contract Job summary Summary: This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Bank's staff on proposed transactions. He/she is expected to have knowledge of current anti-money laundering regulations, policies and requirements as per the Bank Secrecy Act, and the USA Patriot Act. Key Responsibilities: Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Review and issue regulatory guidance to Bank staff on proposed activities and transactions. Assist with the analysis of updates in regulations and/or policies to ensure that the Bank is compliant with US regulations, as well as the Bank's policies and procedures. Assist with the implementation of any new requirements that come as a result of new regulations or policies and procedures. Provide guidance to Front Office and Support staff on AML specific queries concerning proposed customers and/or transactions. Assist with analysis of data for the Bank's BSA/AML and OFAC Risk Assessments. Management and Reporting: The position reports directly to the Head of Advisory - Financial Security. Key Internal Contacts: The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support. Key External Contacts: The employee may have occasion to interact with external auditors and/or regulators during exams. #LI-DNI Supplementary Information Salary Range: $120k - $150k Position location Geographical area America, United States Of America City NEW YORK Candidate criteria Minimal education level Bachelor Degree / BSc Degree or equivalent Academic qualification / Speciality College Degree Level of minimal experience 6-10 years Experience <ul><li>5-10 years</li><li>CAMS Certification</li><li>Knowledge of US AML and OFAC regulations </li><li>Knowledge of International AML and Sanctions regulations</li><li>IT Knowledge of Payment systems</li><li>IT Knowledge of AML tools</li></ul>

AML / OFAC Compliance Officer / Advisory (Financial Security)

Company Description Job Description About the Agency: The New York City Department of Housing Preservation and Development (HPD) is the nation's largest municipal housing preservation and development agency. Its mission is to promote quality housing and diverse, thriving neighborhoods for New Yorkers through loan and development programs for new affordable housing, preservation of the affordability of the existing housing stock, enforcement of housing quality standards, and education programs for tenants and building owners. Job Description: Reporting to the First Deputy Commissioner, the Chief Compliance Officer (CCO) will lead the Office of Compliance &amp; Risk Management (CRM), a new Office within HPD that the CCO will have the unique opportunity to help to build and expand. When fully staffed, this Office will centralize various compliance, oversight, and hearing functions from across the agency critical to ensuring fairness, consistency, and equity in both our external and internal engagement. It will also create the policies and procedures that establish the governing framework for meeting agency obligations. CRM will be responsible for coordinating the agency's compliance programs, liaising with the units and staff responsible for relevant compliance responsibilities, audit responses, site standard adherence for financed construction work, public-facing appeals and hearings, and managing risk for the agency. The CCO, in collaboration with program teams across the agency, will ensure that HPD and its partners comply with laws (federal, state, and city), regulatory requirements, policies, and procedures. The CCO will also work with senior management to identify potential compliance and integrity risk areas and will opine on and recommend appropriate action plans to address identified risks. Through these efforts and initiatives, the CCO will promote a sustainable culture of ethics and accountability within the agency, helping program areas manage compliance autonomously. The Chief Compliance Officer's responsibilities will include: -Supervise, track, monitor, and maintain expertise on areas of compliance impacting affordable housing production, maintenance, and subsidy; these include regulations imposed by the U.S. Department of Housing and Urban Development, U.S. (and NYS) Department of Labor, and Internal Revenue Service; New York State legislation; and New York City Local Laws, Codes, and Rules. -In close coordination with senior staff, establish goals around agency and program compliance performance, and measure accomplishments in service to initiatives and targets set by the Agency's Executive team. -Direct internally driven monitoring/quality assurance work, and provide support for program audits, monitoring, and investigations initiated by HUD, NYC and NYS Comptrollers' Offices, and other external oversight and enforcement entities. -Advise and educate agency program areas on designing, building and managing effective and efficient compliance programs. Maintain cooperative working relationships with high level managers in all areas of HPD to enhance coordination and information-sharing. -Research, recommend, and support the implementation of changes to operating policies and procedures, as needed, due to updates in organizational or agency needs, or in light of changes in applicable rules, regulations, and requirements of federal, state, and legal or regulatory authorities. -Drive the development of programming and tools for CRM, ensuring that strategies, operations, and programs are aligned across Divisions and with Agency goals. Minimum Qualifications: Candidates will need to meet the civil service requirements of Executive Agency Counsel. -Admission to the New York State Bar; and four years of recent full-time responsible, relevant, satisfactory legal experience subsequent to admission to any bar, eighteen months of which must have been in the supervision of other attorneys, in an administrative, managerial or executive capacity, or performing highly complex and significant legal work. Incumbents must remain Members of the New York State Bar in good standing for the duration of this employment. Preferred Skills and Qualifications: -A minimum of 5 years' experience in successfully managing compliance programs, preferably in a public administration, real estate, affordable housing, not-for-profit, or multi-sector context, with a minimum of 2 years in a leadership role. -Experience with regulatory compliance including interacting with regulatory authorities and oversight agencies (NYC Comptroller, NYS Comptroller, Department of Investigations, etc.) -High level of capacity for creative thinking and problem solving; a motivated team player. -Strong collaborator across all levels of management and experience, and with a wide array of internal and external stakeholders -Excellent management skills, including demonstrated experience building out and managing large teams, with a commitment to establishing and fostering a positive and inclusive organizational culture and structure. -Passion for public service. Please submit a cover letter as part of your application. Qualifications Admission to the New York State Bar; and four years of recent full-time responsible, relevant, satisfactory legal experience subsequent to admission to any bar, eighteen months of which must have been in the supervision of other attorneys, in an administrative, managerial or executive capacity, or performing highly complex and significant legal work. Incumbents must remain Members of the New York State Bar in good standing for the duration of this employment. Additional Information The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.

Chief Compliance Officer, Associate Commissioner for Compliance & Risk Management

Position Type: Secretarial/Clerical/Secretary - ELL Compliance Manager Date Posted: 10/29/2024 Location: Central OfficeStarting Hourly Pay: $15.86 Per Hour **Hiring for (3) positions** Attachment(s):<ul><li>JD_MultilingualCompliMgrSecy</li></ul>

Secretary, ELL Compliance Manager (Multilingual Dept)

Für Unseren Mandanten, Einer Der Führenden Dienstleister Im Gesundheitswesen, Suchen Wir Zum Nächstmöglichen Zeitpunkt Einen Compliance-officer (m/w/d) Für Den Standort Wesel. die Stelle Wird Im Rahmen Der Direktvermittlung Besetzt. aufgabengebiet<ul><li>verantwortung Für Die Compliance-funktion Im Factoringinstitut Mit Fokus Auf Marisk-compliance, Direkte Berichtslinie Zur Geschäftsführung</li><li>überwachung Der Einhaltung Gesetzlicher Und Interner Vorgaben Sowie Beobachtung Rechtlicher Entwicklungen</li><li>beratung Des Managements In Compliance-fragen</li><li>erstellung Von Reports Und Unterstützung Bei Der Berichterstattung</li><li>zusammenarbeit Mit Der Compliance-funktion Der Unternehmensgruppe</li></ul>anforderungsprofil<ul><li>abgeschlossenes Studium Im Wirtschaftsrecht Oder Vergleichbare Qualifikation Mit Praxiserfahrung In Compliance</li><li>idealerweise Erfahrung Im Compliance- Oder Risikomanagement, Bevorzugt In Einem Factoringinstitut</li><li>selbstständige, Sorgfältige Und Zuverlässige Arbeitsweise</li><li>ausgeprägtes Analytisches Und Konzeptionelles Denkvermögen</li><li>interesse An Der Bearbeitung Komplexer Themenstellungen</li></ul>benefits<ul><li>ein Attraktives Vergütungspaket Inkl. Weihnachts- Und Urlaubsgeld</li><li>flexible Arbeitszeiten Und Die Möglichkeit, Teilweise Aus Dem Homeoffice Zu Arbeiten</li><li>30 Urlaubstage Im Jahr</li><li>jobrad</li><li>bezuschussung Zum Deutschlandticket</li><li>bedarfsorientierte Schulungen Und Trainings</li><li>eine Persönliche Einarbeitung Und Eine Familiäre Unternehmenskultur</li></ul>kontakt bei Interesse An Der Angebotenen Vakanz Senden Sie Uns Bitte Ihre Vollständige Und Aussagekräftige Bewerbung Zu - Ihr Lebenslauf Und Ihre Zeugnisse Genügen. Ihre Bewerbung Wird Bei Uns Im Hause Von Suna Bell Bearbeitet. um Eine Zügige Und Nachhaltige Bearbeitung Ihrer Unterlagen Sicherzustellen, Bitten Wir Sie, Sich Ausschließlich Online Über Unsere Homepage Zu Bewerben. Bitte Beachten: Aufgrund Der Besseren Lesbarkeit Verwenden Wir Im Text Durchgehend Nur Die Männliche Form - Allerdings Sind Alle Von Uns Verwendeten Ausdrücke In Weiblicher, Männlicher Und Diverser Form Zu Verstehen.

Compliance-Officer (m/w/d)

Hard FM Technical Compliance Manager Semperian Infrastructure Group have an opportunity for a Hard FM Technical Compliance Manager to join the team on a full time, permanent contract basis. The role will report to the SPC General Manager and will be responsible for the front-line monitoring of the compliant delivery of Hard FM services by the Service Provider. The role involves managing inspections, audits, reporting, and monitoring remediation activities to guarantee compliance and efficiency across all technical operations, as set out in the contractual documents. Hard FM Technical Compliance ManagerResponsibilities <ul><li>Establish key relationships with Contract Representatives from client and Service Provider.</li><li>Attend meetings with Stakeholders to monitor and improve service delivery (Daily).</li><li>Monitoring of hard services including planned maintenance completion against the maintenance schedule and completion of reactive and remedial maintenance within the Contractual SLAs. </li><li>Ensure that all technical aspects of service outputs are delivered by the Service Provider, to comply with the Hard FM Services Contract and PFI Project Agreement on behalf of the SPC. </li><li>Ensure that works are delivered in a timely manner to avoid financial penalties. </li><li>Build relationships with service partners and attend regular planned meetings where appropriate and ensure full cooperation as and when required.</li></ul>Hard FM Technical Compliance ManagerRequirements <ul><li>Qualified at Degree level in either Mechanical or Electrical Engineering/Building Services </li><li>Knowledge and understanding of Electrical, Mechanical and HVAC systems &amp; compliance </li><li>Experience in the PFI Sector working in a large acute hospital</li><li>Demonstrated previous experience of management of Hard FM / Technical Services Contracts Version 01 3 of 3 Personal Attributes: Special Conditions:</li><li>The ability to influence change where required, along with customer facing attitude</li><li>Good communication skills with the mental agility to 'think on feet' and provide convincing practical solutions in a timely manner</li><li>Successful DBS check of relevant level </li></ul>About Semperian Group Limited Semperian Group is a dedicated team of infrastructure experts sharing a core understanding: that effective day to day management delivers value, stability and returns over the long term. As one of the largest SPV and Asset Management service providers to the PPP / PFI infrastructure market, we seek to protect and enhance the value of our investor's assets, which currently stand at £3bn. Location: Bromley Job Type: Permanent, full time Salary: Up to £85,000 Diversity: We're incredibly proud to be an equal opportunity employer and are working to create a more diverse and inclusive workplace that celebrates diversity and creates equity amongst our employees. We are proud of the work we have done so far, but know that we still have a way to go both as an employer and in supporting the industry to represent the communities and society we operate in. We encourage applications from candidates of all backgrounds. If you require reasonable adjustments at any part of your application, please get in touch. Semperian Group welcome applications from ex-service and other former military personnel. We are committed to honouring the Armed Forces Covenant and supporting the Armed Forces community.

Hard FM Technical Compliance Manager

Job Title: Group Trade Compliance Manager Line Manager: Group Head of Trade Compliance &amp; QHSE Location: London, UK Conditions: Full Time (Monday to Friday) Role Purpose: This is a group functional role that is responsible for assisting all aspects of trade compliance and quality. The role-holder will support our global operating entities to drive a compliant, qualitive and service orientated approach which will underpin B&amp;H's ambitious growth plans and Best in Class service. This includes assisting in maintaining and extending our EN 9120:2018 / ISO 9001:2015 certification. Main Role and Accountabilities: Trade Compliance: <ul><li>Support the team to ensure that each region meets all local and international regulations relating to trade compliance. Liaising with the appropriate regulatory bodies in each region. Including control and oversight of all Trade Compliance subjects, such as: <ul><li>Import and Export Customs Entries </li><li>Warnings, Fines and Penalties</li><li>Internal Audits </li><li>External audits and communication with the relevant regulatory bodies </li><li>Denied Party Screening </li><li>KYC Forms </li><li>Powers of Attorney</li></ul></li><li>Assist with the training and maintenance of trade compliance subjects, including but not limited to:<ul><li>Commodity Codes</li><li>Dangerous Goods</li><li>Imports and Exports</li><li>Incoterms </li><li>Export Licences </li><li>ITAR</li><li>Customs Schemes</li></ul></li><li>This role may involve travel to other B&amp;H Worldwide offices and customer sites. </li><li>Support the department in helping the business expand into other industry sectors.</li></ul>Quality: <ul><li>QMS (EN 9120:2018): Assisting with a consistent approach to QMS and its deployment. This includes the documentation of policy and key procedures.</li></ul><ul><li>Auditing: Assisting with all audit activity, including but not limited to:<ul><li>Internal Accreditations with external accreditation bodies:<ul><li>IS09001 </li><li>AS09120</li></ul></li></ul></li></ul><ul><li>Internal Audits with each region </li></ul><ul><li>External Customer Audits - including audits conducted by customers and by external bodies (Example - ASA100 Audits)</li></ul>Risk Management <ul><li>Support regional management teams with the identification, assessment, and prioritization of risks.</li><li>Evaluate the appropriateness of risk plans and monitor their effectiveness.</li><li>Develop and maintain business continuity plans for all B&amp;H offices.</li></ul>Business Continuity <ul><li>Assist with any activity relating to our business continuity program, including but not limited to emergency response plans and crisis management tests.</li></ul>NCR <ul><li>Support the team with NCR processes, training and KPI's.</li></ul>Culture: <ul><li>Embed a culture throughout the organisation where compliance and quality is central to everything we do. </li><li>Lead on internal training initiatives that focus on driving a customer first ethos.</li></ul>Process Improvement: <ul><li>Effectively communicate on performance to the senior management team, identifying areas of success and potential improvement. </li><li>Drive an operational process excellence mindset across the operations team where process optimization, continual improvement and productivity are vital. </li><li>Overall responsibility for new processes and changes to existing process designs in line with group methodology. </li><li>Reduce the cost to serve whilst increasing scale/capacity.</li></ul>Health and Safety: <ul><li>Assist with ad-hoc health and safety tasks as and when required to ensure the company is safe and compliant to all relevant regulations.</li></ul>Personal Attributes: <ul><li>Solid leadership skills</li><li>Professional, fair, works well in a team, and respects others</li><li>Ambitious, with a willingness to create improvement, and resilient</li><li>Outgoing, energetic, positive, engaging, passionate, enthusiastic, and decisive </li><li>Curious, continuous improver, fast learner, and accountable</li></ul>Key Skills and Attributes: <ul><li>Proven experience in a customer-facing, fast-paced environment, ideally with Operational leadership within logistics / air freight industry.</li><li>Natural influencer with the ability to connect with all levels of the business.</li><li>Experience in working in trade compliance / audit environments.</li><li>Excellent skills in building relationships and developing partnerships across multiple stakeholders and with customers.</li><li>Be an excellent communicator with the ability to confidently and credibly engage with employees, customers and other external partners and not afraid to ask for information, when required.</li><li>Self-starter and ability to challenge the status quo.</li><li>Excellent time management skills with the ability to work without continuous supervision and close attention to detail.</li><li>Excellent IT skills, including Microsoft Office suite and project management, with the ability to produce presentations, analyse and report on data and make recommendations.</li><li>Be flexible and have a hands-on approach with the ability to take ownership of queries and see them through to completion.</li><li>Highly organised, with the ability to prioritise and manage multiple tasks simultaneously and meet deadlines.</li><li>Proven record of being responsive and innovative.</li><li>Have the ability to work under pressure in fast paced changing environment.</li><li>Advanced problem-solving skills.</li><li>Able to operate at both strategic as well as at a tactical / day to day level.</li><li>Strong analytical skills to be able to assess complex data quickly and propose solutions to satisfy both the customer and B&amp;H's objectives.</li></ul>Qualifications and Experience: <ul><li>Lead auditor qualification, desirable </li><li>Degree calibre or equivalent</li><li>Experience of leading change management including cultural change</li></ul>About Us The Global Institute of Logistics has named B&amp;H Worldwide as the world's Best in Class Global Aerospace Logistics Company. As the benchmark independent freight forwarder in the global aerospace logistics space, our vision is to be the most respected, valued, passionate, and entrusted leader in global aerospace logistics. We aim to provide our employees with a rewarding, safe, and empowered environment that fosters high standards. Working at B&amp;H Worldwide you will have the opportunity to grow your career supported by an award-winning team and industry-leading systems and processes. At B&amp;H we are fully committed to rewarding dedication and success and supporting staff to achieve their full potential.

Group Trade Compliance Manager

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview PIMCO is seeking a highly skilled and motivated Compliance Expert with extensive knowledge of EMEA's regulatory frameworks, specifically focused on financial promotions, Client Facing Activities, and Environmental, Social, and Governance (ESG) considerations. This role is critical for maintaining a best-in-class Compliance program across PIMCO's EMEA operations, ensuring that all marketing and promotional activities adhere to regulatory requirements while effectively supporting business objectives. The successful candidate will be based in London and will play a pivotal role within the EMEA Regulatory Compliance team, directly influencing the integrity and effectiveness of financial promotions. Key Responsibilities Financial Promotions Compliance Management: <ul><li>Oversee the compliance aspects of PIMCO EMEA's financial promotions, ensuring that all marketing materials and communications meet regulatory standards and accurately represent products and services</li><li>Ensure adherence to regulations concerning New Products, ESG and Suitability Requirements, and Marketing (both digital and in-person), including the implications of Brexit on promotional activities</li></ul>Regulatory Advisory for Marketing Initiatives: <ul><li>Provide pragmatic and actionable compliance advice to PIMCO's EMEA legal entities and branches, particularly in London, Munich, Milan, Madrid, and Zurich, with a focus on financial promotions and client engagement strategies</li><li>Act as a trusted advisor to marketing and business units on compliance policies and procedures, fostering a culture of compliance that prioritizes transparency and client trust in promotional activities</li></ul>Enhancing Marketing Program Efficiency: <ul><li>Collaborate closely with the Marketing and Product Strategy Departments to understand their needs and ensure that all financial promotions comply with applicable regulatory frameworks</li><li>Identify opportunities to enhance the efficiency and effectiveness of compliance program execution, ensuring that marketing efforts are both compliant and impactful</li></ul>Regulatory Environment Analysis for Marketing Impact: <ul><li>Conduct ongoing "horizon scanning" to identify regulatory changes and emerging expectations from regulators that may affect financial promotions and marketing strategies</li><li>Analyze industry best practices to continuously evolve and improve the EMEA Compliance program, ensuring it meets the dynamic needs of clients and aligns with marketing objectives</li></ul>Global Team Contribution: <ul><li>Actively participate in local, regional, and global project work and working groups, contributing to the success of PIMCO's global regulatory compliance team</li><li>Share insights and best practices with colleagues to foster a collaborative compliance culture that enhances the effectiveness of financial promotions</li></ul>Requirements <ul><li>Experience: Proven compliance experience in the financial services sector, with a strong focus on EMEA regulations related to financial promotions, Client Facing Activities, and ESG</li><li>Regulatory Expertise: In-depth knowledge of UK and EU regulatory requirements governing financial promotions, including the implications of Brexit, and a proven ability to manage and enhance risk-based compliance monitoring programs</li><li>Analytical Mindset: Strong analytical skills for assessing regulatory changes and conducting "horizon scanning" to proactively evolve compliance strategies that impact marketing initiatives</li><li>Communication Skills: Exceptional verbal and written communication abilities, capable of conveying complex regulatory concepts clearly and delivering effective training to marketing teams and diverse audiences</li><li>Interpersonal Skills: A collaborative team player who builds strong relationships across departments, influences stakeholders, and promotes a culture of compliance that enhances the integrity of financial promotions</li><li>Client Service Orientation: A commitment to balancing regulatory requirements with business needs, demonstrating flexibility and adaptability in approach to ensure effective and compliant marketing strategies</li><li>Attention to Detail: Meticulous organizational skills with a focus on thorough documentation and the ability to manage multiple projects in a fast-paced environment</li><li>Professional Integrity: A high level of professionalism and ethical standards, with a proactive approach to identifying and addressing compliance risks associated with financial promotions</li></ul>Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Compliance Officer (Client Facing / Financial Promotions) - 12m Contract (London)

Who we are We simplify wealth creation. Founded in 2014 in Vienna, Austria by Eric Demuth, Paul Klanschek and Christian Trummer, we're here to help people trust themselves enough to build their financial freedom - for now and the future. Our user-friendly, trade-everything platform empowers both first-time investors and seasoned experts to invest in the cryptocurrencies, crypto indices, stocks*, precious metals and commodities* they want - with any sized budget, 24/7. Our global team works across different cultures and time zones, bringing our products to more than 4 million customers, making us one of Europe's safest and most secure platforms that powers modern investing. Headquartered in Austria but operating across Europe, our products are built by fast-moving, talented, "roll-up-your-sleeves-and-make-it-happen" kind of people. It's these diverse perspectives and innovative minds operating as ONE TEAM that keep Bitpanda at the cutting edge of our industry. So if you're someone who thinks big, moves fast and wants to make an impact right from day one, then get ready to join our industry-changing team. Let's go! Your mission As Compliance Officer (UK) with the Bitpanda Group, you will play a key role in shaping the future of regulatory compliance across the organisation, ensuring adherence to UK and EU standards, particularly in the crypto space. Collaborating with a skilled and dedicated team of compliance professionals from Bitpanda's regulated entities across Europe, you will take ownership of key regulatory projects, contribute to strategic initiatives, and help shape a robust and innovative compliance culture within the organisation, particularly in the UK. What You'll Do: <ul><li>Regulatory Compliance Oversight: Ensure adherence to UK/EU regulations for crypto-asset service providers, maintaining high ethical standards.</li><li>Risk Management: Conduct compliance risk assessments, develop action plans, mitigate risks, and report findings to senior leadership.</li><li>Programme Management: Design and enhance internal controls, policies, and procedures to keep pace with regulatory changes and best practices.</li><li>Training and Awareness: Create and deliver compliance training programs to foster a strong compliance culture across the organisation. </li><li>Stakeholder Engagement: Collaborate with department heads, senior management, and regulatory authorities to ensure group-wide compliance and operational success.</li></ul>Who You Are: <ul><li>Regulatory Expertise: Strong knowledge of UK/EU regulations for crypto-asset businesses (e.g., MiCA, MLRs, MiFID II, FSMA, PSD2) and the FCA's Handbook, with a focus on crypto-related compliance.</li><li>Crypto and Fintech Enthusiast: Passionate about crypto/fintech innovation, with experience in compliance or audit within financial services or regulated environments, and familiarity with tools like Chainalysis and SumSub.</li><li>Cross-Border Experience: Proven ability to manage compliance across jurisdictions, with expertise in the UK, EU, and any within MENA/APAC regions is advantageous. Experience securing licenses for international expansion is a plus.</li><li>Qualified and Certified: Degree in a relevant field and compliance certifications such as CAMS or ICA are an advantage.</li><li>Core Competencies: Team-oriented, detail-focused, highly organised, and resilient, with strong communication skills and the ability to handle complex regulatory challenges.</li></ul>What's in it for you <ul><li>We're proud of our flexible working model that includes 2 days (minimum) working from the local Hub, plus 60 Work From Anywhere days annually</li><li>Total compensation package including participation in our Bitpanda stock option plan</li><li>Competitive benefits programs and policies shaped by our flexibility-first philosophy </li><li>Exclusive premiums when trading on Bitpanda</li><li>Company-wide and team events - both in-person and virtually!</li><li>Bitpanda swag to keep you living the brand</li></ul>And, above all, the opportunity to learn and grow as part of Bitpanda's incredible journey towards being Europe's future #1 investment platform. Bitpanda is committed to fostering a fair and equal environment based on trust and mutual respect. We believe that a diverse and inclusive workplace is paramount to our success and we are committed to building a team that represents a wide variety of backgrounds, perspectives, and skills.

UK Compliance Officer

Job type: Permanent, full-time We're on the search for an enthusiastic and organised Compliance Manager to shape, lead, coach and mentor our Compliance Team to continue delivering great customer outcomes while maintaining our high standards of operational compliance. We're looking for somebody who can help our people navigate the legal regulatory landscape with confidence. Somebody who has the expertise to work on complex compliance queries and who can not only identify trends or patterns of concern but can also make suggestions to mitigate them. Responsible for ensuring our policies, practices, key documents and risk registers are up to date as well as taking the lead on accreditations such as Lexcel and CQS, you'll have a real impact across the business. Working closely with our Head of Risk &amp; Operations, this role will help to create a continuous improvement culture and drive initiatives to improve process, performance, and efficiency, engaging effectively with all relevant stakeholders and ensuring that change is applied consistently and thoroughly. A key requirement of this role will be to keep up to date with relevant regulatory and legislative changes, identifying areas where updates or changes are required as a result and coordinating and delivering Compliance training where needed. We'd love to hear from you if you are an experienced Compliance professional from a regulated environment and have experience of people leadership. This is an exciting time to join us at LA as we've just launched our new People Strategy and are taking a fresh look at our ways of working. Our core hours of work are 37.5 per week, Monday to Friday however if you'd like to talk to us about a different working pattern we would welcome a conversation with you. In return, we offer a competitive package including holiday of up to 25 days plus bank holidays, additional day off at Christmas and Birthday, Life assurance, Private Medical Insurance, contributory Pension scheme, access to Perkbox &amp; Perkbox Medical - an online discounts platform, which includes discounted cinema tickets, discounts at various shops and lots more.

Compliance Manager

About the job Our client, a Global Bank, are looking for a Central Compliance Officer to join their Compliance team based in London. Responsibilities below: <ul> <li>Administration of the Senior Managers Regime Certification Regime (SMCR)</li> <li>Maintain and report on Personal Account Dealing activities</li> <li>Compliance Reporting / Control work</li> <li>Trade reporting on UK stocks</li> <li>Compliance reviews</li> <li>Data Loss Prevention</li> <li>General Compliance matters</li> </ul>Previous experience within Compliance is preferred. For further information please don't hesitate to contact me on my email: Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative. Morgan McKinley encourages applications from all qualified candidates who represent the full diversity of communities in the UK. Accommodations are available on request for candidates taking part in all aspects of the selection process. BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

Central Compliance Officer

This is a hybrid role working 3 days per week in the office (City of London location) and 2 days working from home. Role Purpose: To support the delivery of the Bank's Compliance Monitoring Plan and to provide advice and guidance to the business on compliance matters. Responsibilities: This is a generalist compliance role, covering both compliance advisory and monitoring responsibilities: Compliance Advisory <ul><li>Provide first line with regulatory guidance/advice where required, recording, analysing and reporting monthly to Head of Compliance</li><li>Review Bank-wide policies and procedures against regulatory requirements and best practice, completing a gap analysis accordingly, making recommendations for change and monitoring for closure.</li><li>Undertake regulatory horizon scanning ensuring that all regulatory changes that will impact the Bank are known, communicated (including providing summary and undertaking gap analysis when required) and plan for implementation.</li><li>Assessment, approval and recording of financial promotions in line with the Bank policy.</li><li>Preparation and distribution of Compliance and Conduct Management Committee pack including minutes and action log.</li><li>Assistance in the design and delivery of Bank wide Compliance training where required</li></ul>Compliance Monitoring <ul><li>Complete regular Compliance Monitoring engagements in accordance with the annual Compliance Monitoring Plan</li><li>Take the lead in carrying out Compliance Monitoring reviews in accordance with the Compliance Monitoring Procedure</li><li>Ensure testing scripts meet the required specification to enable robust testing to be undertaken</li><li>Produce high quality monitoring reports in a timely manner, clearly the identifying issue, root cause and required actions</li><li>Review and critically appraise evidence presented in support of proposed action closure</li><li>Assist in updating the Compliance Risk Assessment with the output from Compliance Monitoring reviews</li></ul>Skills and Experience sought: <ul><li>Previous experience in a financial services compliance role, ideally in a banking environment</li><li>Competent IT (Word, Excel, PowerPoint) and presentation skills</li><li>Detailed knowledge of PRA/FCA rulebooks in relation to areas of responsibility</li></ul>Remuneration and Benefits: <ul><li>competitive salary and bonus package</li><li>matched pension contributions up to 7%</li><li>26 days annual leave plus two wellbeing days and opportunity to purchase additional holiday</li><li>flexible and hybrid working </li><li>private medical insurance via Vitality </li><li>life, income protection and critical illness insurance</li><li>enhanced family leave pay</li><li>extensive learning and personal development opportunities</li><li>electric car scheme and cycle to work scheme</li><li>season ticket loan </li><li>wellbeing support - discounted gym membership, employee assistance programme, 24/7 private GP access for staff and their immediate family (online), 1:1 key life stage coaching</li></ul>

Compliance Officer | Compliance

We are open to this role being in a location not listed. Waystone leads the way in specialist services for the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years' experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence. Summary: Reporting to the Group Chief Compliance Officer the Group Head of Compliance operations will be responsible to oversee and implement all aspects of Group Compliance Operations Framework to include a Monitoring and Testing program, the Attestations process, Fitness and Probity, Personal Account Dealing, Gifts and Entertainment Log, mandatory training and preparing reporting for the Group Risk and Compliance Committee. The successful candidate will manage a team in multiple locations. Working closely with the relevant local compliance officers they will design and implement an appropriate framework that will meet with Group and local requirements. The successful candidate will also participate in regional and global projects / assignments within the Compliance function. ESSENTIAL DUTIES AND RESPONSIBILITIES <ul><li> Maintain and refine the Group Compliance Operations Framework, with a focus on the following areas:<ul><li> Compliance Monitoring Plan and Reporting<ul><li> Design and implement an appropriate and effective Compliance Monitoring plan across all business units. </li><li> Working with the local compliance officers to ensure regular risk-based Compliance Regulatory Focus assessments are completed and utilize these to design testing schedule and plans. </li><li> Facilitate Compliance Monitoring testing in accordance with the schedule and plans, and in collaboration with local compliance officers and their teams.</li><li> Analyse Monitoring results and report key findings to the relevant entity Compliance officer and the Chief Compliance Officer</li><li> Assist Local Compliance officers in bringing remediation actions to a successful conclusion.</li></ul></li></ul></li></ul><ul><li> Compliance Employee Declarations and Attestations<ul><li> Manage and oversee the Group's Compliance declarations policy reporting processes (eg. Personal Account Dealing, Gifts and Entertainment, etc).</li><li> Ensure an appropriate and effective process and system s is in place for review and if necessary approval of covered employee activities to ensure they are in line with existing policies </li><li> Maintain records of employee declarations/attestations to enable reporting at entity and Group level</li><li> Ensure an appropriate escalation process is in place to address any violation or beaches of the applicable policies.</li></ul></li></ul><ul><li> Fitness And Probity <ul><li> Coordinate with local compliance officers, Company Secretaries, and P&amp;D senior management to ensure that all relevant individuals complete F&amp;P attestations in a timely manner.</li></ul></li></ul>Manage the F&amp;P attestations process in all in scope Group companies to ensure compliance with regulatory requirements for senior management and other key staff <ul><li> Regularly review and update the F&amp;P framework to ensure alignment with changing regulatory expectations.</li><li> Prepare reports for senior management, local Compliance officers and regulators on the F&amp;P attestation process and results.</li><li> Utilising available software and systems to assist in automating the collection and storage of data.</li></ul><ul><li> Mandatory training:<ul><li> Oversee the development, implementation, and tracking of the firm's mandatory compliance training programs </li><li> Work closely with the P&amp;D function teams to design relevant training modules, ensuring they address the firm's compliance obligations.</li><li> Report on training completion rates and follow-up with non-compliant employees to ensure timely completion by all employees, . including senior management, within established deadlines.</li></ul></li></ul><ul><li> Represent the compliance function on external and internal working groups and committees in relation to Group projects, where required </li><li> Participate in and, where appointed, lead Group Compliance initiatives. </li><li> Assist in any enhanced Regulatory interactions including compiling data and preparation for on-site assessments.</li></ul>REQUIREMENTS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Experience: <ul><li> Leadership - a proven ability to lead a global Compliance Operation team, situated in multiple locations.</li><li> Proven capabilities in particular in relation to risk-based compliance monitoring, personal account dealing and fitness and probity requirements.</li><li> High level of accuracy and attention to detail and an ability to analyse Compliance data to identify trends and risks to make informed recommendations to senior management or local compliance officers. </li><li> Excellent verbal and written communication skills, with the ability to present issues clearly and concisely to senior management, boards, committees and Regulators.</li><li> Strong project management skills with the ability to manage multiple projects simultaneously.</li><li> A minimum of 7 years' experience in a Compliance operations role in a global financial services firm. </li><li> An in-depth understanding of how to align the constituent parts of an effective Compliance operation framework</li><li> Proficient in the use of systems and software to help automate the manual processes and reporting with the Compliance Operations team. </li></ul>Education / Qualifications: <ul><li> Specific compliance and or AML related qualification</li><li> Third Level / University qualification - Business / Law / Governance or equivalent or similar professional qualification an advantage</li></ul>

Head of Compliance Operations

In order to ensure best and consistent practice across all departments and offices of Mercer &amp; Hole, there is a requirement to resource additional skilled support to the partners of the firm, to address compliance risk. This role will ensure that the firm adheres to legal, regulatory, and internal standards, while also identifying, assessing, and mitigating risks as matters arise. Best and consistent practice will involve designing, reviewing, managing and adapting our approach in how we address compliance risk. This position is essential to maintaining the firm's integrity, protecting client information, and preserving the firm's reputation. This role is not expected: <ul><li>to have any dealings with the FCA and Financial Planning regulations; or</li><li>compliance in relation to the Insolvency Act and Rules.</li></ul>Main function of job (Note: in addition to these functions employees are required to carry out such other duties as may reasonably be required). As an ICAEW firm, registered for audit, it is expected that the firm complies with all necessary technical requirements of our registrations and associated codes of conduct therein - including, but not limited to, a range of investment business activities, reserved legal activity of non-contentious probate, and subject to the ICAEW's Code of Ethics and Professional Conduct in Relation to Tax. A full understanding and continued appraisal of these requirements is required to ensure that the firm's practises enable adherence to them, with ongoing adaptation as appropriate. To bring about: <ul><li>Risk reduction: Proactively identifying and managing risks helps prevent financial losses, reputational damage, and regulatory penalties.</li><li>Regulatory Compliance: Ensures the firm avoids legal issues, fines, and sanctions by staying compliant with regulations.</li><li>Client Trust: Promotes client confidence by safeguarding sensitive data and upholding ethical standards.</li><li>Operational Efficiency: Establishes effective controls, processes, and training that streamline compliance across the firm's operations.</li></ul>Key Responsibilities and Main duties Regulatory Compliance: <ul><li>Professional bodies - ensures compliance with the appropriate regulations of the firm, including but not limited to, ICAEW member firm rules and regulations (the Audit Regulations and Guidance, DPB Handbook, Probate Regulations and Practice Assurance Regulations), CIOT and STEP member requirements, approved training firm requirements under all professional bodies supported by us as a firm (for example CTA, ACCA, AAT, ATT, CIPP).</li><li>Supports the firm's Audit Compliance Principal/ Partner - in ensuring compliance with International Standard on Quality Management 1 (ISQM1). </li><li>Professional firm legal requirements - ensures adherence to necessary Acts where we have a duty to report behaviour that contravenes said Acts, whether internally or relating to clients of the firm, including but not limited to Anti-Money Laundering Regulations 2017 (as amended), The Proceeds of Crime Act 2002, The Bribery Act 2010, The Criminal Finance Act 2017 and relevant data protection legislation, including GDPR/Data Privacy, Cybersecurity. </li><li>Stays updated on regulatory changes and assesses their impact on the firm. A full understanding and continued appraisal of the firm's regulatory requirements is required to ensure the firm's practises enable full adherence to them, and that the firm has the agility to make ongoing adaptation as appropriate.</li><li>Implements and manages policies that meet regulatory requirements for ethical conduct, client confidentiality, and reporting standards.</li><li>Ensures the firms' terms of engagement, schedules of services, standard terms and conditions and other formal external and internal terms are reflective of practical behaviours and suitably accurate so as to mitigate against risk of claim against the firm. </li><li>The role would be considered for the role of Money Laundering Reporting Officer if holds suitable experience and professional qualification.</li></ul>Risk Assessment: <ul><li>This role reviews risk management related policies and procedures, the documentation and practical application thereof being at the forefront of any review.</li><li>Identifies potential financial, operational, reputational, and compliance risks across client engagements and internal operations and identifying how practical processes should change in response.</li><li>Conducts regular risk assessments to identify gaps or issues and respond in a timely way.</li><li>Advises leadership on identified risks and recommend and implement practical mitigation strategies.</li></ul>Collaboration of Internal Controls and Policy Development: <ul><li>Works collaboratively with various departments, including HR, IT, Finance and internal administration to integrate policies and procedures into daily business operations. </li><li>Ensures that policies regarding client acceptance, ongoing independence and other ethical matters, including client confidentiality are followed.</li></ul>Training and Awareness: <ul><li>Conducts and/or arranges training for staff on compliance topics such as data privacy, anti-money laundering (AML), and ethical standards.</li><li>Promotes a culture of compliance and integrity across the firm.</li></ul>Client Due Diligence: <ul><li>This role oversees the client acceptance process, including training and support for those performing Know Your Client (KYC) checks and due diligence to manage financial crime and money laundering risks, as well as internal 'quality client' take-on and disengagement policies.</li><li>Supports the client facing teams in assessing new clients' risk levels and determining appropriate measures in response to the risk level arising, including ongoing monitoring processes thereof.</li><li>Supports the administration teams with processes for documenting client take-on and setting clients up within our control environment for central client management and ensuring they reflect responsible persons and the following of procedures appropriately. </li></ul>Incident Management: <ul><li>Manages any compliance or risk incidents, including investigations and reporting as necessary.</li><li>Reviews and, where appropriate, improves protocols for incident reporting, to ensure they are effective, responsive, and reach timely remediation.</li></ul>Monitoring, Reporting and Communication: <ul><li>Conducts internal checks to verify adherence to internal controls and identify areas for improvement.</li><li>Prepares reports and appropriate submissions on compliance activities and risk assessments for senior management and where required, regulatory bodies.</li><li>Ensures appropriate maintenance of comprehensive documentation of compliance and risk management activities.</li></ul>Qualifications/education required <ul><li>Educational Background: Degree educated, with a post graduate qualification in either Law, Accountancy, or a related field of Corporate Governance.</li><li>Professional Experience: Minimum of five years post qualifying experience in a professional services environment with a keen interest or experience in Compliance. </li></ul>Experience and aptitudes required <ul><li>Strong Knowledge of Regulatory Standards and Corporate Governance: Familiarity with regulatory standards appropriate to the firm as detailed; understanding of best practices in governance, internal controls and ethics.</li><li>Risk Management: Ability to assess complex risks, evaluate data, and make informed, practical recommendations, including where necessary, adapting, and responding in crisis management conditions.</li><li>Leadership and Communication Skills: Ability to clearly explain compliance policies, train staff, and be of valuable support to senior leadership. Confident to challenge where appropriate. </li><li>Application: Excellent analytical and organisational skills, able to translate complex regulations into practical policies and training, referencing existing departments (IT and HR) and identifying necessary changes, with strong skills in addressing issues, conducting investigations, and harnessing change.</li><li>Project Management: Proficiency in handling multiple compliance and risk projects across multiple departments within the firm.</li><li>Integrity and Ethical Judgment: Unwavering commitment to ethics, integrity, and impartiality.</li></ul>About Mercer &amp; Hole Mercer &amp; Hole is an independent firm since being founded in 1905. Today, we are proud to say that we are a growing top 40 accountancy firm performing Audit, Corporate Tax, and advisory work. We are also a top 20 UK firm for both private client tax work and financial planning. The firm is led by 27 partners, many of whom are top 4 trained, and we value teamwork with over 240 staff across four locations in the UK, with our flagship office in the heart of the City in Lombard Street. We work with businesses and individuals and provide a quality, personalised service with high levels of expertise across all aspects of audit, accountancy, tax, and financial planning. We have the technical knowledge and excellence, but we also aim to give our clients practical options, and always make complex issues easy to understand. The secret to our success is a commitment to deliver only the best for our clients and to exceed their expectations from our initial contact and throughout our relationship. We are recognised for being friendly and approachable, taking the time to get to know our clients as people so that we understand what is important to them, their business ventures, and their family commitments. The firm has a varied, international client base and an international presence as we are founding members of The International Accounting Group and TAG Law which aligns over 16,000 professionals globally. Making a difference People and businesses are facing unprecedented change. Across all sectors, business owners, Boards and Executive Management Teams must continually re-evaluate their position and make tough decisions that will affect their future goals and those of their organisations. We work with a range of clients from start-ups, SMEs and larger corporations, including listed business, across a wide scope of industry sectors to provide them with a range of specialised services. At Mercer &amp; Hole, we are known for our exceptional level of client care. We believe taking time to get to know our clients gives us a greater understanding of their business goals to provide real value. Our experienced team can provide expert help in the following areas: • Audit and Accounting (note, audit services not provided to listed entities) • Tax compliance and advisory • Business and strategic advice • VAT including partial exemption issues • Virtual Finance, including bookkeeping, management accounting, financial modelling and payroll • "World Class Finance" - review of financial processes and controls, including improvement recommendations and implantation guidance • Regulatory returns • Valuation services • Merger and acquisition support and advice (including Financial Due Diligence) • Private client services and exit strategy planning • Raising finance We really want to attract and retain individuals who share our Values: Together The firm with the family feel. Express gratitude. Smile. Be humble and confident. Have fun. Resilient Change is imminent, and business is imperfect. Be open minded &amp; agile. Assume positive intent and exercise the power of positive thinking. Understanding Each individual matters and will be heard and respected. Honesty, integrity, empathy and kindness are fundamental. Supportive We support what is important to you and show kindness in our behaviour to each other. We encourage each other to realise our potential. Thrive! We strive to be the best, innovate and always do exceptional work. That's who we are and what our clients deserve.

Compliance Officer - London or St Albans

WELCOME TO THE WORLD OF OPPORTUNITY! Wizz Air is a leading European low-cost airline. Our mission is to provide affordable and reliable air travel to everyone, everywhere, while minimizing our environmental impact. We are proud to foster a diverse and inclusive team of over 8,000 employees from more than 100 nationalities, who share our values of inclusivity, positivity, dedication, integrity, and sustainability. As a rapidly expanding airline, we offer exciting career opportunities across a range of functions, from flight operations to engineering, customer experience, finance, and more. We provide extensive training and development opportunities to help our employees grow and succeed in their roles. Joining Wizz Air means joining a team that is passionate about aviation, dedicated to excellence, and committed to making air travel accessible and sustainable for all. If you are looking for a challenging and rewarding career in the aviation industry, we welcome you to explore our job opportunities and become a part of our success story. CAMO Compliance Manager Based in Luton Purpose of the position: <ul> <li>To work in partnership with the CAMO and Compliance Departments as well as internal and external stakeholders to ensure all works and activities of the organization are monitored for compliance with the applicable regulations and any additional requirements as established by the organization, and that these activities are carried out properly under the supervision of the nominated persons.</li> <li>To be nominated person with the responsibility for managing the compliance monitoring function as part of the management system for Wizz Air UK CAMO.</li></ul>What we offer: <ul> <li>Base salary and employee bonus scheme </li> <li>Unlimited number of significantly discounted and confirmed seating tickets, giving access to a continuously growing network of destinations </li> <li>Relocation package (if applicable) </li> <li>Life insurance </li> <li>Instant impact, from any level of the organisation, exposure to C-suite management </li> <li>Fast career progression, internal mobility and talent management supported by training opportunities (Wizz Academy and bespoke trainings) </li> <li>True international and multi-cultural work environment, passionate, driven and diverse teams </li></ul>Responsibilities: <ul> <li>Contribute to development of the CAMO compliance monitoring audit plans.</li> <li>Organizes and performs internal and external CAMO compliance audits, including AMO.</li> <li>Monitors CAMO contracted and subcontracted activities.</li> <li>Identify, record, and report any non-compliances.</li> <li>Monitors the timely closure of any non-compliances generated by audits and inspections.</li> <li>Ensure that the CAMO compliance monitoring program is properly implemented, maintained, and continuously reviewed and improved.</li> <li>Verification that corrective and preventive actions are taken by the manager responsible in response to any finding of non-compliance in accordance with established procedures.</li> <li>Provide management with an independent assessment of corrective action, implementation, and completion.</li> <li>Managing occurrences analysis/investigations and follow-up report.</li> <li>Establishing feedback from occurrences/issues and feeding these back into the continuation training program.</li> <li>Liaising with regulatory authorities and agencies, including UK CAA and AAIB;</li> <li>Carrying out initial and on-going competency assessments for Compliance Monitoring Personnel.</li> <li>Promoting continuous improvement of the management system;</li> <li>Reports directly to the Senior Manager of Safety, Security and Compliance.</li></ul>Requirements: <ul> <li>Minimum 5 years of experience in continuing airworthiness.</li> <li>Minimum 2 years of experience in an appropriate position.</li> <li>Aviation regulation knowledge (UK CAA Part-M, Part-CAMO, Air-OPS and Part-145).</li> <li>General understanding of aviation Safety, ICAO Annex 19 and Compliance management systems.</li> <li>Knowledge of HF principles and maintenance methods.</li> <li>Bachelor's/Master's engineering degree from aeronautical, mechanical, electrical, electronic, avionics, industrial or other studies that are relevant to the maintenance and/or continuing airworthiness of aircraft/aircraft components or an aircraft maintenance technician (holding AML).</li> <li>A320 series or similar aircraft Level 3 or Level 1 Gen Fam Type Course provided by Part-147.</li> <li>Fluent in spoken and written English.</li> <li>Ability to work on own initiative, prioritize work to deadlines, and pay attention to details.</li> <li>Excellent written and oral communication skills.</li> <li>Analytical thinker and observer with the ability to critically assess requirements and identify possible non-compliances.</li> <li>Strong ability to work flexibly - managing changing and competing priorities and absorbing new information rapidly to address complex issues.</li> <li>Able to challenge and influence others, including more senior colleagues and stakeholders, to ensure that the right outcomes are achieved.</li> <li>Strong ability to build effective working relationships with internal and external stakeholders at all levels, to work collaboratively to improve the safety and compliance management system.</li> <li>Proven ability to systematically analyze information and to objectively present non-compliance with regulations and requirements.</li> <li>Ability to build processes and procedures.</li> <li>Ability to travel.</li></ul>#LI-RN1 When applying, please only provide valid information regarding your educational background and certificates, as the original documents will be requested during the hiring process. We look forward to meeting you and learning more about your skills and experience. Join the Wizz Air team and discover the world of opportunities.

CAMO Compliance Manager

Description Are you ready to take on a pivotal role in ensuring compliance excellence within a dynamic and innovative organization? AXA Partners UK is seeking a talented Compliance Manager to play a key part in implementing controls, delivering the Annual Compliance Plan, and supporting our client-facing businesses. If you're passionate about fostering a culture of accountability, integrity, and inclusivity, and possess the skills and experience to make a significant impact, we want to hear from you. Key Responsibilities: <ul><li>Prepare regulatory returns and maintain the reporting calendar</li><li>Review and update compliance policies, procedures, and processes</li><li>Preparation of compliance monthly reports, board papers and committee packs</li><li>Reviewing regulatory and commercial developments</li><li>Deliver training and advice on regulatory issues</li><li>Support the Head of Compliance in dealings with regulators</li><li>Keep up to date with FCA requirements and ensure all conduct standards are met</li></ul>#LI-UK Qualifications <ul><li>Experience managing compliance teams in financial services</li><li>Strong communication and analytical skills</li><li>Proficiency in Microsoft Word, Powerpoint, and Excel</li><li>Knowledge of UK regulatory environment, specifically FCA Sourcebook</li><li>Experience in the insurance industry at a managerial level</li></ul>About AXA AXA Group is the worldleader in insurance and asset management. We protect and advise our clients atevery step in their lives, by offering products and services which satisfytheir needs in the areas of insurance, personal protection, saving and assetmanagement. AXA is the leading insurance brand worldwide, with over 100 millionclients. We are transforming from payer to partner for our client, with astrong focus on risk prevention. Our mission:Empower people to live a better life. Our values: Customer First, Courage, Integrity and One AXA. AXA Partners is an AXA transversal business unit offering a wide range of solutions in assistance services, travel insurance and credit protection. AXA Partners' role is also to implement innovative solutions emerging from the AXA Innovation unit. Combining passion with advanced expertise, we design and deliver worldwide solutions for partners and communities. We protect what matters, when it matters.

As a Compliance Manager for Social and Digital Commerce (all genders), you foster innovative business models across e-commerce and social media channels, in close collaboration with your business stakeholders, while mitigating compliance risks. You will be responsible for running a Compliance Management and supporting an Internal Control system that ensures Zalando's digital and social commerce activities comply with applicable regulations, including the Digital Services Act (DSA). INCLUSIVE BY DESIGN At Zalando, our vision is to be inclusive by design. And this vision starts with our hiring - we do not discriminate on the basis of gender identity, sexual orientation, personal expression, ethnicity, religious belief, or disability status. You are welcome to leave out your picture, age, or marital status from your application. We only assess candidates on their qualifications and merit. We want to provide you with a great candidate experience. Feel free to inform us of any accommodations you may need, so we can best support you throughout the hiring process. do.BETTER - our diversity &amp; inclusion strategy: <a href="https://corporate.zalando.com/en/our-impact/dobetter-our-diversity-and-inclusion-strategy" target="_blank">https://corporate.zalando.com/en/our-impact/dobetter-our-diversity-and-…</a> Our employee resource groups: <a href="https://corporate.zalando.com/en/our-impact/our-employee-resource-groups" target="_blank">https://corporate.zalando.com/en/our-impact/our-employee-resource-groups</a> WHAT WE'D LOVE YOU TO DO (AND LOVE DOING) <ul><li>You will monitor and enforce compliance with local and European regulations, particularly the Digital Services Act (DSA), and other applicable laws governing social commerce and digital platforms, ensuring a thorough and detailed approach.</li><li> With a holistic view of Zalando's current and future eCommerce activities, you design and maintain a risk-based compliance monitoring framework for digital commerce, supporting risk assessments and shaping risk appetite with stakeholders..</li><li> You co-design and carry out controls as defined under the ICS within your area of expertise, and collaborate with inhouse and vendor teams to ensure controls are carried out and documented in an audit-proof way.</li><li> You are responsible for steering auditing and reporting duties . You align with other functions that have relevant transparency or risk reporting obligations, as well as with Public Affairs, to align on trends and to have consistent messaging towards the relevant authorities and the public.</li><li> You prepare and, depending on the scope and seniority of the meeting, participate in meetings with involved authorities on European and local level to discuss audit results and aspects of applicable or future regulation.</li><li> You identify opportunities for process automation and operational efficiencies in compliance management. You drive innovation in compliance processes by contribution to automation projects to meet regulatory requirements and mitigate reputational risks.</li></ul>WE'D LOVE TO MEET YOU IF <ul><li> You have profound knowledge in the area of platform regulation in Europe (in particular DSA), Compliance Management and/or Internal Control systems .</li><li> You have a degree in a relevant area like Business Administration, Law, Economics, Math or Engineering; training in the area of Compliance or Internal Controls is a plus.</li><li> You have at least 3 years of professional experience, either in a company in the area of social commerce or media , in an advisory or audit firm , or in an authority dealing with these matters.</li><li> You have an excellent command of English, a second language is a plus but not required.</li><li> You have an entrepreneurial mindset , enjoy stakeholder management and familiarize yourself quickly in a changing environment when it comes to regulatory, social, technical and commercial development.</li></ul>If you think you have what it takes, we encourage you to apply even if you don't meet every single requirement. You may just be the right candidate for this or other roles! OUR OFFER Zalando provides a range of benefits, here's an overview of what you can expect. Ask your Talent Acquisition Partner to learn more about what we offer. <ul><li> Employee shares program</li><li> 40% off fashion and beauty products sold and shipped by Zalando, 30% off Zalando Lounge, discounts from external partners</li><li> 2 paid volunteering days a year</li><li> Hybrid working model with up to 60% remote per week, actual practice is up to each team to best support their collaboration</li><li> Work from abroad for up to 30 working days a year</li><li> 27 days of vacation a year to start</li><li> Relocation assistance available (subject to prior agreement)</li><li> Family services, including counseling and support</li><li> Health and wellbeing options (including Gympass)</li><li> Mental health support and coaching available</li></ul>Learn all about Zalando and our values here: <a href="https://jobs.zalando.com/en/?gh_src=22377bdd1us" target="_blank">https://jobs.zalando.com/en/?gh_src=22377bdd1us</a>

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