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Job Description Contract: Permanent Closing date: 2nd October 2024 Recruitment Partner: Shannon Linton We are looking for a Compliance Manager to join our growing team at Boots Online Doctor to be our go to expert focused on meeting our regulatory and professional standards. This is a full-time vacancy within our London offices based in vibrant Angel, Islington. About the role The overall objective of the Compliance Manager is to be the inhouse expert for the Boots Digital Healthcare business, ensuring that the governance of processes and procedures meet our regulatory and professional requirements. You will; • Ensure all quality/compliance documentation (policies, ESDOs - clinical service manuals, SOPs, training records, risk registers, ROPA etc.) are up to date and accurately maintained across the business. • Lead the Boots Digital Health business when it comes to data protection including DPIAs and privacy policy adjustments, supported by the central DPO's office. • Align the compliance approach at Boots Digital Health to the wider Boots business, working as an extension of this central team. • Support with internal audit and regulatory inspection requirements. • Collaborate with the Medical Director, Dep. Medical Director (Governance lead), Registered Manager, IT Governance lead, Boots data protection and compliance teams to harmonise the collective expertise to one decision. • Represent Boots Digital Health as a data steward within the wider Boots business. • Support the Dep Medical Director with clinical governance activity through close communication and shared project work. • Conduct audits and self inspections to identify opportunities for improvement and to prepare the team for regulatory inspections. • Developing and continually improving Standard Operating Procedures and policies to meet gold standards What you'll need to have • Proven experience as compliance/governance manager. • In-depth knowledge of the standards and regulations within a regulated industry's (healthcare highly desirable). • Excellent record keeping skills. • Methodical and diligent with outstanding planning abilities. • Proven ability to understand complex problems and facilitate solutions. • Comfortable navigating and influencing senior stakeholders to ensure risks are given due attention and the appropriate decision-making is achieved for the business. • Excellent communication skills, verbal and written with sound attention to detail. • Ability to operate with autonomy and limited supervision. • As a self starter, you will be comfortable to create structure from ambiguity, able to operate with limited oversight. It would be great if you also have • An understanding of the remote / telemedicine landscape in the UK. • Experience partnering with regulatory bodies to discuss industry standards and changes. Our benefits <ul><li>Boots Retirement Savings Plan</li><li>Discretionary annual bonus</li><li>Generous employee discounts</li><li>Enhanced maternity/paternity/adoption leave pay and gift card for anyone expecting or adopting a child</li><li>Flexible benefits scheme including holiday buying, discounted gym membership, life assurance, activity passes and more.</li><li>Access to free, 24/7 counselling and support through TELUS Health, our Employee Assistance Programme.</li></ul>We have a great range of benefits in addition to the above that offer flexibility to suit you - find out more at boots.jobs/rewards. Please note, any salary estimates given on third-party sites are not provided or endorsed by Boots and may not be accurate. Why Boots At Boots, we foster a working environment where consideration and inclusivity help everyone to be themselves and reach their full potential. We are proud to be an equal opportunity employer, passionate about embracing the diversity of our colleagues and providing a positive and inclusive working environment for all. As the heart of everything we do at Boots, it's with you, we change for the better. What's next Where a role is advertised as full-time, we are open to discussing part-time and job share options during the application process. If you require additional support as part of the application and interview process, we are happy to provide reasonable adjustments to help you to be at your best. This role requires the successful candidate to complete a Pre-employment check after receiving an offer. Depending on your location you will be asked to submit either a DBS (Disclosure &amp; Barring Service), PVG (Protection of Vulnerable groups) or an Access NI Check. Boots is a Ban the Box employer and will consider the suitability of applicants with criminal convictions on a case-by-case basis.

Compliance Manager

About The Role The Information Compliance Team sits within the Assurance Service at Dorset Council. We coordinate the council's responses to information requests, including Subject Access Requests (SARs) for personal data, Freedom of Information (FOI) Requests and Environmental Information Regulation (EIR) requests, in accordance with statutory timescales. We also have a team of SAR Review Officers, who focus on reviewing and preparing Children's Services records for disclosure in response to SAR requests. The team is also tasked with maintaining a register of data breaches, and to provide advice to services to ensure the organisation properly responds to and learns from incidents. The role is an opportunity to gain a broad insight into the wide range of services that make up the council, and will involve working with many different teams and personnel at all levels of the organisation. You will be required to help services efficiently respond to information requests and help ensure information risk events are appropriately managed. The role could be performed on a job-share basis, with flexible family-friendly hours. Whilst based at County Hall in Dorchester, where possible we support a flexible approach to working, enabling a mix of home and office-based working. You will support the team managing information risk events (e.g. personal data breaches) and information requests. This will include recording and maintaining caseload records and liaising with services for responses. You may be required to help produce reports and assist the team in capturing lessons learnt from cases that have arisen. Duties include: <ul> <li> Processing SARs, FOIs and EIRs at first contact, through to completion </li> <li> Investigating data breaches </li> <li> Logging Police requests </li> <li> Office based admin duties e.g. scanning and printing </li> </ul>We are seeking someone with the following skills: <ul> <li> pro-active and flexible </li> <li> confident exercising their own initiative in solving problems </li> <li> ability to assess, manage, and prioritise conflicting work priorities </li> <li> accuracy, attention to detail and an analytical mindset </li> <li> excellent IT skills and a digital mindset </li> <li> good organisational skills </li> <li> strong communication (written and oral) </li> </ul>You should have a basic knowledge of data protection but will work under the guidance of the Senior Information Compliance Officers. On the job training will be provided and we are great believers in investing in people! This role could be ideal for someone who is looking to develop a career in a varied and fast-moving field within local government. Further Information For any queries, please contact [email protected] , or [email protected] . This is a part time role at 21 hours per week. This post requires you to have access to sensitive information. It will be subject to a Basic Criminal Records Check. See our policy on the employment of ex-offenders . About Us We're passionate about making Dorset a great place to live, work and visit. Working for us should be no exception. At Dorset Council we: <ul> <li> provide more than 450 services to over 300,000 residents </li> <li> have ambitious aspirations </li> <li> are excited about our future </li> <li> care about Dorset and all the people who live here </li> <li> know that all roles make a difference and that our employees are key to our success </li> </ul>You will: <ul> <li> have access to a range of employee benefits </li> <li> be part of an organisation that supports each other to grow and succeed </li> <li> have access to range of training opportunities which will help with your personal development and career progression </li> </ul>We are challenging ourselves to become a more diverse and inclusive organisation. We recognise that recruitment and inclusion of individuals with diverse skills, perspectives and backgrounds will bring real strength to the council and our communities. We have a commitment to equality and welcome applications from everyone. We are proud to be a Disability Confident Employer. We offer an interview to everyone who declares a disability and meets the essential criteria for the role. We are keen to make our interviews accessible. Let us know on your job application if you have a disability and need any reasonable adjustments. We also look for applicants who share our commitment to our behaviours . We will ask you to evidence when you have demonstrated them as part of the selection process. If appointed, the personal information we collect from you will be shared with Cifas who will use it to prevent fraud, other unlawful or dishonest conduct, malpractice, and other seriously improper conduct. If any of these are detected, you could be refused certain services or employment. Your personal information will also be used to verify your identity. Further details of how your information will be used by us and Cifas, and your data protection rights, can be found at <a href="https://www.cifas.org.uk/fpn" target="_blank">https://www.cifas.org.uk/fpn</a> . This role is UK based and we will need to establish your Right to Work as part of the appointment process. We use generic job descriptions and person specifications. This means the job title on any attachments may differ from the job title in the advert. We may provide specific information in a context statement if relevant. Find out more about how to apply .

Information Compliance Officer

About The Role The Information Compliance Team sits within the Assurance Service at Dorset Council. We coordinate the council's responses to information requests, including Subject Access Requests (SARs) for personal data, Freedom of Information (FOI) Requests and Environmental Information Regulation (EIR) requests, in accordance with statutory timescales. We also have a team of SAR Review Officers, who focus on reviewing and preparing Children's Services records for disclosure in response to SAR requests. The team is also tasked with maintaining a register of data breaches, and to provide advice to services to ensure the organisation properly responds to and learns from incidents. The role is an opportunity to gain a broad insight into the wide range of services that make up the council, and will involve working with many different teams and personnel at all levels of the organisation. You will be required to help services efficiently respond to information requests and help ensure information risk events are appropriately managed. Whilst based at County Hall in Dorchester, where possible we support a flexible approach to working, enabling a mix of home and office-based working. You will support the team managing information risk events (e.g. personal data breaches) and information requests. This will include recording and maintaining caseload records and liaising with services for responses. You may be required to help produce reports and assist the team in capturing lessons learnt from cases that have arisen. Duties include: <ul> <li> Processing SARs, FOIs and EIRs at first contact, through to completion </li> <li> Investigating data breaches </li> <li> Logging Police requests </li> <li> Office based admin duties e.g. scanning and printing </li> </ul>We are seeking someone with the following skills: <ul> <li> pro-active and flexible </li> <li> confident exercising their own initiative in solving problems </li> <li> ability to assess, manage, and prioritise conflicting work priorities </li> <li> accuracy, attention to detail and an analytical mindset </li> <li> excellent IT skills and a digital mindset </li> <li> good organisational skills </li> <li> strong communication (written and oral) </li> </ul>You should have a basic knowledge of data protection but will work under the guidance of the Senior Information Compliance Officers. On the job training will be provided and we are great believers in investing in people! This role could be ideal for someone who is looking to develop a career in a varied and fast-moving field within local government. Further Information For any queries, please contact [email protected] . This is a full time role at 37 hours per week, on a fixed term contract of 12 months. This post requires you to have access to sensitive information. It will be subject to a Basic Criminal Records Check. See our policy on the employment of ex-offenders . About Us We're passionate about making Dorset a great place to live, work and visit. Working for us should be no exception. At Dorset Council we: <ul> <li> provide more than 450 services to over 300,000 residents </li> <li> have ambitious aspirations </li> <li> are excited about our future </li> <li> care about Dorset and all the people who live here </li> <li> know that all roles make a difference and that our employees are key to our success </li> </ul>You will: <ul> <li> have access to a range of employee benefits </li> <li> be part of an organisation that supports each other to grow and succeed </li> <li> have access to range of training opportunities which will help with your personal development and career progression </li> </ul>We are challenging ourselves to become a more diverse and inclusive organisation. We recognise that recruitment and inclusion of individuals with diverse skills, perspectives and backgrounds will bring real strength to the council and our communities. We have a commitment to equality and welcome applications from everyone. We are proud to be a Disability Confident Employer. We offer an interview to everyone who declares a disability and meets the essential criteria for the role. We are keen to make our interviews accessible. Let us know on your job application if you have a disability and need any reasonable adjustments. We also look for applicants who share our commitment to our behaviours . We will ask you to evidence when you have demonstrated them as part of the selection process. If appointed, the personal information we collect from you will be shared with Cifas who will use it to prevent fraud, other unlawful or dishonest conduct, malpractice, and other seriously improper conduct. If any of these are detected, you could be refused certain services or employment. Your personal information will also be used to verify your identity. Further details of how your information will be used by us and Cifas, and your data protection rights, can be found at <a href="https://www.cifas.org.uk/fpn" target="_blank">https://www.cifas.org.uk/fpn</a> . This role is UK based and we will need to establish your Right to Work as part of the appointment process. We use generic job descriptions and person specifications. This means the job title on any attachments may differ from the job title in the advert. We may provide specific information in a context statement if relevant. Find out more about how to apply .

Job Description We at Nova, are a very young and dynamic team , the 2nd largest telecom provider in Greece, looking for vibrant, young, and fast thinking "Interim Compliance Officer" " to lead Nova's Compliance Program for a 18th - months period. You have a challenging mission for: Implementation of requirements and internal initiatives to organize, manage and ensure Compliance's effective and efficient operation in accordance with local law, company's Code of Conduct, respective policies and ethical standards. What will you do: <ul> <li>Development, Monitoring &amp; Remediation of a clearly defined and effective Compliance Program for Nova and connected entities</li> <li>Design, implement and enforce customized compliance policies, interacting with multiple Nova's business units</li> <li>Take action in dealing with Gifts, Sponsorships and Donation, review of Compliance contract terms, approval during 3rd parties screening process</li> <li>Effective management of noncompliance situations, investigation of cases reported to company's Whistleblowing Channel, proposal of remediation plans.</li> <li>Coordinate / Deliver training on new employees or existing employees regarding Code of Conduct and policies</li> <li>Establish/ maintenance of positive relationships with all stakeholders, including management team, fostering open communication channels and ethical culture</li> <li>Reporting on regulatory compliance, potential risks, and recommended actions to upper management at local and group level</li> <li>Targeted compliance risk assessment and audits on potential weaknesses of the Compliance environment</li></ul>It would be great if you have: <ul> <li>Bachelor's and/or master's degree in Compliance, Risk, Business Administration/ Law/ Audit/ Political Science and Public Administration or related field of study</li> <li>Compliance Certification (ICA diploma) would be a plus</li> <li>4-6 years' work experience in a similar position</li> <li>Experience in a telecom or global company will be consider an asset</li> <li>Excellent command of English</li> <li>Computer literacy and good knowledge of MS office</li> <li>Excellent organizational, leadership, collaboration, communication skills</li> <li>Strong ethical values</li></ul>What will you get: <ul> <li>Annual Bonus to celebrate your achievements.</li> <li>Wellness programs to keep yourself fit.</li> <li>Mobile voice and data to talk.</li> <li>Discounts on Nova Fixed / Mobile / TV for you, friends, family.</li> <li>Flexy work from home to balance your life.</li> <li>Private Insurance program to check up your health. </li> <li>Toddlers allowance to daycare your kids</li></ul>About Us Η Nova έφερε πρώτη στην Ελλάδα το Internet, την κινητή τηλεφωνία και την συνδρομητική τηλεόραση. Είναι μέλος του United Group και ο ενιαίος πάροχος που προέρχεται από την ενοποίηση της Nova με την Wind Ελλάς. Προσφέρει ένα ευρύ φάσμα υπηρεσιών συνδρομητικής τηλεόρασης, ευρυζωνικού Internet, κινητής και σταθερής τηλεφωνίας και εξυπηρετεί περίπου 5 εκατομμύρια πελάτες. Η Nova με την μακρά κληρονομιά καινοτομίας ενισχύεται από τη διεθνή εμπειρία, την τεχνογνωσία και το επενδυτικό σχέδιο της United Group για την Ελλάδα ύψους €2δις έως το 2027. Η Nova στο πλαίσιο του στρατηγικού σχεδίου ανάπτυξης, θα δημιουργήσει το δικό της ιδιόκτητο δίκτυο οπτικών ινών και θα συνεχίσει να επενδύει στο 5G, δίνοντας στην Ελλάδα τη δυνατότητα να γεφυρώσει το χάσμα των ψηφιακών υποδομών με τους Ευρωπαίους εταίρους της. Με τον συνεχή εκσυγχρονισμό και ανάπτυξη των δικτύων κινητής και σταθερής τηλεφωνίας, η Nova, δίνει πρόσβαση σε δίκτυα νέας γενιάς για εκατομμύρια Έλληνες ιδιώτες και επιχειρήσεις. Παράλληλα, μέσα από την συνδρομητική πλατφόρμα EON, οι συνδρομητές της Nova απολαμβάνουν μοναδικό περιεχόμενο σε οποιαδήποτε συσκευή. Επιχειρούμε Υπεύθυνα Έχουμε πάρει μια απόφαση, να είμαστε ένας ζωντανός οργανισμός και να έχουμε ένα «κοινωνικό ρόλο», να βοηθήσουμε και να ηγηθούμε μέσα από τις δυνατότητές μας στα κρίσιμα ζητήματα. Η Προσέγγισή μας για τη Βιώσιμη Ανάπτυξη Ο τρόπος που προσεγγίζουμε το θέμα της βιώσιμης ανάπτυξης συνιστά για εμάς μια ολοκληρωμένη επιχειρηματική προσέγγιση μέσα από την οποία δημιουργούμε αξία για όλα τα Ενδιαφερόμενα Μέρη της επιχείρησής μας (εργαζομένους, προμηθευτές, πελάτες, κοινωνία, μετόχους, κράτος, αρχές κ.λπ.). Επιδιώκουμε τη Διαφάνεια Στηρίζουμε τη δραστηριότητά μας σε αξίες, πολιτικές και κώδικες που επισφραγίζουν τη δέσμευσή μας για υπεύθυνη επιχειρηματικότητα. Ενσωματώνουμε υψηλά πρότυπα εταιρικής διακυβέρνησης με στόχο να δημιουργούμε αξία για τους μετόχους, τους πελάτες, τους εργαζομένους και τους προμηθευτές μας. Προωθούμε το Δικαίωμα στη Συνδεσιμότητα χωρίς όρια και Διακρίσεις Εργαζόμαστε με στόχο μέσα από την συνδεσιμότητα να βελτιώσουμε την καθημερινότητα και να διευρύνουμε τις δυνατότητες των ανθρώπων και των επιχειρήσεων. Η δέσμευσή μας είναι να κάνουμε την συνδεσιμότητα πραγματικότητα, ώστε κάθε μέρα, όλο και περισσότεροι να συμμετέχουν ισότιμα και να μπορούν να επωφεληθούν από το εύρος των ευκαιριών που προσφέρει η ψηφιακή τεχνολογία

Interim Compliance Officer

Company Description insightsoftware is a leading provider of reporting, analytics, and performance management solutions. Over 30,000 organizations worldwide rely on us to support business needs in the areas of accounting, finance, operations, supply chain, tax, budgeting, planning, HR, and disclosure management. We enable the Office of the CFO to connect to and make sense of their data in real time so they can proactively drive greater financial intelligence across their organization. Our best-in-class solutions provide customers with increased productivity, visibility, accuracy, and compliance. Learn more at insightsoftware.com. Job Description insightsoftware is seeking a pragmatic Compliance Manager experienced at building compliance programs to continuously enhance, scale and manage insightsoftware's privacy, export, anti-bribery/anti-corruption, ethics and anti-trust compliance programs, including regularly integrating newly acquired businesses into our compliance programs. The insightsoftware Compliance Manager will be a leader within our global Legal Department and help drive compliance at one of the most successful and fastest growing software companies in the world. RESPONSIBILITIES Privacy Compliance Program Responsibilities. Manage, continuously improve and scale all data privacy program operations, including: establishing the elements and ongoing goals for the privacy program; continuously building out and managing the record of processing; administering and rolling out various privacy-related documentation, including intragroup data protection agreement amendments, policy updates, privacy notices and privacy whitepapers; coordinating and liaising with the Chief Information Security Officer(CISO) and product teams regarding privacy matters; improving/managing data protection impact assessment (DPIA) and DPIA processes; supporting the incident response process; and administration of privacy training and policy/notice acknowledgements for our employees and partners. Provide operational or administrative support for privacy program activities as needed. Export Compliance Program Responsibilities. Manage, continuously improve and scale export compliance program operations, including: establishing the elements and ongoing goals of the export compliance program; managing the export screening process (Descartes); managing export policy updates; updating the Export Commerce Control Number (ECCN) matrix for new products; administering insightsoftware's export licensing obligations; liaising with Sales and Accounting regarding compliance with insightsoftware's export compliance policy as it relates to sales outside the US; and administration of export compliance training and policy acknowledgements for our employees and partners. Ethics Compliance, Anti-Bribery/Anti-Corruption Compliance, Anti-Trust Compliance, ESG Compliance Program Responsibilities. Manage, continuously improve and scale the Ethics compliance, Anti-Bribery/Anti-Corruption compliance and Anti-Trust compliance program operations, including: establishing the elements and ongoing goals for these compliance programs; managing policy updates; and administering compliance training and policy acknowledgements for our employees and partners. Support management to continuously improve and scale insightsoftware's ESG program. General Compliance Responsibilities. Support the management of the Compliance Committee, including setting the agenda for Compliance Committee meetings and taking minutes and ensuring follow up on Compliance Committee actions. Establish, manage and update a risk register. Lead all compliance-related integration activities for newly acquired businesses, including establishment of the compliance integration plan and ensuring all newly acquired businesses are onboarded onto insightsoftware's compliance programs. Establish standard compliance-related FAQ to enable the business to efficiently respond to compliance audits, customer questionnaires and RFPs and serve as first line of support on questions from the business and legal team on compliance questions. Keep continuously updated on key changes to privacy, export, anti-bribery/anti-corruption, ethics, anti-trust and ESG-related laws and regulations. Qualifications <ul><li>Bachelor's Degree.</li><li>Strong subject matter expertise in (i) privacy compliance and (ii) export compliance, anti-bribery/anti-corruption compliance, ethics compliance and anti-trust compliance.</li><li>Experience successfully building and managing privacy programs at global organizations.</li><li>Experience successfully building and managing export compliance, anti-bribery/anti-corruption compliance, ethics compliance and anti-trust compliance programs at global organizations.</li><li>In-depth knowledge of GDPR and other relevant privacy laws and regulations.</li><li>Relevant certifications in privacy and data protection (e.g., CIPP, CIPM, CIPT).</li><li>Demonstrated project management experience and ability to manage multiple projects of varying complexity simultaneously and effectively.</li><li>Outstanding organizational skills.</li><li>Ability to work independently and continuously take initiative.</li><li>Demonstrated leadership experience and strong desire to be a leader at insightsoftware.</li><li>Prior experience in software industry preferred</li></ul>Additional Information All your information will be kept confidential according to EEO guidelines. ** At this time insightsoftware is not able to offer sponsorship to candidates who are not eligible to work in the country where the position is located. ** Learn more about our high-energy, high-performance global team. Work With Us » insightsoftware About Us: Hear From Our Team - InsightSoftware (wistia.com) Background checks are required for employment with insightsoftware, where permitted by country, state/province. At insightsoftware, we are committed to equal employment opportunity regardless of race, color, ethnicity, ancestry, religion, national origin, gender, sex, gender identity or expression, sexual orientation, age, citizenship, marital or parental status, disability, veteran status, or other class protected by applicable law. We are proud to be an equal opportunity workplace.

THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance &amp; MLRO to join the Business on permanent basis. THE RESPONSIBILITIES: <ul> <li>Accountable for ensuring all managers fulfil their responsibilities</li> <li>Overseeing and assisting Senior Management as required i</li> <li>To constantly develop and maintain policies and procedures of the AML/CTF</li> <li>Conduct an annual risk assessment</li> <li>Receive and assess all internal Suspicious Activity Reports (SARs)</li> <li>To be point of contact with NCA and other regulatory, law enforcement and investigatory agencies on AML matters.</li> <li>Ensuring compliance with AML staff training obligations</li> <li>Overseeing the sanctions and transaction monitoring regime within the Bank</li> <li>To develop and implement the Compliance Framework</li> <li>Ensure that the Bank consistently and effectively operates within all relevant regulatory and statutory requirements at all times.</li> <li>Advise on changes in the rules and regulations and compliance standards</li> <li>Regulatory returns to be completed and timeframes for submission to the FCA/PRA/other Regulators.</li> <li>Maintain and oversee record keeping</li> <li>Ensure that the Bank's Complaints Procedures are correctly followed and reports made to the FCA as appropriate.</li> <li>Monitor and record the Bank's compliance with the legal and regulatory requirements</li> <li>Liaise with the regulators as necessary</li> <li>Management of the Financial Crime and Compliance function</li> <li>Prepare and present the MLRO annual report</li> <li>Be an active member of the Executive Risk Committee.</li> </ul>EXPERIENCE REQUIRED: <ul> <li>Experience in areas of compliance and holding SMF17 and SMF17 or substantial experience operating at a deputy and wanting to take the next step</li> <li>Ideally experience in a banking environment</li> <li>Strong understanding of relevant UK regulatory requirements.</li> <li>Detailed understanding of financial services compliance.</li> <li>Strong stakeholder management experience</li> </ul>For further information please contact Natalie Eshelby

Head of Compliance & MLRO

THE COMPANY: Our global is a global fintech banking group who are looking for a Compliance Manager to join the London business. THE RESPONSIBILITIES: <ul> <li>Lead regulatory horizon scanning and provide risk-based analysis to guide Bank's strategic decisions.</li> <li>Drive regulatory change projects and deliver clear progress reporting to senior management.</li> <li>Champion the bank's approach to Consumer Duty, providing constructive challenge and ensuring compliance.</li> <li>Coordinate compliance activities, support the CCO, and ensure clear communication of compliance objectives across the organization.</li> <li>Provide day-to-day compliance guidance to business units, develop relevant UK policies, and maintain compliance frameworks.</li> <li>Oversee compliance training, ensuring it is tailored to Bank's UK operations and effectively monitored.</li> <li>Develop and deliver insightful compliance reporting to Executive and Board committees.</li> <li>Support the business in meeting regulatory requirements, including managing the Management Responsibilities Map (MRM) and contributing to AML and Fraud investigations.</li> </ul>EXPERIENCE REQUIRED: <ul> <li>Extensive 2nd Line of Defence experience in retail and/or corporate banking compliance, with a deep understanding of relevant FCA and PRA rules.</li> <li>Strong background in policy and procedure writing, with a focus on best practice compliance and risk management frameworks.</li> <li>Experience in a challenger or start-up environment is preferred, with a proven ability to deliver clear, technology-driven reporting.</li> <li>Expertise in payment services, merchant acquiring, commercial lending, retail deposit-taking, and consumer lending.</li> </ul>For further information please contact Duncan Jeffery

Compliance Manager- EXCLUSIVE

ComeOn Group in short Founded in 2008, ComeOn Group is a leading global player in the rapidly growing iGaming market. Having launched its first online brand in 2010, ComeOn Group is running a wide range of exciting brands across multiple markets. Managing a multi-brand portfolio on its proprietary platform, offering a secure, innovative, and entertainment-driven player experience in both casino and sports. ComeOn Group is an international employer within the iGaming industry and has over 500 talented employees across 7 main locations. Location: Hybrid - Malta We are looking for an experienced Senior Compliance Officer to join our team here at ComeOn Group, in our Malta office! If you are looking for an exciting challenge, working with great talent while expanding your experience, look no further! As part of the Compliance team you will be reviewing, interpreting and implementing license obligations on the Dutch market as regulated by the Ksa. You will handle reports that need to be submitted to the regulatory authority and will liaise with internal teams to gather data and drive regulatory change. This is an exciting role where you will also be carrying out investigations and replying to complaints escalated to third-party dispute resolution bodies, and advising customer-support and the marketing teams on regulatory matters. This role requires an independent and proactive attitude - someone who can advise and share knowledge with the other members of the team as well as the rest of the company. Responsibilities: <ul> <li>Keep up with new regulatory requirements and follow up internally on their implementation</li> <li>Provide assistance when dealing with customers' complaints raised internally</li> <li>Investigate and draft formal replies to third-parties</li> <li>Review procedures and ensure that they are up to date; propose and drive changes thereof where necessary</li> <li>Draft policies</li> <li>Assist with internal and external audits</li> <li>Prepare reports for management</li> <li>Collect data for reports collected by relevant authorities</li> <li>Review and prepare terms and conditions</li> <li>Prepare and deliver employee training on different regulatory issues and relevant policies and procedures</li> <li>Participate in general company administration</li> <li>Assist the head of compliance with the compilation of data and with recommendations for improvement to maintain compliance</li> <li>Help, assist and participate in the completion of the ISO27001 or other Information Security Standard implementation and future ongoing recertifications.</li> </ul>About you: <ul> <li>At least two years iGaming experience in a compliance role for European locally-regulated jurisdictions. Experience or part thereof on the Dutch market, it will be considered as a plus! </li> <li>Excellent English communication skills, both written and spoken</li> <li>Great time-management skills and prioritisation capabilities</li> <li>Ability to work under pressure</li> <li>Capable of building effective relationships with internal and external stakeholders</li> <li>Effective analytical skills to profile risks, benefits, and impacts on the licence/s and their maintenance</li> <li>Working knowledge of Jira</li> <li>Familiarity with basic IT tools </li> <li>An understanding of how gambling platforms and back-offices work</li> <li>Ability to analyse data and build reports </li> </ul>So what can you expect from ComeOn as a place of work? <ul> <li>A competitive remuneration package including a company bonus scheme! </li> <li>Fantastic quarterly team events and weekly company events </li> <li>A one-time bonus to help you set up a comfortable workstation at home (we're truly Hybrid!)</li> <li>On top of our Hybrid work arrangement, up to 40 days a year to work fully remote from anywhere </li> <li>Wellbeing allowance</li> <li>A comprehensive, International Private Health Insurance</li> <li>Breakfast at the office on Tuesdays</li> <li>Lunch at the office on Mondays and Wednesdays</li> </ul>At ComeOn, we've embraced a Hybrid Work model, giving our employees the flexibility to work some days at home. Our offices are thoughtfully designed to support this model, featuring practical workspaces for focused efforts and collaborative zones for dynamic creative exchanges. We believe in the power of collaboration to drive innovation and success. While our offices are known for their vibrant atmosphere, rest assured that our primary focus is on achieving results together. We prioritize efficiency and maintain a balance between hard work and camaraderie. When you visit our offices, expect a warm welcome and professional support. Choose ComeOn for your next career move, and experience a workplace that values productivity, teamwork, and the spirit of collaboration. At ComeOn Group we value diversity and we take concrete action to ensure fairness in our recruitment process. We are committed to assessing candidates on their merit without discriminating against any applicant for whatever reason that is protected by law. We truly value you, as you are. Want to know more about us just visit our website <a href="http://www.comeon-group.com" target="_blank">www.comeon-group.com</a> or any of our social media channels to take a deep dive into our culture! LinkedIn Instagram Facebook Glassdoor

Senior Compliance Officer

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. We are seeking a meticulous and detail-oriented Compliance Officer to join our team. The ideal candidate will be responsible for ensuring that our organization adheres to relevant regulations, policies, and industry standards. The successful candidate should play a critical role in mitigating risks and maintaining the highest standards of ethical and legal conduct. Key Responsibilities: <ul><ul><li>Ensuring that the Company complies with the regulatory requirements set forth by CySEC through Compliance Monitoring Program</li><li>Developing, designing, and re-designing the appropriate procedures of the Company</li><li>Work with the legal team, compliance, and other departments to monitor enforcement of standards and regulations</li><li>Receiving and following up Client complaints or grievances and filing these complaints or grievances </li><li>Prepare reports for senior management &amp; external regulatory bodies as appropriate</li><li>Remain informed about current and forthcoming regulatory updates/changes, and inform the Company's management accordingly</li><li>Assist in the formulation and implementation of various Company's policies, manuals, and procedures</li><li>Continuously monitoring the Company's activities to ensure compliance with the applicable regulatory framework. Reporting any compliance issues or breaches to the Head of Compliance or Senior Management</li><li>Providing training and guidance to employees about compliance policies, procedures and relevant regulations to foster a culture of compliance within the Company</li><li>Any other duties assigned from time to time from the Company's Head of Compliance or Senior Management.</li></ul></ul>Qualifications and Skills: <ul><ul><li>Bachelor's degree in finance, law or a related field </li><li>Proven experience in a compliance role within the industry </li><li>Holder of Advanced CySEC's certificate </li><li>Strong knowledge of CySEC regulations and requirements </li><li>Excellent analytical and problem solving skills </li><li>Strong communication and interpersonal skills </li><li>Ability to work independently and as part of a team.</li></ul></ul>In return, you will get: <ul><ul><li>You will join the Company, that cares about work and life balance</li><li>Full annual performance assessment</li><li>Medical Insurance Coverage</li><li>Provident Fund</li><li>Hybrid type of work with flexible working hours</li><li>Modern and outstanding equipment</li><li>Employee referral program</li><li>The opportunity to work with one of the smartest teams on the market. </li></ul></ul>Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

Compliance Officer

Deskpro, a leading provider of help desk software, is seeking a Security and Compliance Manager to join our team. As a Security and Compliance Manager at Deskpro, you will be responsible for ensuring the security and compliance of our software and systems, as well as implementing and enforcing policies and procedures to safeguard sensitive data. We take security seriously, and we work with many enterprise and government clients. In this role, you will have the opportunity to make an impact and contribute to the continued success of Deskpro as a trusted provider of secure help desk solutions. Responsibilities: <ul> <li>Manage all existing security and compliance security policies, practices, procedures and systems</li> <li>Where required, develop and implement additional security policies, practices and procedures</li> <li>Ensure compliance with relevant industry standards and regulations</li> <li>Monitor and assess potential security risks and vulnerabilities</li> <li>Design and implement security controls, including authentication, encryption, and access controls</li> <li>Perform regular security audits and vulnerability assessments</li> <li>Engage with customers and prospects regarding custom security and compliance requests</li> <li>Conduct security incident response and investigations</li> <li>Educate and train employees on security best practices</li> <li>Maintain awareness of emerging security threats and solutions</li> <li>Collaborate with cross-functional teams to implement security measures</li> <li>Stay up-to-date with industry trends and best practices in security and compliance</li> </ul>Requirements <ul> <li>Proven experience in a similar role, with a focus on security and compliance</li> <li>Deep knowledge of relevant industry standards and regulations (e.g., SOC 2, ISO 27001, GDPR, HIPAA)</li> <li>Strong understanding of security principles, technologies, and best practices</li> <li>Experience in developing and implementing security policies and procedures</li> <li>Familiarity with security tools and technologies, such as intrusion detection systems, firewalls, and data encryption</li> <li>Ability to assess and mitigate security risks</li> <li>Excellent communication and interpersonal skills</li> <li>Ability to work independently and collaboratively in a fast-paced environment</li> <li>Attention to detail and strong analytical skills</li> <li>Relevant certifications (e.g., CISSP, CISM, CRISC) are a plus</li> </ul>Benefits Competitive benefits package including stock options. Specifics will be dependent on location (either London, UK or Austin, TX, USA).

Security and Compliance Manager (London)

Our mission is to enable everyone to build wealth We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success. Over the past few years, our client base has grown 20 times to over 3 million, and client assets have grown over 50 times to over €4 billion. What you'll do <ul><li>Ensure operational excellence in all relevant compliance areas while aligning with BaFin's regulatory guidelines.</li><li>Provide compliance advice on all current and future products and services across the business, as well as overarching compliance requirements, such as product governance, vulnerable customers, conflict of interest, outsourcing, SMCR, conduct risk etc.</li><li>Lead compliance projects, participate in cross-functional teams and deliver within timelines.</li><li>Ensure the appropriate operation of the financial promotions review process.</li><li>Own and maintain all compliance policies and procedures, ensuring they are up-to-date and effectively implemented.</li><li>Manage relationships with key stakeholders, understand their needs and provide tailored compliance advice.</li><li>Work with T212's Legal Team to manage the relationship with BaFin.</li></ul>What you need to have <ul><li>Proven experience in leading high-performing compliance teams towards operational success.</li><li>Educated to degree level in Law, Finance, Business or a related field.</li><li>Fluency in English and German.</li><li>A minimum of five years experience in a senior compliance capacity within a MiFID-regulated firm.</li><li>Deep knowledge of regulatory compliance frameworks and guidelines.</li><li>Excellent ability to understand the business and excel in ownership roles.</li><li>Ability to work under pressure and be adaptable.</li><li>Experience working with international teams across different time zones, utilising digital communication tools to coordinate and manage tasks efficiently.</li></ul>What we offer <ul><li>Challenges that will help you grow and realise your potential really fast</li><li>Opportunity to make a big impact - you will build innovative services used by millions of investors to build wealth</li><li>Work with smart, spirited, helpful, high-performing colleagues with a common goal</li><li>An environment where nothing is set in stone</li><li>Appreciation for your talent and ideas</li><li>Generous remuneration package</li></ul>Are you ready to accelerate your career with us? We'd love to hear from you! We thank all applicants, but only candidates selected for an interview will be contacted. All personal data of applicants is protected by the law and will be treated with strict confidentiality.

Deputy Head of Compliance

What the Hiring Manager Says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising and becoming even more customer centric. So if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us! This role will perform an important role leading and overseeing the development of Compliance Analysts in the Compliance Monitoring &amp; Thematic Reviews Team. This role will take responsibility for the design and delivery of the continuous monitoring and surveillance activities which form part of our annual plan. About the Role Level: Level 5 Department: Risk Location: Southampton | London Contract type: Permanent <ul><li>To develop, manage and provide technical support to a team of Compliance Analysts in relation to continuous monitoring, surveillance and other compliance-related tasks including but not limited to conflicts of interest disclosures and higher risk advice suitability monitoring.</li><li>Provide support and guidance on the scope and approach of continuous monitoring and, where necessary, take the lead on complex or challenging activities</li><li>Assist the Head of Compliance Monitoring &amp; Thematic Reviews with other surveillance and oversight activities as required</li><li>Ensure focus on the quality of review documents and outputs, highlighting the 'so what' factor, and being clear how these add value for Quilter and address compliance risks</li><li>Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement</li><li>Develop and maintain strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.</li></ul>Leadership <ul><li>Use in-depth knowledge and experience to train direct reports in compliance monitoring and thematic review activity, and to develop the Analysts in wider Compliance skills</li><li>Provide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.</li><li>Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement</li><li>Develop and maintain strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.</li></ul>About You Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs. You will have: <ul><li>experience in line management, and/or coaching or mentoring less experienced team members</li><li>experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments and financial advice (a level 4 or equivalent qualification in financial planning would be desirable)</li><li>good understanding of risk and regulation, particularly FCA</li><li>strong attention to detail, and the ability to see the bigger picture</li><li>strong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence others</li><li>high energy and drive and be delivery focused, and the ability to work well on your own or within a team</li><li>resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.</li></ul>Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities. #LI-VS1 #Quilter Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation. Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions. Core Benefits Holiday: 26 days Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions Private Medical Insurance: Single cover as standard, cover can be increased at your own cost Life Assurance: 4x your salary, cover can be increased at your own cost Income Protection: 75% of salary payable after 26 weeks of absence In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.

Senior Compliance Manager - Compliance Monitoring

Quality and Compliance ManagerLocation: 16 Bulge Road Devens, MA Requisition Closing date: July 26, 2024Website: <a href="https://www.wmfts.com/en/" target="_blank">https://www.wmfts.com/en/</a>Group: <a href="https://www.spiraxgroup.com/" target="_blank">https://www.spiraxgroup.com/</a> We're currently seeking a Quality and Compliance Manager to join our team. You'll join a dynamic team of engineers, sales teams, marketers, administrators, designers, assemblers, chemists, web developers, accountants, analysts, programmers and many more. Globally we are united by our shared values that drive our culture. We want to be an employer where you make our difference. At Watson Marlow Fluid Technology Solutions, you face different challenges every single day. You are empowered to dream bigger and work smarter. You have time to live your life outside of your job. We offer a full induction with training and ongoing support for all our systems and products. Along with this you'll gain access to SSE academy where you can upskill and develop at your own pace. Join Our Team and Enjoy Exceptional Benefits: <ul><li>Robust Retirement Plan: Benefit from a guaranteed 5% employer contribution to your 401K, plus an additional 3% employer match, empowering your financial security.</li></ul><ul><li>Comprehensive and Supportive Parental Leave: Experience our inclusive, gender-neutral parental leave policy, offering 16 weeks at 100% pay. Upon your return, enjoy a gradual transition with a unique 80% work schedule while still receiving 100% of your pay for the first 6 months, ensuring a balanced reintegration into the workplace.</li></ul><ul><li>Generous Time Off: Enjoy ample time off to recharge and attend to life's circumstances with generous vacation and well-being days, 11 observed holidays, 15 caregiver days, and 80 hours of annual sick leave.</li></ul><ul><li>Community Engagement Opportunities: Make a difference with 3 paid volunteer days each year, encouraging you to give back to the community and causes you care about.</li></ul><ul><li>And Many More Benefits: Discover a wide range of additional perks and benefits designed to support your well-being and professional growth. We invite you to explore all the ways we strive to create a fulfilling and rewarding work environment.</li></ul>This role will focus on: The Quality Manager is responsible for overseeing all aspects of quality assurance within the organization. This includes developing and implementing quality management systems, processes, and policies to ensure that products and services meet or exceed customer expectations and comply with regulatory requirements. The Quality Manager will lead quality improvement initiatives, manage quality audits, and foster a culture of continuous improvement across the organization. As an integral part of our success, you will initially be focused on: Document Management: Maintain the organization's quality management systems (QMS) in accordance with industry standards and regulatory requirements (e.g., ISO 9001, FDA, etc.). Ensure QMS documentation is current, accurate, and effectively communicated across the organization. Oversee the development and execution of quality assurance plans, including inspection and testing protocols, to ensure product and service quality. Analyze quality data and metrics to identify trends, root causes of defects, and areas for improvement. Implement corrective and preventive actions (CAPA) to address quality issues and prevent recurrence. Lead continuous improvement initiatives using methodologies such as Six Sigma, Lean, and Kaizen to enhance product quality, operational efficiency, and customer satisfaction. Promote a culture of quality and continuous improvement throughout the organization. Coordinate the review and approval process for all quality assurance documents, including standard operating procedures (SOPs), work instructions, forms, and templates. Ensure all documents undergo appropriate review by subject matter experts and stakeholders and facilitate revisions and updates as necessary. Monitor document approval status and track document change history to ensure compliance with regulatory requirements and internal quality standards. Provide training and guidance to colleagues on document control procedures, including document creation, review, approval, and distribution processes. Communicate changes to document control procedures and requirements to relevant stakeholders and ensure understanding and compliance across the organization. Lead, mentor, and develop the quality assurance team, fostering a collaborative and high-performance work environment. Provide training and support to employees on quality standards, procedures, and best practices. Work closely with customers to understand their quality requirements and ensure these are met or exceeded. Handle customer complaints and feedback, conducting thorough investigations and implementing improvements to prevent future issues. To be successful in this role, you will need: Personal attributes: Passionate about quality and engaging people. Self-managing and highly motivated, highly developed leadership skills and the ability to work effectively in and with teams. Highly developed sense of accountability, advocacy, influencing and communication skills. Resilient, organized and efficient. The ability to engage others effectively and drive change across all levels and functions. Strategic, with the vision to plan a clear direction for quality and compliance. Pragmatic and practical; can develop process and standards as well as manage a team. An advocate of our Core Values. Skilled in root cause problem solving e.g. 8D methodology, 6 Sigma. Can take a 'hand 'on approach as required and work collaboratively with others to achieve results. Previous experience: Deployment of quality management systems. Muli-sector quality systems and standard experience with a particular emphasis on Biopharmaceuticals' and Medical Device. Experience in implementing quality management systems: ISO 9001, ISO 13485 and of GxP legislation and guidance. Experience with compliance standards such as: REACH, RoHS. Building quality capability. Leading and receiving Quality Management system audits. Successful engagement of multiple levels of stakeholder, geographies and functions. Qualifications: Bachelor's degree in engineering, science or technology, or equivalent Six Sigma Black Belt preferred Certificates by accredited bodies in Lead Auditing, Quality Management, process improvement methodologies e.g. Lean Manufacturing or Six Sigma. As a growing and ambitious organization with a presence in over 60 global locations and across multiple markets, we can offer you the working environment and support needed to be successful. We are committed to achieving workforce diversity and creating an inclusive working environment. We welcome all applications irrespective of social and cultural background, age, gender, disability, sexual orientation, or religious belief. About Watson-Marlow Watson Marlow Fluid Technology Solutions is a part of SSE PLC Group, (<a href="https://www.spiraxgroup.com/" target="_blank">https://www.spiraxgroup.com/</a>) a global engineering solutions provider with 10,300 employees and 130+ units. We provide fluid handling solutions for biotech and industrial markets. We help companies worldwide to improve their efficiency and sustainability. Watson-Marlow Fluid Technology Solutions (WMFTS) leads the niche market of peristaltic pumps and related fluid path technologies. We have ten brands that specialize in different areas, but together we offer our customers the best solutions for their pumping and fluid transfer needs. We are proud to belong to the FTSE 50 company Spirax-Sarco Engineering plc. Equal Opportunity Employer Watson-Marlow Fluid Technology Solutions is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or other protected characteristics as outlined by federal, state, or local laws. This policy applies to all employment practices within our organization, including hiring, recruiting, promotion, termination, layoff, recall, leave of absence, compensation, benefits, training, and apprenticeship. Watson-Marlow Fluid Technology Solutions makes hiring decisions based solely on qualifications, merit, and business needs at the time.

Quality and Compliance Manager

Ebury is a hyper-growth FinTech firm, named in 2021 as one of the top 15 European Fintechs to work for by AltFi. We offer a range of products including FX risk management, trade finance, currency accounts, international payments and API integration. Compliance Officer &amp; MLRO - Greece Ebury Athens - Hybrid: 4 days a week office based working, 1 day working from home The Greece Compliance Officer &amp; MLRO, reports directly to the EEA MLRO. The main purpose of this role is to assist in maintaining the integrity and compliance of the country branch, ensuring adherence to regulatory requirements, reporting obligations and maintaining an open, transparent and effective relationship with our regulators within the country. In addition, this role will assist with the implementation of policies and procedures and keeping them up to date when needed, as well as supporting our training and development program. <ul><li>We are looking for a self-driven Compliance Officer with at least 4-5 years of relevant experience within the financial industry in the country</li><li>Solid knowledge in regulatory (PSD2, MIFID2, etc) and AML compliance and the ability to take ownership of parts of a Compliance framework in a fast-paced Fintech environment.</li><li>The person must demonstrate proven organisational and time management skills, have excellent communications skills (both written and verbal), with the ability to gain credibility fast and influence key stakeholders. The working environment is fast paced, agile and highly results orientated so the individual must be comfortable working within this type of highly rewarding, dynamic environment.</li><li>In addition, the individual must be comfortable with working autonomously, have relevant Compliance/Legal qualifications and a good level of commercial awareness. It will be pivotal to have good interpersonal skills to interact with the local regulatory bodies.</li><li>Fluency in Greek and English is essential.</li><li>Any professional certifications or a law/economics degree will be considered a plus.</li></ul>Key Responsibilities are, but not limited to: <ul><li>Hold the role of the Money Laundering Reporting Officer for the country branch</li><li>Drafting and updating local policies and procedures, while ensuring adherence to regulatory requirements</li><li>Assist with reporting obligations and ensure compliance with statutory deadlines (including but not limited to AML Reports, Payments Reports, etc.)</li><li>Handle connection to authorities regulatory portals</li><li>Liaise with regulatory bodies, ensuring effective and smooth communication</li><li>Develop and maintain relevant parts of the compliance framework (AML/CFT and Regulatory Policies)</li><li>Liaise closely with the Group Compliance (London) to ensure that compliance policies and procedures are consistent with company policy</li><li>Help improving the operational compliance processes based on the local policies (liaise with the MLROs and local ops teams)</li><li>Provide ongoing training about the products and ensure the sales team is continuously monitored for the regulated activities</li><li>Keep abreast of ordinances/circulars/recommendations from the Regulator and continuously ensure that the Entity's policies and procedures adhere to these</li><li>Audit the first line of defence procedures and processes</li><li>Assist with external AML audits</li><li>Provide advice on High Risk clients/escalations and SARs</li><li>Assist with ad-hoc queries from the business teams</li><li>Attend regulatory forums and industry meetings to keep up to date with industry standards</li><li>Desirable to have experience dealing with the country regulators/national bank</li></ul>#LI-CD1 About Us Ebury is a FinTech success story, positioned among the fastest-growing international companies in its sector. Founded in 2009, we are headquartered in London and have more than 1700 staff with a presence in more than 25 countries worldwide. Cultural diversity is part of what makes Ebury a special place to be. From Sao Paulo to Dubai, Bucharest to Toronto, we enjoy sharing team experiences and celebrating success across the Ebury family. Hard work pays off: in 2019, Ebury received a £350 million investment from Banco Santander and has won internationally recognised awards including Financial Times: 1000 Europe's Fastest-Growing Companies. None of this would have been possible without our proudest achievement: our great people. Enthusiastic, innovative and collaborative teams, always ready to disrupt and revolutionise the fast-paced FinTech sector. We believe in inclusion. We stand against discrimination in all forms and have no tolerance for the intolerance of differences that makes us a modern and successful organisation. At Ebury, you can be whoever you want to be and still feel a sense of belonging no matter your story because we want you and your uniqueness to help write our future. Please submit your application on the careers website directly, uploading your CV / resume in English.

Compliance Officer and MLRO

Ebury is a hyper-growth FinTech firm, named in 2021 as one of the top 15 European Fintechs to work for by AltFi. We offer a range of products including FX risk management, trade finance, currency accounts, international payments and API integration. Compliance Officer &amp; MLRO - Portugal Ebury Lisbon - Hybrid: 4 days a week office based working, 1 day working from home The Portuguese Compliance Officer &amp; MLRO, reports directly to the EEA MLRO. The main purpose of this role is to assist in maintaining the integrity and compliance of the country branch, ensuring adherence to regulatory requirements, reporting obligations and maintaining an open, transparent and effective relationship with our regulators within the country. In addition, this role will assist with the implementation of policies and procedures and keeping them up to date when needed, as well as supporting our training and development program. <ul><li>We are looking for a self-driven Compliance Officer with at least 4-5 years of relevant experience within the financial industry in the country</li><li>Solid knowledge in regulatory (PSD2, MIFID2, etc) and AML compliance and the ability to take ownership of parts of a Compliance framework in a fast-paced Fintech environment.</li><li>The person must demonstrate proven organisational and time management skills, have excellent communications skills (both written and verbal), with the ability to gain credibility fast and influence key stakeholders. The working environment is fast paced, agile and highly results orientated so the individual must be comfortable working within this type of highly rewarding, dynamic environment.</li><li>In addition, the individual must be comfortable with working autonomously, have relevant Compliance/Legal qualifications and a good level of commercial awareness. It will be pivotal to have good interpersonal skills to interact with the local regulatory bodies.</li><li>Fluency in Portuguese and English is essential.</li><li>Any professional certifications or a law/economics degree will be considered a plus.</li></ul>Key Responsibilities are, but not limited to: <ul><li>Hold the role of the Money Laundering Reporting Officer for the country branch</li><li>Drafting and updating local policies and procedures, while ensuring adherence to regulatory requirements</li><li>Assist with reporting obligations and ensure compliance with statutory deadlines (including but not limited to AML Reports, Payments Reports, etc.)</li><li>Handle connection to authorities regulatory portals</li><li>Liaise with regulatory bodies, ensuring effective and smooth communication</li><li>Develop and maintain relevant parts of the compliance framework (AML/CFT and Regulatory Policies)</li><li>Liaise closely with the Group Compliance (London) to ensure that compliance policies and procedures are consistent with company policy</li><li>Help improving the operational compliance processes based on the local policies (liaise with the MLROs and local ops teams)</li><li>Provide ongoing training about the products and ensure the sales team is continuously monitored for the regulated activities</li><li>Keep abreast of ordinances/circulars/recommendations from the Regulator and continuously ensure that the Entity's policies and procedures adhere to these</li><li>Audit the first line of defence procedures and processes</li><li>Assist with external AML audits</li><li>Provide advice on High Risk clients/escalations and SARs</li><li>Assist with ad-hoc queries from the business teams</li><li>Attend regulatory forums and industry meetings to keep up to date with industry standards</li><li>Desirable to have experience dealing with the country regulators/national bank</li></ul>#LI-CD1 About Us Ebury is a FinTech success story, positioned among the fastest-growing international companies in its sector. Founded in 2009, we are headquartered in London and have more than 1700 staff with a presence in more than 25 countries worldwide. Cultural diversity is part of what makes Ebury a special place to be. From Sao Paulo to Dubai, Bucharest to Toronto, we enjoy sharing team experiences and celebrating success across the Ebury family. Hard work pays off: in 2019, Ebury received a £350 million investment from Banco Santander and has won internationally recognised awards including Financial Times: 1000 Europe's Fastest-Growing Companies. None of this would have been possible without our proudest achievement: our great people. Enthusiastic, innovative and collaborative teams, always ready to disrupt and revolutionise the fast-paced FinTech sector. We believe in inclusion. We stand against discrimination in all forms and have no tolerance for the intolerance of differences that makes us a modern and successful organisation. At Ebury, you can be whoever you want to be and still feel a sense of belonging no matter your story because we want you and your uniqueness to help write our future. Please submit your application on the careers website directly, uploading your CV / resume in English.

The Wealth Management Compliance Officer is responsible for ensuring that an appropriate compliance control infrastructure and culture is maintained and enhanced - supporting the business, providing advice, developing and implementing solutions and enhancements in relation to business initiatives and regulatory developments. This position works closely with the team and operations area to ensure all business and compliance needs are met. Compliance Officer <ul><li>Responsible for maintaining a complete set of trust, investment, employee benefit and operational policy and procedures for the Trust &amp; Wealth Management area. Work with the Bank's Compliance Officer and Department management team to revise policies and procedures as deemed necessary and in accordance with changes in relevant regulatory laws and regulations and/or changes in operational systems.</li><li>Monitor compliance with written policy and procedures for all areas of the Department. Examine day-to-day activities and conduct audits to ensure compliance with Departmental policies and procedures. Resolve issues and report any non-compliance or suspicious activity to management in a timely manner. </li><li>Participate on various Bank Committees including the Compliance Operational Risk Committee (CORC). Represent and coordinate the Department's needs in these areas.</li><li>Stay abreast of regulatory changes related to trust and wealth management. Develop and ensure adequate training of staff in relation to regulatory and compliance issues.</li><li>Provide support during regulatory and internal audits and examinations. Work with outside auditors and draft responses for management regarding audit findings.</li></ul>Compliance Administration <ul><li>Coordinate and attend weekly investment and administration committee meetings for the Department. Ensure all items on the compliance calendar are reviewed and approved throughout the year. Ensure all items are submitted to the Trust Committee of the Board according to policy. Assist with and review minutes of the meetings.</li><li>Prepare the watch list of investments report and letters to clients regarding confirmation of their stated investment objective.</li><li>Provide annual privacy and ERISA notices to clients.</li><li>Prepare annual custody and fee exception reviews.</li><li>Track client complaints.</li><li>Responsible for the opening account process in the Trust accounting system. Ensure proper documentation and paperwork is complete. Track any missing and outstanding items.</li><li>Ensure all account reviews are completed annually. Review exceptions and assist with account reviews as needed. Examine account information for accuracy. Where appropriate, collect necessary information to update client files.</li></ul>Pension/IRA/Life Insurance Administration <ul><li>Provide account services to employee benefit customers. Work with outside pension administrators to set up new pensioners and disbursements in the accounting system. Make modifications to payments due to a change in status or death. </li><li>Calculate and notify all IRA customers of their RMD requirement for the year. Work with retirement solutions advisor to setup IRA distributions in the system.</li><li>Responsible for the accuracy of tax reporting forms 1099R and 5498 produced by Wall Street Concepts. Reconcile system data and ensure all tax reporting for employee benefit and IRA accounts are provided to customers. Conduct annual disaster recovery testing with Wall Street Concepts. </li></ul>Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)

Wealth Management Compliance Officer - New Milford

Supporting the lives of people and places they love for generations to come is our purpose and providing water services to our communities in the most efficient and sustainable way possible is what we do. Our commitment is to always deliver available and sufficient resources, this is what drives the Drought and Resilience Team and in doing so we want to ensure that we enhance our reputation with our customers, regulators and stakeholders. So, if you want to be part of a diverse team where opportunities flow and fresh ideas are welcomed, #JustAddWater. We currently have an opportunity for a Senior Reporting and Compliance Manager to join our Water Resources team on a permanent basis. You will receive a competitive salary of circa £52,000 to £57,000 plus an excellent benefits package. The Role The Water Resource Function is accountable for developing our short and long-term strategy of where we get our water from including under times of stress (drought). Balancing cost, environmental stewardship and customer need, shaping future investment through Water Resource Management Plan (WRMP), Drought Management Plan (DMP) &amp; PR working with key stakeholders to ensure regulatory compliance and build trust. You will lead the water resources reporting and compliance team, covering the South West Water, Bristol Water, Bournemouth Water and Isles of Scilly regions. You will be responsible for the delivery of internal and regulatory reporting outputs, in addition to managing all assurance activities associated with the function. As Senior Reporting and Compliance Manager, you will have strong ethical standards, understanding of relevant regulations and ability to communicate effectively and lead a team. You will have a proven track record of managing compliance within a regulated environment, have personal resilience, be a self-starter, and a natural collaborator who actively engages with other senior managers across the business. What you'll be doing: <ul><ul><li>Day-to-day contact for compliance and reporting matters, providing critical inputs to other teams and acting as the centre of excellence for reporting and compliance.</li><li>Lead the team to produce an AMP wide reporting and assurance plan, highlight the procurement timescale for critical supply chain activities.</li><li>Develop the content and critical messaging to executive, board and regulators. Challenge the technical experts through the review of actual reporting to ensure alignment with strategy and consistency of messaging, through this providing 1st Line Assurance.</li><li>Take leading role in internal auditing and identifying areas of improvement within reporting and the associated compliance process. </li><li>Implement and enforce robust processes for data collection and reporting to ensure accuracy and reliability of internal and regulatory reports.</li><li>Continuously review and assure function deliverables ensuring that all reporting activities adhere to relevant regulations, standards, and guidelines set forth by regulatory authorities.</li><li>Stay updated on regulatory changes and proactively adapt reporting processes and procedures to ensure compliance with evolving requirements.</li></ul></ul>What we are looking for: <ul><ul><li>Dynamic professional, with a background in compliance management in a regulated industry. </li><li>Collaborative team player with excellent communication skills and confident to act when needed. </li><li>Statistics/ Business / Finance/ Law/ Economics/ Science/ Environmental/ related Degree</li><li>Track record of successfully managing compliance audits, investigations, or regulatory inquiries and experience in liaising with regulatory authorities, industry groups, or other external stakeholders.</li><li>Knowledge of water resources standards and regulatory requirements </li><li>Highly organized with the ability to plan, track, deliver, and evaluate work to meet defined deadlines, adapt to challenges, and build strong relationships with external regulators, stakeholders, and internal teams at all levels.</li></ul></ul>What's in it for you: <ul><ul>This isn't just a job, this is a career; the opportunities to develop and grow your career with us are endless. Alongside ongoing training and development opportunities we offer some great benefits: <li>30 days holiday allowance, plus bank holidays</li><li>Hybrid working arrangements</li><li>Professional progression routes</li><li>Generous contributory pension scheme</li><li>Discretionary bonus</li><li>Share save scheme</li><li>Subsidised healthcare benefits</li><li>Plus, many more!</li></ul></ul>Closing Date: Tuesday 17th September, 2024 Be yourself, we like it that way. Together, we will build a culture of belonging, where inclusion is instinctive. Diversity is our strength and a reflection of our communities. We care, we value everyone, we celebrate uniqueness. Our core values which are essential to our success are: Be Rock Solid - Build trust and be trusted. Be the one we all look to and can depend on. Be You - We want you to bring your best everyday. Be yourself and make your mark in your individual way. Be the Future - Embrace change. Drive Progress. Own the challenge.

Senior Reporting and Compliance Manager

We are Creditspring, a new way of borrowing that focuses on its members and provides them with safe and efficient short-term financial products. We're a fast-growing FCA-regulated consumer credit company. We have members, not customers and we take a lot of pride in that! As one of the UK's only subscription finance company in the market, we truly have a unique value proposition. Our mission is very clear; to improve the financial stability and resilience of our members. We do this through the products we provide, the partnerships we have, and our educational content. We want our members, and everyone in the UK to be able to better manage their finances and steer them away from high-cost, unregulated credit options. We're a world-class, well-funded, diverse team from over 20 different countries that believes in the product we're building and the service we're providing for our members. We've grown significantly in the last 18 months and are evolving our Marketing structure to reflect that. About the role The role is in the 2 nd Line of Defence function at Creditspring and reporting to the Head of Compliance. The role holder will work closely with all aspects of the business to promote a customer centric culture, provide advice on relevant regulations and provide assurance to the business by helping deliver the annual compliance monitoring plan. Responsibilities The core duties and responsibilities of this role include the following: <ul> <li>Keep up to date with regulatory updates and change within the industry, use events and networking to ensure that the business is aware of developments which may increase risk or require change within the business. Complete horizon scanning to keep the business informed.</li> <li>Oversight of business policy management framework, ensuring policies are fit for purpose, up to date and is adhered to by business operational processes</li> <li>Provide support and guidance to the marketing team and approve financial promotions and customer communications where appropriate. Regularly review the website, customer communications and social media to ensure they comply with regulatory guidelines and deliver good customer outcomes.</li> <li>Delivery of the Compliance Monitoring Plan - to review and report on key business processes ensuring that they comply with regulatory guidelines and deliver good customer outcomes. Report findings and recommendations to the Risk and Compliance Committee</li> <li>Monitor key conduct MI for signs of issues and provide advice to the business on any necessary changes to deliver improved customer outcomes.</li> <li>Continually monitor the way that the business is evidencing its commitment to the Consumer Duty in it's BAU activities, ensuring that it easily demonstrable to external parties.</li> <li>Complete and submit regulatory reporting, work with the business to ensure data is captured and supplied as required is accurate andwithin the specified period.</li> <li>Review due diligence on new or existing third party suppliers or partners and oversee the supply of information to them in relation to compliance or regulatory requests.</li> <li>Consult on and support projects which impact on key business process change or development.</li> <li>Work effectively within the general management team, building working relationships which add value and allow for business opportunities or issues to be addressed in a timely and cohesive manner.</li> <li>Support other teams across the business with compliance and regulatory advice and guidance. Ensure that the Compliance team is viewed positively and as such is asked for assistance where appropriate.</li> <li>Support oversight of financial crime processes and controls including customer screening, reviewing SARs and monitoring</li> <li>Support the Head of Compliance develop and deliver a mature compliance framework</li> <li>Deputise for the Head of Compliance as required</li> <li>Adhoc tasks as agreed with line or senior management</li> </ul>What you'll need to succeed Essential: <ul> <li>A minimum of 5 years working within a 2nd line compliance function within financial services with some experience in consumer credit</li> <li>Working knowledge of the FCA guidelines and regulatory requirements including CONC, DISP, SYSC, PRIN, Consumer Duty and SMCR</li> <li>Working knowledge of AML framework and regulatory/legal requirements</li> <li>Proficient user of Microsoft Office software</li> </ul>Desirable: <ul> <li>Project management / consultancy experience</li> <li>Experience in a fintech or similarly fast paced environment</li> <li>Understanding of GDPR </li> <li>ICA Qualification</li> </ul>Salary band - £65,000 to £85,000 depending on experience Don't meet all the listed requirements? Research shows that women and people of underrepresented groups often don't apply for jobs unless they're 100% qualified. As an equal opportunities employer, we know that diversity is a key part of our teams' successes - so even if your experience doesn't fit perfectly but this role excites you, we'd love for you to apply. We're committed to Creditspring being an inclusive environment where employees feel welcomed, valued and listened to; we want you to thrive as your true self. Please note that the People Team is contactable only via <a href="mailto:people@creditspring.co" target="_blank">people@creditspring.co</a> . Unsolicited emails to other team members will not be actioned. Department Compliance Role Compliance Manager Locations London Office Remote status Hybrid Remote

Senior Regulatory & Compliance Manager

Take a transformative step in your career with Zen Fundraising as a Compliance Officer, based in Birmingham. This part-time, permanent role promises to be both challenging and rewarding, with a scope for real impact. You'll ensure our fundraising operations maintain the highest standards of compliance and ethics, essential to our commitment to change the world positively. With flexible working hours four days a week and a competitive hourly rate, this part-time, permanent position offers the chance to significantly impact our operations by ensuring compliance across multiple teams and charity partners. About the role <ul> <li>Zen has multiple charity partners, multiple subcontracting partners and internal fundraising teams. The Compliance Officer is responsible for ensuring that the fundraising teams, whether internal Zen teams or subcontracting teams, represent our charity partners with the utmost professionalism.</li> <li>Ensure that Zen's internal and subcontracting partners' fundraisers and teams work within the rules and expectations set out by the Fundraising Regulator, the Chartered Institute of Fundraising, Zen's charity partners and Zen.</li> <li>Work within and promote the values and ideals of Zen Fundraising and the charity partners in all that you do.</li> <li>Through our established processes and your innovation, you will assess the quality of the work carried out by the fundraising teams through in-field observation, mystery shopping, welcome call evaluation, door-to-door shadowing and KPI reports.</li> <li>For Zen's internal teams, you will also evaluate leaders' and managers' adherence to our training systems.</li> <li>Reports will be compiled and submitted to the GMCC for all of the above. The position is expected to be around 75% in-field work and 25% working from home. From time to time, you may also be required to investigate complaints, attend disciplinary meetings, and evaluate the work of Zen's tele-fundraisers through call listening. Additional responsibilities include:</li> </ul><ul> <li>Prompt response to and action on matters referred to you as high importance by the GMCC.</li> <li>Building good working relationships with all those involved in the programme.</li> <li>Observation of and strict adherence to the policies and procedures set out by Zen.</li> <li>Honest and reliable reporting of the facts as observed.</li> <li>Observation of and strict adherence to the Fundraising Regulator Code of Conduct, Fundraising Promise and Code of Practice for Street, Door-to-Door and Private Site Fundraising.</li> </ul>The successful candidate will: <ul> <li>Have a minimum of 2 years of experience in the Face-to-Face fundraising sector</li> <li>Be familiar with the Fundraising Regulator Face-to-Face rulebooks</li> <li>Have an ethical professional character that displays honesty and integrity at all times.</li> <li>Possess tact, diplomacy and assertiveness to inspire, build confidence and motivate team members in a changing environment.</li> <li>Be a problem solver, able to prioritise, manage risks and improve performance.</li> <li>Have the ability to work under pressure and meet strict deadlines.</li> <li>Be computer literate with a basic understanding of all Microsoft Office applications.</li> <li>Ideally, have a driver's license and access to a car.</li> </ul>Zen Values: <ul> <li>Honesty and Integrity</li> <li>Prioritising the interests of our charity partners first and foremost</li> <li>Quality Orientation</li> <li>Commitment to excellence</li> <li>Teamwork</li> <li>Commitment to learning</li> </ul>Leadership and Managerial Skills: <ul> <li>Working to Deadlines</li> <li>Conceptual and Analytical</li> <li>Negotiation and Conflict resolution</li> <li>Personal Effectiveness</li> <li>Interpersonal Effectiveness</li> <li>Communication skills</li> <li>Creativity and Change</li> <li>Self-Management and Development</li> <li>Presentation skills</li> <li>Problem-solving</li> <li>Numeric skills</li> </ul>General Attributes: <ul> <li>Attention to detail</li> <li>Planning and Organisation</li> <li>Job Motivation</li> <li>Persistence and Consistency</li> <li>Adaptability</li> </ul>Development and Training: <ul> <li>The Compliance and Training Officer will have support from the GMCC and Directors to ensure that all aspects of compliance &amp; motivation are well covered and will receive training, support and personal development.</li> <li>Opportunities for advancement will be provided within the growth plans of our family business, for which everybody's voice is heard.</li> </ul>Job Type: <ul> <li>Part-time initially, with progression to full-time for the right candidate</li> </ul>Pay: <ul> <li> From £12.00 per hour</li> </ul><ul> <li>Performance bonus</li> </ul>Schedule: <ul> <li>Monday to Friday</li> </ul>Work Location: <ul> <li> In-person, Birmingham, UK</li> </ul>Zen Fundraising is a family-run business rooted in ethical principles. We are committed to equal opportunities and welcome diverse applicants. Join us in a role that combines fieldwork with strategic oversight, offering ample room for professional growth and personal contribution within our expanding business. Department Fundraisers Locations Birmingham

Compliance Officer  Birmingham

Shaw Healthcare are recruiting for a Compliance Manager to join our Clinical Governance Team, this role is a hybrid position and could mean you are onsite 3 or 4 days per week at our services. Hours: 37.5 hours per week Salary: starting at £47k increasing to £49k following completion of probation plus monthly car allowance of £350 Location : UK based, you could be required to be onsite 3 or 4 days per week and could include overnight stays Benefit: <ul> <li>25 days annual leave plus bank holidays</li> <li>Employee Ownership Trust including tax free bonuses - to date we have received £1850 tax free bonus </li> <li>Onsite parking</li> <li>Enrolment to NEST pension</li> <li>Retail/Leisure/Holiday and travel discounts</li> </ul>The Compliance Manager is responsible for planning, directing, and completing rigorous audits/inspections and follows up across Shaw healthcare settings that are registered with the national regulators. <ul> <li>This will involve liaison with the individual Service Managers, the operational management teams and the Shaw head office colleagues. </li> <li>The Compliance Manager will be responsible for relaying the outcomes of compliance audits, setting requirements and timescales for completion with the Service Managers and operational management teams and for producing a report.</li> <li>The Compliance Manager will report to the Director of Compliance and Governance and work closely with Compliance &amp; Governance colleagues; and with operational management and teams with regard to areas of continuous quality improvement and business development.</li> <li>Maintaining oversight and management of a caseload of regulated services, ensuring the required Audits are completed, monitoring levels of risk, assessing incoming concerns and ensuring all records are kept up to date.</li> <li>Carrying out Audits in line with an agreed programme, observing and reporting on the well-being of people using the service, identifying and monitoring areas of non-compliance, raising and responding to safeguarding concerns.</li> <li>Taking responsibility for following and progressing actions in relation to services of concern and liaising with other key stakeholders</li> <li>Working with managers to contribute to the setting and achieving of organisational performance objectives, including both quantitative and qualitative measures.</li> <li>Preparing correspondence/reports, etc. in relation to specific issues raised about services.</li> </ul>General Management <ul> <li>Plan, organise, liaise and conduct Compliance Audits in all Shaw healthcare settings that are registered with CQC/CIW/Care Inspectorate &amp; Healthcare Improvement Scotland.</li> <li>Provide relevant professional advice and analysis within corporate Compliance &amp; Governance expectations</li> <li>Adhere to the highest degree of professional standards and strict client confidentiality.</li> <li>Maintain registration with NMC (when applicable)</li> <li>Keep up to date with changes in legislation, guidance, and policies, procedures and best practice development.</li> </ul>Essential Criteria <ul> <li>Excellent analytical, clinical, auditing and presentation skills.</li> <li>Must have a good working and research-based knowledge and understanding of the regulatory framework and its significant influence on all registered settings</li> <li>Good experience in staff and audit management within health and social care.</li> <li>Proven experience and qualifications within health and social care including management certification.</li> <li>Ability to manage multiple engagements and competing priorities in a rapidly growing, fast-paced, interactive, results-based team environment.</li> <li>Ability to manage multiple engagements and competing priorities in a rapidly growing, fast-paced, interactive, results-based team environment.</li> <li>To collect evidence in an objective and in a measured and non-prejudiced manner in order to make informed decisions and judgments about the quality of care and service provision.</li> <li>Needs to have a positive, honest, open and constructive approach when inspecting/auditing; delivering the feedback and completing the report; and following up on action plans.</li> <li>Car driver &amp; current license</li> </ul>

Compliance Manager - Care Regulated Services UK based

We are seeking an exceptional individual to join our team as the Head of Compliance. In this crucial role, you will be responsible for overseeing and managing all aspects of our compliance program, ensuring that Eqvilent adheres to the highest standards of legal and regulatory compliance. What You'll Be Doing: <ul><li>Develop, implement, and maintain a robust compliance framework that covers all areas of our HFT operations</li><li>Stay up-to-date with the latest regulatory developments and industry best practices, and ensure that our compliance policies and procedures are adapted accordingly</li><li>Monitor trading activities and conduct regular compliance reviews to identify potential risks and issues</li><li>Investigate and resolve compliance breaches, and implement corrective actions to prevent future occurrences</li><li>Collaborate with cross-functional teams, including Trading, Risk, Legal, and Technology, to ensure compliance considerations are integrated into all aspects of our business</li><li>Provide guidance and training to employees on compliance matters, fostering a culture of compliance throughout the organization</li><li>Serve as the primary point of contact for regulatory authorities, and manage regulatory inquiries, audits, and investigations</li><li>Prepare and present compliance reports to senior management and the Board of Directors</li><li>Continuously improve our compliance program, leveraging technology and data analytics to enhance monitoring and surveillance capabilities</li></ul>What We Look For In You: <ul><li>Proven track record of success in a senior compliance role, with experience in HFT, trading, hedge funds, financial institutions, or related industries</li><li>Deep understanding of the regulatory landscape governing financial markets, including SEC, FINRA, CFTC, and relevant international regulations</li><li>Experience in developing and implementing compliance programs for trading firms, with a focus on market abuse, trade surveillance, and risk management</li><li>Strong analytical and problem-solving skills, with the ability to navigate complex regulatory issues and develop pragmatic solutions</li><li>Excellent communication and interpersonal skills, with the ability to build strong relationships with internal and external stakeholders</li><li>Highly organized and detail-oriented, with the ability to manage multiple priorities in a fast-paced environment</li><li>Demonstrated leadership skills, with the ability to mentor and guide a high-performing compliance team</li><li>Relevant professional certifications (e.g., CFA, CPA, JD) and/or advanced degrees preferred</li></ul>Why Should You Join Our Team? <ul><li>Great challenges with fast feedback loops</li><li>A welcoming group of highly qualified international professionals</li><li>Cutting-edge hardware and technology</li><li>Comfortable Dubai office or remotely anywhere in the world</li><li>Flexible schedule</li><li>40 paid days off</li><li>Competitive salary</li></ul>

Head of Compliance

SCUK Head of Compliance - Commercial Country: United Kingdom Santander Consumer Finance is one of the UK's Leading Motor Finance companies and we are currently looking for a Head of Commercial Compliance to lead the line one Compliance team within Santander Consumer Finance UK (SCUK) Commercial division. The primary responsibility will be ensuring regulatory rigour and sound governance is applied to all Sales and Marketing areas, with the delivery of good customer outcomes being central to all activity. The role will also specifically focus on applying appropriate rigour to regulatory related matters across all Sales and Marketing activity, including product development and monitoring, intermediary oversight and the production of advertising material, financial promotions and customer communication. Please note this role is a hybrid role with at least 3 days a week in the Redhill office. Remote workers will not be considered. Responsibilities will include: <ul><li>Establish an annual line one Compliance delivery plan within the Commercial division</li><li>Lead and develop the Commercial compliance team, through a documented set of clear, well-communicated objectives</li><li>Lead the management of the Commercial Compliance function in line with the prescribed annual budget</li><li>Ensure that appropriate oversight of activity carried out by all third-party sales intermediaries (and by SCUK's internal sales function) is maintained</li><li>Working in conjunction with the Marketing function, establish appropriate advertising, promotions and customer communication guidelines</li><li>Ensure all activity conducted by the Commercial function is carried out in a compliant manner from a legal, regulatory, and business perspective</li><li>Where relevant, ensure all sales intermediary remuneration and incentives are operated in line with regulatory requirements and company policy</li><li>Required to attend and contribute to various partner and stakeholder meetings at commercial locations across the UK and possibly Europe</li><li>Adhering to our commitment to Consumer Duty ensuring we put our Customers' needs first and set higher and clearer standards of consumer protection</li></ul>What we're looking for: <ul><li>Previous demonstrable experience in Compliance within the motor related financial services sector, with a focus on the management and oversight of 'line one' activity</li><li>Has a sound working knowledge of the motor related financial services sector, including oversight of sales channels, products and customer communication</li><li>Experience in Dealer Oversight and Product Oversight is essential</li><li>Has an excellent grasp of the legal and regulatory environment within the financial services sector, including how The Consumer Duty impacts on SCUK's relationship and interactions with its customers</li><li>Has ideally held previous management positions that required leading business units in a D-2-C environment or via sales intermediaries</li><li>Is well versed in managing commercial compliance activity via sales intermediaries, and ideally has experience in managing a multi-discipline team</li><li>Experienced in producing sound working documentation, including proposals, briefs, and presentations</li><li>Has the ability to assess customer behaviour and analyse market intelligence, and use this insight to help shape customer experience, products and processes</li><li>Can quickly assess Key Performance Indicators and take appropriate remedial action as necessary</li><li>It is expected that any candidate can display a good understanding of the general market sector, can exhibit sound business acumen, has excellent interpersonal skills and is comfortable and confident when dealing with senior management</li></ul>We have a range of benefits available which include: <ul><li>Competitive salary dependent on experience</li><li>30 days holiday per annum, plus bank holidays</li><li>Annual bonus based on personal and company performance</li><li>Car allowance</li><li>Private Medical Insurance</li><li>Generous pension contributions</li><li>Employee assistance programme</li><li>Sharesave scheme</li><li>Gym passes at a reduced rate for 3,000 gyms, leisure centres etc</li></ul>Inclusion At Santander we're creating a thriving workplace where all colleagues feel they belong and are supported to succeed. We all help to make Santander a workplace that celebrates diversity and attracts, retains and develops the most talented and committed people through living our values of Simple, Personal, and Fair. What are the next steps: If you are interested in this role and believe you have the skills, experience, and knowledge then we'd love to hear from you. Please go ahead and click apply which will take you through some questions and allow you to submit your CV and covering letter.

SCUK Head of Compliance - Commercial

Who we're looking for An enthusiastic, motivated individual who is happy to work as part of the UK Client Group Compliance team with a range of stakeholders across Marketing, Product and global Compliance teams, confident in providing robust and practical advice on regulatory requirements and approving financial promotions for EMEA and global use. About Schroders We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 6,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper. The base We moved into our new HQ in the City of London in 2018. We're close to our clients, in the heart of the UK's financial centre. And we have everything we need to work flexibly. The team You'll be part of the large Risk &amp; Compliance team in the UK, and sit within the Client Group, Investment, Product &amp; Fund Operations Compliance functional team. As Client Group Compliance, we focus on Sales and Marketing, but also interact with Product and Operations teams generating content and client communications. We work closely with the Central Compliance team, e.g. on policy, training, monitoring and regulatory change, the Financial Crime team and our Legal, Compliance and Governance colleagues globally. Although based in the UK, we work closely with our EMEA colleagues and have a functional leadership role for Client Group and Marketing Compliance with all global Compliance teams. What you'll do Reporting to the Global Head of Client Group Compliance, you'll be a Senior Compliance Manager in the Client Group Compliance team in the UK, with particular focus on Marketing and Financial Promotions Compliance, leading the EMEA Marketing Compliance team made up of UK and Luxembourg based colleagues, and providing strategic leadership and guidance on Marketing Compliance matters to global Compliance colleagues. The primary responsibilities of the role are: • Provide Compliance advice and guidance to supported the business areas on regulatory rules and expectations in relation to financial promotions, client communications, fund offering documents, social media content and approval processes; • Manage the review and approval of financial promotions and co-ordinate on approach, guidance and processes within EMEA and with global Compliance teams; • Identify regulatory training requirements within Marketing and Communications (and Product teams). Devise and deliver training to meet identified training requirements • In conjunction with the regulatory change team, identify, analyse and track regulatory change affecting Marketing and Communications (and Product teams), and communicate to impacted business areas as appropriate. • Participate in the scoping and performing of Compliance Monitoring reviews in relation to defined areas of activity, as agreed in the annual compliance monitoring programme. • Ensure that complaints, breaches and other errors relevant to Marketing and Communications (and Product teams) are appropriately identified, escalated and resolved. • Review and provide guidance on Marketing and Communications (and Product teams') policies and procedures to ensure that relevant regulatory requirements are met. • Assist with the performance of other compliance related activities and projects as required. The knowledge, experience and qualifications you need • Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment • Leadership and people management skills • Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values • Strong technical skills and knowledge of both retail and institutional distribution activities and asset management products • Confident in dealing with people at all levels, and comfortable with giving presentations and training • Proficient in use of Excel, Word, Outlook and the internet The knowledge, experience and qualifications that will help • Relevant professional training (e.g. Accounting/Audit, Legal, Compliance) • Major European or Asian languages What you'll be like • Reliable and well organised • Good written and oral communication skills • Attention to detail • Able to work to tight deadlines and remain calm under pressure • Able to build trust and foster relationships with relevant teams / areas We recognise potential, whoever you are Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.

Senior Compliance Manager

Information Security Compliance Manager Who are we and why do we do what we do? We are a data and payments company on a mission! We're a group of developers, financial experts, and optimists who share a vision for improving the financial wellness of people, their businesses, and their communities. We started this company with the aim of changing how the industry used and viewed data. As architects of Open Banking, Open Finance, and Open Data, we strive to be a force for good - changing the status quo of how businesses interact with people. We strive to serve the whole population through every change in their finances. We do this by powering businesses through our APIs and Personal Finance Tech solutions as well as our own personal financial management app for consumers. We can only do that by being an inclusive and diverse organisation. We invest in our people, and enjoy an environment focused on innovation, collaboration and openness. What do we offer? We champion flexibility, and we trust and respect our employees to deliver results in a way that best suits them, working around their own lives and commitments. We live and breathe a fantastic culture of remote working and you may perform your duties predominantly from your home. However, the heart of Moneyhub is in Bristol and from time to time you will be required to attend company meet ups. Your role may require you to attend client meetings, networking events or group training sessions. You may also be required to work at such other place or places as we may reasonably require from time to time. As a minimum, you will be required to attend a quarterly All Team Away Day at a location of our choice (including overseas). As well as a truly flexible approach, we also offer a fantastic range of benefits, including: Remote working - with quarterly away days, regular team meeting and face to face client meetings as required. 10% contribution towards your Pension from your very first day with us; 25 days of holiday (plus bank hols), rising to 30 days after two years; Choose to take your entitlement to UK bank holidays at other times based on your own days of significance; Private medical insurance, including cover for pre-existing conditions, plus dental and optical benefit; Six week Moneyhubber Family Pay when you become a new parent; Permanent health insurance and life cover - much greater than the industry standard (death in service); Employee assistance programme; Professional development support, with dedicated allowance of time and money; Life event leave; Cycle to work scheme; EV Salary sacrifice scheme; £750 towards professional memberships Remote working benefits, including work from almost anywhere, access to co-working spaces and support for your home office set-up High spec laptop Requirements Sounds great right? What will you be doing? As an Information Security Compliance Manager, you will play a crucial role in ensuring our organisation's compliance with information security standards and regulations. You will be at the forefront of establishing and maintaining robust security practices, focusing on ISO27001, GDPR, and data protection. Key Responsibilities <ul> <li>Information Security Management System (ISMS): Develop and embed the ISMS into our business operations, ensuring comprehensive security practices across the organisation. As part of this responsibility you will take the lead on:</li> <ul> <li>Supplier Reviews - ensuring we have a robust (but agile) supplier management process</li> <li>Security and Data Privacy Impact Assessments for new products and features we develop</li> <li>Partner Compliance - working with the Head of Compliance to ensure we have robust regulatory client onboarding and monitoring processes. </li> </ul> <li>ISO27001 Compliance: Oversee the implementation and maintenance of ISO27001 standards. Ensure all controls, policies and evidence are up-to-date and effective, working with a team of subject matter experts across finance, internal IT, DevSecOps and technology. We're an agile software company and we use tools such as Drata and Hypercomply to manage our ISMS. You will take the lead on ensuring the organisation uses these tools effectively and productively.</li> <li>Staying current with security trends, threats, and regulations to enhance the confidentiality, integrity, and availability of data at the firm.</li> <li>Audits: Take the lead from an Information Security Management System perspective on internal and external audits (including client audits and security questionnaires from prospective customers). You will be well supported by the team, but will take a leadership role on these activities. </li> <li>Collaboration: Work closely with various teams to ensure an integrated approach to information security, reporting to the Finance Director for clear separation from IT/DevSecOps.</li> </ul>Essential Qualifications <ul> <li>ISO27001: Proven experience with ISO27001 implementation and maintenance.</li> <li>DPIA: Demonstrated ability to conduct and manage DPIAs.</li> <li>Audit Experience: Hands-on experience leading audits in at least one organisation.</li> <li>Organisational Skills: High level of organisation and attention to detail.</li> <li>Visibility: Comfortable with a public-facing role, engaging both internally and externally on infosec matters.</li> </ul>Preferred Qualifications <ul> <li>Ideally you will have worked with Drata (or a similar system previously)</li> <li>Automation: General experience with automation and modern tooling to help automate evidence collection and enforcement of controls.</li> </ul>

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