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Building on our past. Ready for the future Worley is a global professional services company of energy, chemicals and resources experts headquartered in Australia.? Right now, we're bridging two worlds as we accelerate to more sustainable energy sources, while helping our customers provide the energy, chemicals and resources that society needs now. We partner with our customers to deliver projects and create value over the life of their portfolio of assets. We solve complex problems by finding integrated data-centric solutions from the first stages of consulting and engineering to installation and commissioning, to the last stages of decommissioning and remediation. Join us and help drive innovation and sustainability in our projects. Senior Compliance Manager Role Context: As a member of Worley's global Compliance team to promote, oversee and implement Worley's compliance program focusing primarily on Anti-bribery and anti-corruption framework to ensure compliance with applicable laws, Worley's Values and the Code of Conduct. You'll be: <ul><li>Overseeing the design and implementation of the global ABAC program including gifts, AML, Fraud, conflicts of interests, agents. </li><li>Ensuring that the ABAC program, including policy and objectives, is established, implemented, maintained and reviewed to adequately address the Worley's risks.</li><li>Ensure the integration of the ABAC program requirements into the Worley's processes.</li><li>Communicating internally the importance of effective ABAC program. </li><li>Ensuring that the ABAC program is appropriately designed to achieve its objectives. </li><li>Promoting an appropriate anti-bribery culture within the organization.</li><li>Provide input to the company's strategy with respect to anti-bribery and anti- corruption. </li><li>Opine on due diligence risk mitigation plans based on the ABC risks (due diligence team is separate).</li><li>Review and opine on bribery and corruption laws. </li><li>Conduct and manage global and project level risk assessments from an ABAC perspective. </li><li>Reporting on the performance of the anti-bribery management system to the CCO</li></ul>You'll have: <ul><li>A legal background with extensive work in Ethics &amp; Compliance field across multiple geographies. </li><li>A strong understanding of applicable laws, regulations, guidelines and standards of multiple jurisdictions, including Anti Bribery &amp; Corruption laws, fraud regulations, anti-money laundering provisions.</li><li>Effective application of legal knowledge and compliance experience to manage complex problems. </li><li>A strong experience in carrying out global and project risk assessments. </li><li>The ability to apply theoretical concepts in practical situations. </li><li>Excellent writing and analytical skills with strong attention to detail. </li><li>The ability to communicate clearly at all levels, set priorities, establish objectives and milestones, estimate timelines and schedule activities, identify, and allocate resources, effectively.</li><li>A strong sense of responsibility and ownership and ability to manage global time zones.</li><li>A Self-motivated and solution oriented attitude with excellent mentoring, collaboration, and team building skills.</li><li>An understanding of and adherence with Worley's Code of Conduct and values.</li></ul>Moving Forward: We want our people to be energized and empowered to drive sustainable impact. So, our focus is on a values-inspired culture that unlocks brilliance through belonging, connection and innovation. We're building a diverse, inclusive and respectful workplace. Creating a space where everyone feels they belong, can be themselves, and are heard. And we're not just talking about it; we're doing it. We're reskilling our people, leveraging transferable skills, and supporting the transition of our workforce to become experts in today's low carbon energy infrastructure and technology. Whatever your ambition, there's a path for you here. And there's no barrier to your potential career success. Join us to broaden your horizons, explore diverse opportunities, and be part of delivering sustainable change. #LI-HYBRID

Senior Compliance Manager

About Kambi Kambi Group plc is a leading B2B provider of premium sports betting services to licensed gaming operators. Our services provide an end-to-end solution for operators wanting to launch a standalone Sportsbook or bolster their existing offering with an innovative sports betting product. From front-end user interface to customer intelligence, risk management and odds compiling, all built on our in-house developed software, we strive to deliver the ultimate service and solution to our partners. Our vision is to create the world's leading sports betting experiences, together with our partners. Type of contract: permanent Hybrid model: 2 days per week in the London office The team We're looking for an individual to support the legal team with Regulatory Research and Compliance. You will be joining a team of nearly 30 people split across London and Stockholm, helping to provide support to the Kambi business globally. As a Regulatory Research and Compliance Support function, your day-to-day will look like: <ul><li>Monitoring regulatory developments across 60+ jurisdictions by conducting relevant research.</li><li>Drafting and sending regular updates to internal stakeholders.</li><li>Supporting the creation of jurisdiction-specific files containing all relevant laws, regulations and administrative/judicial decisions.</li><li>Conducting client/supplier due diligence in accordance with internal processes.</li><li>Monitoring the status of licences of suppliers and operators.</li></ul>You'll be a great fit for the role if you have: <ul><li>4+ years professional experience, preferably working within compliance and/or regulatory affairs.</li><li>Proficiency in conducting desktop research.</li><li>Good analytical skills, and ability to understand, interpret and summarise complex information.</li><li>Strong organisational skills, proactivity, and attention to detail.</li><li>Capability to work autonomously and manage assigned tasks efficiently.</li><li>Strong communication and stakeholder management skills.</li><li>Fluent in both, written and spoken English. Any additional language knowledge is welcomed.</li><li>An eagerness to learn and a team-oriented mentality.</li></ul>Let's talk about what's in it for you? <ul><li>A friendly and supportive team</li><li>Exposure to the global business</li><li>Good development opportunities</li></ul>#wearekambi Kambi's ongoing commitment to Diversity and Inclusion in the workplace If you require any reasonable adjustment during the recruitment process, please notify your recruiter, who will assist you however they can. Diversity and inclusion is at the heart of who we are and who we aim to be. While we are proud of the positive and inclusive company culture we have created, we know we can do so much more. Kambi constantly evolves its Diversity and Inclusion strategy to ensure it becomes an even more inclusive and positive place to work, with the core management team reaffirming its commitment to delivering on employee feedback. Creating an inclusive environment We believe Kambi's greatest strength is the collective talent of our employees. Kambi is committed to ensuring we create an inclusive work environment where everyone can feel valued, thrive and achieve their potential, regardless of who they are or what their background is. We know that it is only by having a balance of different voices, values and opinions that Kambi is able to be the market leader it is today. #wearekambi

Compliance Officer (Regulatory Affairs)

Company Description Visa is a world leader in payments and technology, with over 259 billion payments transactions flowing safely between consumers, merchants, financial institutions, and government entities in more than 200 countries and territories each year. Our mission is to connect the world through the most innovative, convenient, reliable, and secure payments network, enabling individuals, businesses, and economies to thrive while driven by a common purpose - to uplift everyone, everywhere by being the best way to pay and be paid. Make an impact with a purpose-driven industry leader. Join us today and experience Life at Visa. Job Description We are seeking a Senior Compliance Officer to Tink (delivering open banking solutions as a part of Visa) who wants to help continue the development of our compliance program and function, primarily in regard to countering financial crime (incl. AML/CTF). As a Senior Compliance Officer with focus on countering financial crime at Tink, you will work closely with colleagues in many different teams (and locations), making it essential that you are business-oriented and able to provide practical and actionable guidance and advice in a user-friendly way. You will join our second line of defense compliance team and closely work with the first line AML/CTF function, risk control, legal, and other Tink staff. As Tink is part of Visa group, you'll access global expertise in countering financial crime. This position is based in Stockholm with a hybrid work setup. The role reports to Tink's Head of Compliance. What you will do: You will manage and develop Tink's countering financial crime compliance program as part of the second line of defense Compliance function. Although countering financial crime will be your main focus, you will support the Compliance team in managing other regulated areas like payments, consumer protection, business conduct, and governance and ethics. Additionally, you will collaborate with colleagues across the Tink regulated group and Visa group. Your specific responsibilities will include but not be limited to: <ul><li>Take on MLRO responsibilities in accordance with external regulations (delegated from Head of Compliance)</li></ul><ul><li>Ensure that adequate countering financial crime (incl. AML/CTF) policies and procedures are put in place, kept up to date and implemented effectively on an ongoing basis.</li></ul><ul><li>Monitoring and controlling whether the measures, policies and procedures implemented comply with our AML/CTF obligations, and continuously identifying, documenting and proposing measures to manage ML/TF risks.</li></ul><ul><li>As part of the Compliance function, support in the reporting to Tink's board, management and committees, including supporting the board and management with the development and implementation of the financial crime program, both locally in Europe and globally.</li></ul><ul><li>Annually developing and implementing a risk-based plan for the compliance function's work with AML/CTF.</li></ul><ul><li>Supporting the first line of defense AML/CTF function and the AML/CTF risk owner with support and advice.</li></ul><ul><li>Responsible for ongoing contacts regarding AML/CTF related issues with financial supervisory authorities and FIUs in Sweden and in the other markets where we operate.</li></ul><ul><li>Participating in the development of processes for product development and other strategic projects.</li></ul><ul><li>Developing and holding AML/CTF-related training for the board, management and Tink staff.</li></ul><ul><li>Monitoring new regulations and regulatory trends regarding the AML/CTF regulatory framework and analyzing the impact on Tink and its licensed subsidiaries.</li></ul>This is a hybrid position. Expectation of days in office will be confirmed by your hiring manager. Qualifications <ul><li>Previous working experience from a control function in the financial industry (compliance-, risk or internal audit function).</li><li>At least 5 years of experience working with AML/CTF in the financial industry.</li><li>Relevant academic degree from a reputable university or college.</li><li>Experience from a regulated payment institution would be viewed positively.</li><li>The ability to prioritize, structure and adapt to changes in an entrepreneurial environment.</li><li>Strong investigative and analytical skills that you can translate into clear and concise reports, recommendations or decisions.</li><li>Strong communicator in spoken and written English and Swedish.</li><li>High ethical standards and a spotless reputation (background checks will be performed as part of the hiring process).</li></ul>Additional Information Visa is an EEO Employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability or protected veteran status. Visa will also consider for employment qualified applicants with criminal histories in a manner consistent with EEOC guidelines and applicable local law.

Senior Compliance officer (AML)

Role Responsibility: Transformation Compliance Manager Salary: £58,000 per annum Working hours: Monday - Friday 8.30am-5.30pm Location: Tower Hamlets, E14 0JW Excellent Company benefits including Contributory Pension and Company Car G4S Facilities Management are recruiting a Transformation Compliance Manager on a full-time basis based within the London Borough of Tower Hamlets, focusing on our critical PFI contracts. The Transformation Compliance Manager will drive compliance across our PFI contracts. By embedding a data-driven approach and collaborating with operational teams, this role will ensure effective contract management and adherence to all requirements Key responsibilities: <ul><li>Manage health and safety compliance to mitigate corporate risks.</li><li>Support Contract Management in maintaining health and safety standards.</li><li>Drive the use of business compliance tools and audits to manage and resolve non-compliance issues.</li><li>Assist with incident investigations and analysis to promote best practices.</li><li>Coach and mentor the operational and compliance teams on compliance matters.</li><li>Monitor and identify future compliance activities to prevent non-compliance issues.</li><li>Review and improve operational and compliance documentation to meet deadlines.</li><li>Foster stakeholder engagement around compliance.</li><li>Collaborate with internal and external teams to ensure effective contract delivery.</li><li>Conduct compliance inspections and audits, and recommend and support improvements.</li><li>Stay updated on regulatory requirements and ensure compliance, especially in healthcare and safe</li></ul>The Ideal Candidate: Essential: <ul><li>NEBOSH General Certificate</li><li>Proven experience in auditing and performance monitoring</li><li>Experience in data analysis</li><li>Good knowledge of Computer Aided Facilities Management (CAFM) systems and SFG20</li><li>Strong personal impact and influencing skills to build and maintain customer confidence across transformation and closure activities</li><li>Flexible approach to stakeholder engagement</li><li>Experience managing difficult and complex change</li><li>Ability to produce accurate and detailed reports</li><li>Demonstrated accountability and ownership of work</li><li>Full mobility and clean, valid driving license</li><li>Proficiency with IT packages, including Google Suite, Microsoft Word, Excel, and PowerPoint</li></ul>Benefits While working for G4S, you are entitled to a number of benefits and offers from G4S partners and other organisations, from employee assistance provided through WeCare, to RAC cover and so much more, including the below; <ul><li>25 days holiday plus bank holidays</li><li>Progression, training and development catered to you.</li><li>Refer A Friend incentives</li><li>Company pension scheme with employer contributions.</li><li>G4S Life Assurance Scheme.</li><li>Subsidised healthcare plan.</li><li>Charity work- Match-IT and Payroll Giving.</li><li>Confidential Counselling Services</li><li>24/7 support specialising in health and medical</li><li>Discounts on high street shops and brands including several leading high street brands, retailers and travel suppliers.</li></ul>#Ll-RG1

Transformation Compliance Manager

Building a sustainable tomorrow BAM UK and Ireland is recruiting a Compliance Manager UK&amp;I. This role can be based between any UK&amp;I regional office and home, travel will be required across the UK and Ireland. The role of Compliance Manager will actively contribute to the further development of the compliance, integrity and privacy program, raising awareness and embedding compliance topics in the BAM UK &amp; Ireland Division. You will work closely with colleagues across BAM UK&amp;I, the Divisional Compliance Officer UK&amp;I and with the Group Director Governance &amp; Compliance. Your mission • Support the compliance program in BAM UK&amp;I in consultation with the Segment management, the Divisional Compliance Officer UK&amp;I and the Director of Governance and Compliance for BAM Group. • Ensure compliance, integrity and privacy dilemmas are identified and discussed within the organisation through workshops, consultations, toolbox sessions. • Prepare and coordinate integrated compliance awareness programs. • Undertake scenario based workshops within Segment and Business Units. • Coordinate and carry out compliance reports and investigations, with supervision and support from the Divisional Compliance Officer UK&amp;I. • Support data privacy, data protection and information security colleagues to achieve training outcomes and implementation of processes and procedures. Conduct periodic compliance risk analysis. • Identify improvements for compliance, integrity and privacy in processes and practices. • Report the status of compliance activities to Segment management and the Divisional Compliance Officer UK&amp;I. Profile Mindset &amp; Culture • Role model the BAM values and behaviours. • Create a culture of continuous improvement and delivery. • Identify and grows best practices and strengthen system and process controls. • A strong and confident individual and an independent thinker. Executing the results • The ability to set clear goals and commit to improved performance; tenacious and accountable in driving results. • Confident with the ability to lead and support others through complex situations. • Viewed by others as having a high degree of integrity, forethought and specialist knowledge in their decision making. • The ability to act in a transparent and consistent manner while always taking into account what is best for BAM. Relationships and Influence • Naturally connects and builds strong relationships with others, demonstrating strong emotional intelligence and an ability to communicate clearly and persuasively. • An ability to inspire trust and followership in others through compelling influence, powerful charisma, passion in their beliefs, and active drive. • Excellent communication and interpersonal skills at the different levels of the organization. Who are we looking for? • Experience of compliance in a corporate context, preferably within a large, complex organisation • A relevant qualification in a related subject • A positive self-starter with a proactive and ambitious attitude • Ability to communicate with people at all levels and influence change within the business • Proficient in the scoping, application and use of information technology • Experience in coaching and developing others. • Strong analytical skills with a strong business focus • A passion for open cooperation and organisational improvement. What's in it for you? A challenging and continuously changing environment in a forward thinking organisation. In addition to an attractive salary and benefits package, we support further personal growth and development. Your work environment People are at the heart of what we do at BAM. We recognise that creating a diverse and inclusive environment that nurtures our employees and encourages them to bring their best and whole self to work is crucial. We're on an exciting journey to get us there by recruiting the very best talent to join us regardless of race, colour, religion, national or ethnic origin, sexual orientation, gender identity or expression, age, disability or other characteristics. Be you! Join us today, so we can achieve amazing things together and build a sustainable tomorrow. Who are we? The art of building is about building for communities; it's about building for life. Where others stop, we go further, leading the way towards a sustainable tomorrow for us and future generations. As an industry leader, we raise the bar. Our values: sustainable, inclusive, collaborative, reliable and ownership, enable us to achieve our ambitions. Today, tomorrow and every day. Our recruitment process, what you need to know? BAM is committed to ensuring a fully inclusive recruitment and onboarding process, so if at any time you feel we need to do something to make it more accessible to you, do not hesitate to speak with one of our team, and we will do our best to support you. Closing date 15th Apri 2025

Compliance Manager UK&I

WER BEGEISTERUNG MITBRINGT, KOMMT GERADE RECHT. TEILEN SIE IHRE LEIDENSCHAFT. Der Erfolg, den wir täglich auf den Straßen sehen, entsteht in den Köpfen unserer Kolleg:innen. Von der Forschung bis zur Rechtsabteilung beschäftigen wir Expert:innen, die Verantwortung übernehmen und in internationalen Teams ihr Fachwissen ebenso teilen wie ihre Begeisterung für das gemeinsame Projekt, ihre Offenheit und Neugier. Unsere aufmerksamen und hochmotivierten Köpfe schaffen es Tag für Tag, den Überblick über die unzähligen Vorschriften und Gesetze zu behalten, die unser globales Geschäft beeinflussen. Mit einer Leidenschaft für präzise Analysen stellen sie sich der Herausforderung, hundertprozentige Compliance sicherzustellen. Möchten Sie gemeinsam mit uns die Zukunft im Bereich Automotive vorantreiben? Innerhalb der Funktion Group Compliance gestalten wir das Compliance Management System (CMS) der BMW Group und tragen zur strategischen Weiterentwicklung von Compliance im Unternehmen bei. Unser Team erfüllt dabei die sog. Prevent-Funktion durch adressatengerechte und fachlich hervorragende Präventionsarbeit und Rechtsberatung. Als Unternehmensjurist / Compliance Officer (w/m/x) sind Sie in der Abteilung "Programmsteuerung &amp; Prävention" der BMW Group Compliance Funktion tätig. Was erwartet Sie? <ul> <li>Zu Ihren Umfängen gehören die relevanten Themenfelder rund um die Anforderungen an das CMS - mit einem Schwerpunkt im Bereich Kartellrechts-Compliance sowie Korruptions- und Betrugsbekämpfung. Weitere relevante Rechtsgebiete sind Menschenrechte, Exportkontrolle und die Geldwäscheprävention.</li> <li>Sie sind für die Ausgestaltung und Weiterentwicklung der Programmelemente des CMS unter Berücksichtigung (sich verändernder) rechtlicher Anforderungen und strategischer Rahmenbedingungen zuständig.</li> <li>In Ihrer Verantwortung liegt sowohl die Erstellung, Überarbeitung, Implementierung sowie das Monitoring verschiedener Konzepte und Prozesse des CMS (einschl. der inhaltlichen und didaktischen Erstellung von Compliance Trainings und deren Durchführung).</li> <li>Sie übernehmen die lösungsorientierte Compliance Beratung zu Themen mit hoher wirtschaftlicher Bedeutung, insbesondere bei komplexen Einzelfragen und Projekten, etwa aus den Bereichen M&amp;A, bei Kontakten zu Wettbewerbern, Händlern und/oder Lieferanten.</li> <li>Sie sind verantwortlich für die Strukturierung, Durchführung sowie die Steuerung von interdisziplinären und umfangreichen Projekten zur Weiterentwicklung des CMS.</li> <li>Sie sind Teil eines interdisziplinären Teams bestehend aus Juristen, Betriebswirten und IT-Experten.</li> <li>Die Zusammenarbeit und Unterstützung des globalen Compliance Netzwerks der BMW Group rundet Ihr Aufgabenfeld ab.</li></ul>Was bringen Sie mit? <ul> <li>Studienabschluss der Rechtswissenschaften mit Prädikat, bevorzugt mit internationaler oder Compliance-orientierter Zusatzqualifikation oder eine vergleichbare Qualifikation.</li> <li>Einschlägige, mehrjährige Berufserfahrung (+5 Jahre) in der Implementierung sowie Weiterentwicklung eines Compliance Management Systems (z.B. auf Grundlage IDW PS 980).</li> <li>Fundierte Kenntnisse im Bereich des Kartell- und Strafrechts als Jurist/Syndikusrechtsanwalt in einem international operierenden Unternehmen bzw. als Rechtsanwalt in einer darauf spezialisierten Kanzlei.</li> <li>Begeisterung dafür, Compliance und Haltung im Unternehmen zu verankern und den Mitarbeitern zu vermitteln.</li> <li>Freude und Fähigkeit, Compliance zu gestalten, wirksam zu implementieren, Probleme und Risiken nicht nur zu erkennen, sondern auch im Unternehmensinteresse zu lösen.</li> <li>Geschick im Umgang mit schwierigen Sachverhalten, unterschiedlichen Interessengruppen und komplexen Organisationen.</li></ul>Sie besitzen politisches Gespür und diplomatisches Geschick? Bewerben Sie sich jetzt! Mehr Information zu unseren Fachgebieten im Bereich Recht und Patente finden Sie hier. Hinweis: Bitte bewerben Sie sich ausschließlich online über unser Karriereportal. Bewerbungen auf anderen Kanälen (insb. auch E-Mail) können nicht berücksichtigt werden. Was bieten wir Ihnen? <ul> <li>Herausfordernde Projekte, mit denen wir gemeinsam die Mobilität von morgen gestalten.</li> <li>Vielfältige persönliche und fachliche Entwicklungschancen. </li> <li>Attraktive und leistungsgerechte Vergütung.</li> <li>Hohe Arbeitsplatzsicherheit.</li> <li>Jährliche Sonderzahlungen wie Urlaubsgeld, Weihnachtsgeld und Erfolgsbeteiligung.</li> <li>Flexible Arbeitszeitgestaltung inkl. 6 Wochen Jahresurlaub und Überstundenausgleich.</li> <li>Vergünstigte BMW &amp; MINI Konditionen.</li> <li>Viele weitere Benefits siehe bmw.jobs/waswirbieten</li></ul>Startdatum: 01.06.2025 Anstellungsart: unbefristet Arbeitszeit: FULLTIME Sie haben Fragen? Dann reichen Sie Ihr Anliegen ganz einfach über unser Kontaktformular ein. Ihre Anfrage wird im Nachgang telefonisch oder per E-Mail beantwortet. Bei der BMW Group verstehen wir Diversität und Inklusion in all ihren Dimensionen als Stärke für unsere Teams. Chancengleichheit ist uns ein besonderes Anliegen, die Gleichbehandlung von Bewerber:innen sowie Mitarbeiter:innen ein grundlegendes Prinzip unserer Unternehmenspolitik. Daher basieren auch unsere Recruiting-Entscheidungen auf ihrer Persönlichkeit, ihren Erfahrungen und Fähigkeiten. Mehr zu Diversity bei der BMW Group unter bmwgroup.jobs/vielfalt

Unternehmensjurist / Compliance Officer (w/m/x)

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Overview PIMCO is seeking a highly skilled and motivated Compliance Expert to join its EMEA Regulatory Compliance team in London. This role will focus on Client Facing Activities, Marketing, and Environmental, Social, and Governance (ESG) compliance within the EMEA regulatory frameworks including oversight on client facing activities and applicable regulatory framework for PIMCO's branches and licenses in EMEA. The successful candidate will be responsible for maintaining a best-in-class compliance program, providing pragmatic regulatory advice, and ensuring compliance across PIMCO's legal entities and branches in key locations, including London, Munich, Milan, Madrid, and Zurich. The role requires a proactive approach to managing compliance initiatives related to new products, ESG requirements, marketing strategies, and regulatory changes. Key Responsibilities <ul><li>Compliance Program Management: Maintain and enhance PIMCO's EMEA Compliance program for Client Facing, Marketing, and ESG activities, ensuring it meets industry standards and regulatory requirements</li><li>Branch and License Oversight: Maintain and enhance PIMCO's EMEA Branch and license oversight program, ensuring compliance of PIMCO's branches and licenses with applicable regulatory frameworks</li><li>Regulatory Advisory: Provide practical compliance advice on policies and procedures to support business operations, ensuring alignment with applicable regulations</li><li>Monitoring and Testing: Conduct compliance monitoring and testing to ensure adherence to regulatory frameworks, identifying areas for improvement and implementing necessary changes</li><li>Regulatory Horizon Scanning: Perform ongoing analysis of the regulatory environment, including "horizon scanning" for changes and expectations from regulators, to enhance the compliance program</li><li>Collaboration and Project Involvement: Actively contribute to the global regulatory compliance team, focusing on Client Facing, Marketing, ESG, and Branch and License Oversight, while participating in local, regional, and global projects and working groups</li><li>Training and Development: Facilitate training sessions and workshops to educate staff on compliance policies, procedures, and best practices</li></ul>Requirements <ul><li>Experience: Proven experience in managing compliance monitoring programs, with a strong emphasis on risk-based and audit-ready frameworks</li><li>Regulatory Knowledge: In-depth understanding of UK and EU regulatory requirements relevant to PIMCO EMEA, with the ability to interpret and apply these regulations effectively. Regulatory knowledge for Middle East and Africa would be a plus</li><li>Communication Skills: Excellent organizational and communication skills, with the ability to present complex information clearly and concisely to diverse audiences</li><li>Attention to Detail: Diligent record-keeping and a meticulous, detail-oriented approach to compliance functions, ensuring accuracy and thoroughness in all activities</li><li>Team Orientation: A collaborative team player with a strong client service orientation, capable of fostering positive working relationships across various departments</li><li>Adaptability: Flexibility in addressing complex regulatory matters while maintaining a clear understanding of business needs and objectives</li><li>Professional Standards: Commitment to the highest professional standards and a client service orientation, ensuring that compliance practices support the overall business strategy</li></ul>Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Regulatory Compliance Officer - Client Facing Branch Oversight (London)

We are looking for an experienced compliance professional to join the Amazon Payments UK (APUK) team to support compliance operations of the firm. The Compliance Manager will be responsible for supporting regulatory compliance of the payments propositions within the UK. The Compliance Manager will be part of the 2nd line Compliance Office and responsible for providing regulatory oversight and approval for new programs, providing expert advice to stakeholders and supporting strategy design with regulatory input. This opportunity requires a subject matter expert to contribute within a fast-paced, growing team. You will champion customer outcomes and use your knowledge of the industry and regulatory horizon to ensure sustainable, compliant solutions are formed. You will comfortably handle ambiguity, and provide pragmatic challenge to colleagues, peers and leadership and you are not afraid to roll up your sleeves and dive into the details. You think outside of the box, coming up with solutions in times of ambiguity. Key job responsibilities • Assist in ensuring APUK's payment activities operate in accordance with all legal and regulatory requirements by monitoring the compliance of business activity • Applying working knowledge of FCA regulations such as Consumer Duty Regulations and Payment Services Regulations and Policies to articulate customer/control impact and drive alignment across teams. • Assist with the development, documentation and maintenance of policies and procedures • Provide compliance awareness and training to the business • Prepare reporting to internal governance committees • Review, challenge and approve risk records, policy breaches and matters for escalation • Work with business leads to identify and collate relevant information to respond to requests for information from auditors and regulators (ad hoc and regulatory returns). • Maintain up to date knowledge of relevant regulations by monitor regulatory change and emerging risk from regulatory sources, to proactively communicate key developments to internal stakeholders and support the implementation of regulatory change. BASIC QUALIFICATIONS - Minimum of four years compliance experience in financial services working in risk and compliance, or within a financial regulatory body or consultancy practice - A good understanding and previous experience of working with Payment Services Regulations 2017 and FCA regulations, in areas such as complaint handling, safeguarding, operational resilience and consumer duty. - Excellent team player with the ability to work closely with others to deliver results, identify and resolve issues; shares information and keeps team members and management informed - Excellent organisational skills with the ability to prioritise workload and manage various tasks simultaneously. - The ability and willingness to learn new skills and upskill quickly to be an SME on new requirements - Strong and demonstrable influencing, stakeholder management, presentation and communication skills. - Resilient and able to thrive and lead in a fast paced, entrepreneurial environment - Strong judgment and analytical thinking - Strong ownership and delivery orientated, to perform independently with minimal supervision PREFERRED QUALIFICATIONS - Experience within the payments sector and/or fin-tech environment - Experience of relationship management with regulatory bodies - Demonstrated experience working with FCA regulations and compliance requirements such as Payment Services Regulations (2017), Electronic Money Regulations (2011), Consumer Duty and other applicable FCA regulations and policies Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. Our inclusive culture empowers Amazonians to deliver the best results for our customers. If you have a disability and need a workplace accommodation or adjustment during the application and hiring process, including support for the interview or onboarding process, please visit <a href="https://amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://amazon.jobs/content/en/how-we-hire/accommodations</a> for more information. If the country/region you're applying in isn't listed, please contact your Recruiting Partner.

Regulatory Compliance Manager, Amazon Payments UK (Compliance)

Senior Compliance Manager Appleby Magna (DE12 8AA) £70,000 plus car / car allowance, 33 days holiday, pension, life assurance, employee assistance programme, wellbeing support, and flexible benefits scheme About the Role Relationships mean everything to us, and this one is particularly special. You'll have an important part to play in automotive success that spans nearly 50 years. As Senior Compliance Manager, your role is to maintain customs compliance, offering support across Unipart. As part of your role, you will be responsible for: <ul><li>Supporting site specific accreditations such as US CBP CTPAT, and CAA Known Consignor</li><li>Completion of process and area audits as per the agreed audit schedule (i.e. Proof of Export, CTPAT, Known Consignor &amp; ISPM-15) </li><li>Ensuring recommendations from audits are issued to the area manager/client (where appropriate) and implemented </li><li>Maintaining access to JLR's and Unipart's SAP systems to interrogate the master data to assist with import/export queries </li><li>Supporting customer service in product returns from Global importers &amp; ad hoc queries</li><li>Supporting multiple clients with regards to import queries </li><li>Maintaining lines of communication between the Freight and Compliance teams with Unipart operation's teams </li><li>Assigning tariff codes to newly introduced products across ULL </li><li>Completing Duty and Tax analysis for new markets / campaigns within ULL </li><li>Supporting the Tax and Compliance Team, and the Compliance Manager in particular, in tackling ad hoc compliance issues. </li><li>Project management and successful implementation of new compliance legislations ensuring Unipart and our clients are fully compliant (i.e. CTU - SOLAS) </li><li>Reviewing and refining processes in line with Unipart's passion for continuous improvement </li><li>Providing a weekly highlight report of all recommendations and countermeasures </li><li>Acting as subject matter expert for foreign trade, laws and practices </li><li>Reviewing global tender documents. </li><li>Recommending correct incoterms and obtain relevant market data entry information (by country) to allow buying to cost accordingly </li><li>UAT where system changes have been made in the name of compliance </li></ul>About You We'd love you to have the following skills and experience, but please apply if you think you'd be able to perform well in this role! <ul><li>Advanced knowledge of UK / EU import and export regulatory compliance</li><li>Institute of Export membership</li><li>Advanced Excel skills and SAP </li><li>Experience in a Freight or Supply Chain environment is essential</li><li>Degree qualified or equivalent </li><li>Excellent communication and interpersonal skills, both verbally and in writing, including ability to present to senior levels</li><li>Influencing skills</li><li>Collaborative and team oriented</li><li>Approachable, target driven, structured and logical approach to problem solving. </li><li>Confident to present to the client and lead discussions </li><li>Proven analytical and conceptual working capabilities </li></ul>Our recruitment and selection process has been developed to ensure that it is consistent, fair and provides equality of opportunity - all selection decisions are based solely on technical and behavioural competencies. We do not discriminate on the grounds of race, colour, or nationality, ethnic or national origins, sex, gender reassignment, sexual orientation, marital or civil partnership status, pregnancy or maternity, disability, religion or belief, age or any other current or future protected characteristic as defined in the current Equality Act of England and Wales. As an organisation we also promote an environment which encourages diversity of characteristics and thought, where you feel included, safe and confident to be the best version of yourself and do your best work every day.

Kommuninvest i Sverige AB är en ledande aktör inom offentlig finansiering och ägs av 281 kommuner och 15 regioner. Bolaget står under Finansinspektionens tillsyn och erbjuder kostnadseffektiv och hållbar finansiering för kommunala investeringar genom att låna upp kapital och vidareutlåna till sina medlemmar. Med en balansomslutning på 613 miljarder SEK och en diversifierad upplåningsstrategi är Kommuninvest en stabil och pålitlig partner för svenska kommuner och regioner. Verksamheten är koncentrerad till Sverige, med huvudkontor i Örebro. Är du redo att ta nästa steg i din karriär? Som Senior Compliance Officer hos Kommuninvest får du en bred och affärsnära nyckelroll där du arbetar både strategiskt och operativt med regelefterlevnad. Med din expertis spelar du en avgörande roll för morgondagens regelefterlevnad inom offentlig finansiering. Din utmaning Här får du en central och rådgivande funktion i att Kommuninvest följer gällande regelverk och bibehåller en stark compliancekultur. I denna roll samarbetar du nära både interna och externa intressenter. Du ges här möjlighet att påverka och vidareutveckla compliancefunktionen i en organisation som kombinerar finansiell expertis med hållbarhet och samhällsutveckling. I rollen rapporterar du direkt till Chief Compliance Officer och arbetar nära verkställande ledning. Exempel på dagliga arbetsuppgifter : <ul> <li>Följa och stödja implementation av nya och ändrade regelverk samt delta i godkännandeprocesser (NPAP)</li> <li>Identifiera och analysera risker kopplade till regelefterlevnad samt genomföra riskbedömningar</li> <li>Stödja chefer och medarbetare vid förändringar av produkter, tjänster och processer</li> <li>Planera och genomföra utbildningar inom regelefterlevnad</li> <li>Genomföra löpande uppföljningar och interna granskningar</li> <li>Stödja uppdatering och utveckling av styrdokument samt delta i utvecklingsprojekt</li> </ul>Din bakgrund Vi ser gärna att du som söker har flera års erfarenhet av regelefterlevnad från den finansiella sektorn, eller motsvarande erfarenhet från internrevision. Du har en akademisk examen inom relevant område och god förståelse för finansiella regelverk. Erfarenhet av IT-säkerhet och AML/CTF är i viss mån meriterande. Vi ser också gärna att du har anknytning till Örebro eller närliggande områden. För att lyckas i rollen behöver du vara analytisk och ha hög integritet. Du är lösningsorienterad och har lätt för att samarbeta och kommunicera med olika intressenter. Vidare är du strukturerad och noggrann med en god förståelse för riskhantering och regulatoriska krav. Du har utmärkta kommunikationsfärdigheter i svenska och engelska, både i tal och skrift. Rollen ger dig en möjlighet att växa, utvecklas och ta stort ansvar i en organisation med samhällsviktig funktion och med ett högre syfte. Om du är redo att ta nästa steg i din karriär och göra varaktig skillnad, ser vi fram emot din ansökan! I denna rekrytering samarbetar Kommuninvest med Blaq Group. För eventuella frågor, kontakta ansvarig rekryteringskonsult Filip Zivkovic på +46 (0) 70 432 77 72 <a href="mailto:ellerfilip.zivkovic@blaq.se" target="_blank">ellerfilip.zivkovic@blaq.se</a>. Ansök via vår hemsida blaq.se. Urval och intervjuer sker löpande, så vänta inte med att skicka in din ansökan. Platser Örebro Distansarbete Hybridarbete Anställningsform Heltid Möjlighet till flexibelt arbete Goda möjligheter till flexibelt arbete Anställningsform Tillsvidareanställning Omfattning Heltid Skicka ansökan Lediga tjänster <ul> <li>Senior Redovisningsspecialist Ekonomi &amp; Finans • Stockholm, Örebro • Hybridarbete</li> <li>Chef Redovisning &amp; Rapportering Ekonomi &amp; Finans • Stockholm, Örebro • Hybridarbete</li> </ul>Fler jobb Arbetsplats &amp; Kultur På Kommuninvest är varje arbetsuppgift en del av något större. På ett eller annat sätt får du som medarbetare vara med och bidra till välfärden och du är med och gör skillnad på riktigt, varje dag. Vår arbetsplats kännetecknas av proaktivitet, samarbete, korta beslutsvägar och där alla medarbetare ges stora påverkansmöjligheter. Vi välkomnar olikheter och arbetar aktivt för jämställdhet, mångfald och inkludering. Våra medarbetare har hög kompetens vilket är något vi är måna om att bibehålla och ständigt vidareutveckla. Som nyanställd får du möjlighet att delta i en omfattande självledarskapsutbildning som en del i din onboarding. Våra chefer går motsvarande utbildning med en ledarskapsfördjupning. Vi värdesätter god hälsa hos våra medarbetare och erbjuder bland annat 4 000 kronor per år i friskvårdsbidrag. Andra förmåner som vi erbjuder är till exempel utökad föräldrapenning, förtroendearbetstid, pensionsrådgivning, sex timmarsarbetsdag dag före röd dag, sponsrade hälsofrämjande insatser som till exempel springlopp och yogakurser samt möjlighet att växla semesterersättningen mot extra semesterdagar. Vi anordnar och uppmuntrar även till sociala sammanhang för att främja vi-känslan.

Senior Compliance Officer

Purpose: The Chief Compliance Officer is responsible for the Company's compliance program while ensuring adherence to applicable laws and regulations. The CCO proactively oversees the Company's compliance program to maintain compliance with legal and regulatory requirements. The CCO enforces the Company's written compliance program and provides compliance guidance to cross functional departments' processes, practices, and publications. The CCO also partners with team members to provide training, risk assessments, monitoring, and remediation. Job Responsibilities: <ul><li>Support and manage the enforcement and enhancement of the Company's compliance policies, programs, and procedures to comply with appliable laws and regulations under the Investment Advisors Act of 1940.</li><li>Provide strategic leadership while leading and managing the compliance staff in their roles including coaching, mentoring, goal setting and accountability.</li><li>Oversee the risk assessment process and administer compliance audits/testing designed to identify and mitigate regulatory compliance risk, including the Company's Code of Ethics. </li><li>Provide compliance training and guidance to team members.</li><li>Oversee, maintain, and enhance a proactive culture of compliance throughout the Company, including by leading education and training efforts. </li><li>Continually seek out and implement process improvements.</li><li>Organize and coordinate follow-up remediation items with responsible parties and ensure prompt execution of tasks and resolution of issues.</li><li>Actively analyze problems and implement corrective action.</li><li>Respond to, coordinate, and manage regulatory filings, inquiries, and exams.</li><li>Partner with the Company's cybersecurity professionals to execute cybersecurity program. </li><li>Manage the Company's supervision and surveillance program according to existing policies and regulatory guidance. </li><li>Examine and stay apprised of updates and developments in the regulatory environment, including legislation and proposed legislation, while providing guidance to Company management and developing strategies for compliance. </li><li>Work with all other team members in a way that is conducive to the mission, values, and beliefs of the Company to provide service beyond expectations.</li></ul>Knowledge, Skills, and Abilities: <ul><li>Ability to foster teamwork/leadership across various levels of the firm.</li><li>Excellent oral and written communication skills with strong attention to detail.</li><li>Able to identify or research needed information to provide guidance and strategy.</li><li>Ability to build and maintain collaborative relationships across the firm.</li><li>Strong ability to analyze problem situations and craft clearly defined action plans to mitigate risk.</li><li>Possess a proactive mindset to foresee potential risks and ability to facilitate mitigation.</li></ul>Experience: <ul><li>5+ years in Financial Compliance preferred</li></ul>Education: <ul><li>Bachelor's Degree in related field; Business and/or Securities coursework preferred</li></ul>Other: <ul><li>Series 65 preferred, or the ability to obtain Series 65</li></ul>Hours: <ul><li>In-Office Monday through Friday; 8 AM to 5 PM</li><li>Some occasional travel is required</li></ul>Equipment Used: <ul><li>Standard office equipment</li><li>Cloud-based storage software</li><li>CRM software</li><li>Microsoft Office Suite</li><li>Expense reporting software</li></ul>

Chief Compliance Officer

Community: Stratton Number of Units: 312 Job Summary The Community Compliance Manager oversees the compliance operations of Leasing Associates and Community Compliance Specialists, ensuring the timely processing and accuracy of files and corrections. This role involves managing communications with monitoring agencies, residents, and Housing Authorities, auditing move-in and recertification files, and ensuring compliance with HUD and affordable housing regulations. This position will float between two properties in San Diego, CA: Canyon Rim (504 Units) and Stratton (312 Units). Education/Certificates <ul><li>High school diploma or equivalent required.</li><li>LIHTC or HUD certifications</li></ul>Experience <ul><li>Minimum of 3-5 years Tax Credit, Housing Assistance Programs (HAP, Rental Assistance Programs (RAP and/or Section 8 compliance experience</li><li>1-3 years in on-site property management role</li></ul>Skills, Knowledge &amp; Abilities <ul><li>Complete knowledge and understanding of affordable property management</li><li>Detailed understanding of LIHTC and HUD compliance</li><li>Proficient in Microsoft Office applications</li><li>Communicate effectively and possess strong business writing skills</li><li>Experienced in MOR and NSPIRE (REAC) inspections</li><li>Yardi, Yardi Affordable or other similar programs</li><li>EIV system experience</li><li>Basic bookkeeping/accounting principle knowledge</li><li>Effective organization and time management skills</li><li>Ability to work independently with minimal supervision</li></ul>Essential Duties <ul><li>Supervise the compliance operations of the Leasing Associates and Community Compliance Specialists to include but not limited to processing of files and corrections in a timely manner</li><li>Ensure appropriate workload distribution between the Leasing Associates and Community Compliance Specialists</li><li>Handle inbound and outbound calls and written correspondence to/from monitoring agencies and residents with compliance needs</li><li>Process files for move-in or recertification</li><li>Complete outstanding corrections as a result of file audit or reviews</li><li>Ensure monthly recertification files are completed in a timely fashion</li><li>Audit move-in and recertification files from Leasing Associates and Community Compliance Specialists to ensure accuracy before uploading</li><li>Maintain, prepare and submit required reporting to monitoring agencies</li><li>Ensure strong performance on MOR and NSPIRE inspections</li><li>Ensure strong performance on TCAC internal and external inspections</li><li>Maintain and monitor HUD waitlist for accuracy and utilization</li><li>Schedule and conduct Intake Interviews with applicants from HUD Waitlist</li><li>Maintain landlord relationships with Housing Authorities to ensure timely receipt of subsidy payments and resident compliance with programs</li><li>Manage various Affordable Housing projects as needed</li><li>Maintain EIV coordinator access and validate authorized users</li><li>Up to 50% travel may be required if overseeing multiple sites</li><li>Completes company required training by established deadline.</li><li>Complies with all Fairfield standards, applicable health and safety rules and regulations, as well as applicable local, state and federal laws.</li><li>Any other duties or responsibilities that may be assigned.</li></ul>#LI-RYAN #IN-RYAN Estimated Rate of Pay: $75,000.00 - $85,000.00 This position is exempt; the range above reflects annual salary. The pay range displayed for this position is determined by skills and experience required, location and job complexity*. Potential job offers may vary based on the skills, education, and experience an individual candidate holds. This range reflects base rate only, and does not include allowances, perks, commissions or bonuses applicable to this position (if any). In addition to base salary, Fairfield offers all full time associates the following, upon meeting eligibility requirements: <ul><li>Paid time off, paid holidays and sick days, paid time off for volunteering activities (optional) </li><li>Matched 401(k) </li><li>Medical, dental &amp; vision insurance </li><li>Flexible spending account </li><li>Life insurance </li></ul>* Pay range is a calculation based on a midpoint price. Fairfield complies with all wage and hour laws, including minimum wage and salary exempt requirements. Job duties for this position include: work safely and cooperatively with others, including supervisors; adhere to performance standards despite stressful conditions; communicate effectively and respectfully to ensure exceptional customer service; and follow all federal, state, and local laws and Company policies. Criminal history may have a direct, adverse, and negative relationship with some of the material job duties of this position. These include the duties and responsibilities listed above, as well as the abilities to adhere to company policies, exercise sound judgment, effectively manage stress and work safely and respectfully with others, exhibit trustworthiness and professionalism, and safeguard business operations. The material duties of this position involve access to our residents' homes, both when they are present and when they are not. The material duties of this position also involve access to the confidential information of our residents, including their financial information. Criminal history may have a direct, adverse, and negative relationship with this job duty. Pursuant to the Los Angeles and San Diego County Fair Chance Ordinances, the California Fair Chance Act, and any other applicable law, we will consider for employment qualified applicants with arrest and conviction records.

Community Compliance Manager

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

Closing Date Friday 11 April 2025 Reference REG111025 The University is seeking an experienced Senior Information Compliance Officer to join our Information Security and Compliance Team within the Governance and Assurance department. This key role will help strengthen our data protection and information security framework as we continue to enhance our approach to privacy management, information governance, and regulatory compliance. Reporting to the Associate Director of Information Compliance and Data Protection Officer, you will play a crucial role in ensuring the University maintains the highest standards of data protection while enabling innovation and operational excellence. As a Senior Information Compliance Officer you will: <ul><li>Lead on maintaining and developing the Information Asset Register and Register of Processing Activities (ROPA), ensuring accuracy and transparency. </li><li>Conduct Privacy Impact Assessments to support the use of new technology and research projects.</li><li>Provide expert guidance on data protection matters to staff at all levels, promoting a culture of privacy by design.</li><li>Review and update Privacy Notices and support privacy-enhancing technology initiatives.</li><li>Support breach investigation processes and documentation, liaising directly with the Information Commissioner's Office when required.</li><li>Co-ordinate with Digital Technology Services on IT Security privacy-related controls and requirements.</li><li>Deliver targeted privacy awareness sessions in-person and virtually.</li><li>Support the DPO in delivering strategic advice and guidance around information compliance matters. </li></ul>The successful candidate will possess significant experience in data protection gained through large or complex organisations, along with demonstrable knowledge of FOIA. You will have excellent interpersonal and communication skills with a proven ability to influence senior management on data protection issues and risks. Advanced proficiency in Microsoft Office suite and excellent data management skills are essential. This is a full-time (36.25 hours per week) fixed-term post for 3 years; however, job share arrangements may be considered. Requests for secondment from internal candidates may be considered on the basis that prior agreement has been sought from both your current line manager and the manager of your substantive post, if you are already undertaking a secondment role. If you are passionate about information compliance and data protection, have experience in managing large workloads, and thrive in a complex regulatory environment, we encourage you to apply for this exciting opportunity. Please provide a supporting document with your CV highlighting your relevant experience in data protection and information compliance. Informal enquiries may be addressed to Tracy Landon email <a href="mailto:tracy.landon@nottingham.ac.uk" target="_blank">tracy.landon@nottingham.ac.uk</a> . Please note that applications sent directly to this email address will not be accepted.

Senior Information Compliance Officer (Fixed term)

Do you want to use your IT and Cyber Security skills to help improve people's lives? We are recruiting an Information Security &amp; Compliance Manager, who will have a high degree of responsibility for Information Security and Compliance processes at the NIHR BioResource. A large part of the role consists of working on cyber security requirements for the NHS Data Security &amp; Protection Toolkit. About NIHR BioResource: Our mission is to facilitate human health research and its transformation into medical practice. NIHR BioResource is a unique and powerful resource for studying disease mechanisms and for investigating the links between genes, the environment, health and disease, enabling scientific discoveries as well as facilitating translational medicine for the benefit of patients. Further details on the NIHR BioResource can be found on our website <a href="https://bioresource.nihr.ac.uk" target="_blank">https://bioresource.nihr.ac.uk</a> . About the job: A key deliverable for this role is the demonstrable implementation of the various applicable Information Security and Compliance tools and policies, along with completion of system audits, vulnerability scanning and other related exercises. About you: Your duties will include: <ul> <li>Information Security ¿Security Operations / Incident Response</li> <li>Audit &amp; Compliance ¿ Best practice / Overseeing NHS DSP Toolkit / Cyber Essentials Plus / ISO 27001 applications</li> <li>Communication &amp; Policy ¿ User Awareness / Policy compliance /</li> <li>Phishing Simulation Exercises</li> <li>Vulnerability scanning and other systems testing</li> </ul>Your experience should include: <ul> <li>NHS Data Security &amp; Protection (DSP) Toolkit / Cyber Essentials (Plus) compliance</li> <li>Working in healthcare / life sciences / clinical research, handling sensitive data and communicating compliance with various staff groups</li> <li>Using IT tools to monitor compliance, which can be a mixture of in-house, vendor-supplied and public cloud services</li> </ul>What we offer: The University offers a wide range of benefits including flexible working, family friendly policies, an attractive pension scheme (employer's contribution is currently 14.5%) and 41 days' annual holiday (inclusive of public holidays). We encourage career development by providing extensive training &amp; development opportunities. This appointment is full-time, 37 hours per week; part-time to 80% will be considered. Work ¿ life balance is important, and we are open to discussion on flexible working, including hybrid working. The post is available on a fixed-term basis until 31 March 2028 in the first instance. NIHR BioResource is funded by the National Institute for Health &amp; Care Research (NIHR) on a funding cycle. It was announced last year that NIHR BioResource will receive new funding over the next 4 years. Our offices are on the Cambridge Biomedical Campus CB2 0QQ (approximately 2 miles south of the city centre). See the Further Information link below for full details and Person Specification. This appointment requires a Research Passport application. We encourage informal queries about the job or the application process - please contact Rose Eichenberger, Governance and Quality Assurance Lead: <a href="mailto:rose.eichenberger@bioresource.nihr.ac.uk" target="_blank">rose.eichenberger@bioresource.nihr.ac.uk</a> Click the 'Apply' button below to register an account with our recruitment system (if you have not already) and apply online. Please ensure that you upload a covering letter and CV in the Upload section of the online application. The covering letter should outline how you match the criteria for the post and why you are applying for this role. If you upload any additional documents which have not been requested, we will not be able to consider these as part of your application. Please include details of your referees, including email address and phone number, one of which must be your most recent line manager. Closing Date: 13th April 2025 Interview Date: Week Commencing 28th April 2025 Please quote reference RW45384 on your application and in any correspondence about this vacancy. The University actively supports equality, diversity and inclusion and encourages applications from all sections of society. The University has a responsibility to ensure that all employees are eligible to live and work in the UK. Further information <ul> <li> Further Particulars </li></ul><a href="https://hrsystems.admin.cam.ac.uk/recruit-ui/apply/RW45384" target="_blank"></a>

Information Security & Compliance Manager, NIHR BioResource for Translational Research (Fixed Term)

We believe that helping people unlock a better retirement starts with helping everyone in our organisation unlock their true potential, and thrive. To do that, we're mindful of staying true to the values that make us who we are, and proud of what we do. Compliance Officer Full time and Permanent Monday - Friday alternating 8am-4pm and 9am-5pm shifts The role of the Compliance Officer is to provide proactive and collaborative support to the group focusing on the delivery of customer outcomes, regulatory requirements and the provision of assurance activities, including the implementation of the Key Groups compliance monitoring plan. You will provide support and advice that adheres to company and regulatory requirements and embraces and embeds a customer centric culture. This role would suit someone with a professional background, who is accustomed to high standards of personal discipline and behaviour and who has demonstrable experience in an oversight or control role. Main role &amp; responsibilities: <ul><li>Understand and provide advice and oversight on the Financial Conduct Authority's regulatory expectations.</li><li>Provide direct support, guidance and advice to the business on Compliance matters including FCA, Money Laundering and ICO regulations.</li><li>Provide practical advice on the application of company and regulatory policy to resolve issues raised within the business.</li><li>Influence and assist the business to establish and maintain appropriate standards of business practice consistent with company and regulatory requirements.</li><li>Review and approve standard financial promotions and tweaks to existing materials including, but not limited to, inserts, leaflets, emails and scripts. </li><li>Deliver effective monitoring, testing and analysis of operational functions.</li><li>Identify areas of improvement, and through working collaboratively, making recommendations for change.</li><li>Conducting comprehensive assessments of customer journeys.</li><li>Supporting testing and reviews as part of the compliance monitoring and risk programme.</li><li>Delivering fully maintained work programmes.</li><li>Reviewing AML and KYC queries.</li><li>Build effective, supportive relationships with key stakeholders to facilitate and develop the company and regulatory culture.</li><li>Promote a positive and proactive approach to embedding 'best practice' and with it a forward-looking compliance culture.</li></ul>Required skills and abilities: <ul><li>Good regulatory knowledge specifically FCA requirements.</li><li>Excellent punctuality, timekeeping, standard and accuracy of work.</li><li>Excellent interpersonal, verbal and written communication skills with the ability to influence and negotiate at all levels.</li><li>Able to demonstrate analytical, decision making and problem solving skills, achieving best business practice.</li><li>Committed to quality; highly compliant and able to prioritise and organise own workload to ensure that deadlines are adhered to.</li><li>Proactive; constantly considers process and puts forward suggestions on how to change for the better using initiative as and where appropriate.</li><li>Highly motivated, accurate, methodical and able to prioritise effectively, with the ability to work well under pressure.</li><li>Excellent interpersonal skills, including questioning and listening together with logical investigative processes.</li><li>Able to liaise with colleagues and work supportively and collaboratively when necessary and/or appropriate.</li><li>Excellent level of attention to detail, scores highly on quality control and experience of working in a fast-paced working environment but where accuracy is essential.</li><li>Ability to demonstrate initiative, whilst applying and following a methodical approach to tasks would be an essential pre-requisite.</li></ul>Benefits: <ul><li>23 days holiday, plus bank holidays. Rising to 28 days based on length of service</li><li>Additional holiday purchase scheme</li><li>1 charity and well being day</li><li>Tier 1 pension</li><li>Simply Health</li><li>Life Assurance</li></ul>Most of all we look for people who display and work around the core values of our business: Ambitious - to break ground to help our customers enjoy a better retirement. Supportive - relationships are key to everything we do. Personal - going above and beyond to offer exceptional service. Integrity - honest, true and transparent in all of our relationships. Responsive - whatever the challenge we'll deliver the right result. Expert - experts in our field, our thirst for knowledge never stops

Compliance Officer

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham, Bristol and Manchester. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients' needs. Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are fast becoming an employer of choice in our sector. We have over £30 billion in funds under management and circa 700 staff. Job Description Business Unit: The role of the Compliance team is to establish, implement, maintain and monitor on behalf of the Firm's Governing Board and Management Board, adequate policies and procedures sufficient to ensure the Firm's compliance with its obligations under the regulatory systems in which it operates and to counter the risk the Firm may be used to further financial crime. In addition, the team provides support to new business initiatives and advises on day to day issues which may arise. Brief Role Objective: Member of the Compliance team reporting directly to the Senior Compliance Officer (Advisory). The role will sit within the Compliance Advisory sub-team of the overall Compliance team. This varied role will provide exposure to several aspects of Compliance and opportunities to work closely with various stakeholders within the Firm. Key Responsibilities: <ul><li>Provide regulatory guidance and advisory services to all internal business areas, including but not limited to LGTWM Investment Management, Wealth Planning, Business Development, Portfolio Management (e.g. the Centralised Investment Team, Model Portfolio Services) and Alternative Investments.</li><li>Contribute to reporting due from the Compliance team which include regulatory reporting, LGT Group reporting and local Management Board and Governing Board reporting. </li><li>Will be assigned the delivery of some Compliance initiatives, these being 'mini-projects' and developments within the team, with a focus on efficiency, intelligent use of data and, where appropriate, help introduce automation.</li><li>Analyse, plan and execute actions so to take forward relevant regulatory developments which affect both the Compliance team and/or the wider business.</li><li>Improve the efficiency of the team with the intelligent use of data and, where appropriate, help introduce automated processes or develop those already in place.</li><li>Provide advice and input into the Firm's fund management operations, particularly with regard to compliance rules monitoring and regulatory reporting.</li><li>Handling and processing market abuse alerts generated by third party systems.</li><li>Contribute where relevant to ensuring audit recommendations, compliance monitoring recommendations and external audit recommendations are dealt with to the required standard.</li></ul>Requirements Key Skills and Technical Requirements: <ul><li>Good understanding of the wealth management business gained through similar roles at other firms.</li><li>Good knowledge of the FCA Handbook, in particular COBS.</li><li>Knowledge and understanding of fund management and regulatory knowledge of UCITS and AIFMD requirements is an advantage.</li><li>Experience in Bloomberg is an advantage.</li><li>Industry or professional Compliance qualification desirable.</li></ul>Other Skills and Attributes: <ul><li>Motivated and conscientious with strong interpersonal skills.</li><li>Ability to manage, motivate, guide and develop those under management.</li><li>Excellent organisational skills, including the ability to prioritise and meet deadlines.</li><li>The ability to produce well structured accurate (in terms of technical knowledge, grammar and spelling) written communications.</li><li>Ability to question politely but firmly to obtain accurate answers to questions asked as part of any testing undertaken.</li><li>The ability to work both independently but as part of a team, both in terms of the Compliance team and with other colleagues throughout the Firm.</li><li>Team player who supports other members of the wider Compliance team.</li></ul>Contact Information We are looking forward to receiving your online application. For any further information please do not hesitate to contact us. LGT Wealth Management UK LLP Human Resources Alex Johnson

Compliance Officer - Advisory (12 month FTC)

Scheme Compliance Manager About us Thredd is the trusted next-gen payments partner for innovators looking to modernise their payments offering. Certified by Mastercard, Visa and Diners &amp; Discover, we process billions of debit, prepaid and credit transactions annually, supporting consumer and corporation FinTechs, digital banks and embedded finance providers across the globe. Our unique offering is our client-centric approach, combining hands-on support with modern, reliable and scalable technology. Our assured solution accelerates the development and delivery of consumer and corporate payments components embedded within digital banks, as well as for expense management, B2B payments, crypto, lending, credit, Buy Now Pay Later, FX, remittance, and open banking innovators. About the Scheme Compliance Manager role We are seeking a Scheme Compliance Manager to join our expanding team. The Scheme Compliance Manager will be responsible for leading the assessment of relevant scheme mandates and processing rules to ensure Thredd fulfils their commitment to remain compliant with the schemes globally. You will be responsible for overseeing the end to end process of scheme compliance, with a key focus on prioritising initiatives and driving accountability across the relevant teams. What you will be doing as a Scheme Compliance Manager Customer/Client Centricity <ul><li>Building and maintaining strong relationships with internal and external stakeholders to enhance collaboration</li><li>Leading investigations into escalations and complaints, identifying root causes and implementing long-term solutions</li><li>Maintaining a customer oriented focus and building an understanding of their business and needs</li><li>Delivering insightful presentations regarding impacts and reasons for compliance changes and adjustments</li></ul>Data &amp; Reporting <ul><li>Establishing and managing monitoring and reporting, leveraging insights to inform strategy and decision-making</li><li>Using data to drive decision making and advocate for product changes that improve the accuracy and efficiency of the platform in line with scheme requirements</li></ul>Industry Knowledge <ul><li>Representing relevant industry events, working groups and webinars to ensure product and market knowledge is kept relevant</li><li>Keeping abreast of Thredd and industry developments</li><li>Understanding the competitive landscape of the cards industry</li></ul>Quality &amp; Controls <ul><li>Owning documentation of key decisions and rationales, providing transparency and continuity in strategic direction</li><li>Escalating issues, providing clear and factual information and communicating with the necessary teams</li><li>Documenting business requirements and managing these with the product team going into engineering</li><li>Act as an SME within Thredd, driving best practices and influencing key decisions</li><li>Managing senior stakeholders including C-Level</li></ul>Innovation &amp; Design <ul><li>Advising on and enforcing best practices, shaping policies and frameworks to improve operational effectiveness</li><li>Investigating opportunities to streamline processes through AI/automation</li></ul>Planning &amp; Prioritisation <ul><li>Driving clear and proactive communication of requirements, ensuring alignment and engagement across teams</li><li>Collaborating with cross-functional teams, including account management, product development, engineering, and operations to ensure alignment that milestones are achieved</li></ul>Product Knowledge <ul><li>Monitoring scheme changes and industry trends, assessing potential impacts and opportunities</li><li>Building and maintaining a strong knowledge of the Thredd proposition</li><li>Providing support to the Head of Scheme Compliance across various initiatives and tasks</li></ul>What you will bring to the Scheme Compliance Manager position <ul><li>Experience reviewing, analysing and disseminating Mastercard and Visa mandates, rules and standards, and either communicating them to relevant business units or leading a team responsible for this task</li><li>Experience with schemes such as AMEX/Discover and debit/credit processing experience is desirable</li><li>Technical knowledge and understanding of managing scheme rules and process, from identification to implementation</li><li>Experience working in the payments industry</li><li>Detailed understanding of how card and payment programmes operate and interact with different partners (Issuers, BIN sponsors, Schemes, Card manufacturers)</li><li>Experience with tools such as JIRA, Confluence, Salesforce, Slack, Miro and Sharepoint</li><li>Reporting, data analysis and presentation skills</li><li>The ability to take high level requests and break them down into actionable plans</li><li>Comfortable working with a range of stakeholders such as the schemes, customers and internal teams</li></ul>

Scheme Compliance Manager

Senior Compliance Manager - Policy and Advisory- Salary circa £70,000 We have an exciting opportunity for a Senior Compliance Manager to join our newly established Group Compliance Monitoring and Reporting team! This is a fantastic role for a proactive team player with strong stakeholder management skills, with extensive experience working in an FCA regulated environment in a compliance / conduct risk position. If that sounds like you, we would love to hear from you! A bit about the job: You will support the Head of Group Compliance and Conduct Policy and Advisory and Group Compliance and Conduct Director such that the function operates effectively, adds value and makes a valued and trusted contribution across the organisation. You will be responsible for strategic partnering with Group Functions, providing strategic and pragmatic regulatory compliance and conduct advice, guidance, and challenge in support of the achievement of the function's objectives. You will collaborate with markets on the delivery of high impact regulatory programmes and assist in developing policies and standards which support the firm's regulatory responsibilities and strategic objectives. You will contribute to the development of Group Policies, Frameworks and Standards so they are thought leading, supporting Markets and Group Functions in driving forward their business underpinned by an appropriate, risk based, control environment. You will develop and providing training on Compliance and Conduct topics, and to support understanding and embedding of Conduct policies, standards and frameworks, establishing a reputation as a SME who is commercially minded and pragmatic. You will partner with all corporate functions on Regulatory Compliance and Conduct matters, which also includes liaising with relevant teams on compliance and conduct aspects of transformational programmes and with the SMCR Office, as required, on SMCR matters. You will partner with Brand and Corporate affairs as their Risk Partner, including on the management of reputation risk. With deep regulatory knowledge, you will be proactive in keeping up-to-date with regulatory changes, industry trends and best practices, assessing their impact to ensure that they are appropriately integrated into the organization's compliance policies, standards, frameworks and training. You are passionate about supporting the delivery of good customer outcomes through all activities and deliverables, enabling us to act in good faith towards customers, avoid causing foreseeable harm and enable and support our customers to pursue their financial objectives. Skills and experience we're looking for: <ul><li>Depth of regulatory compliance and conduct risk experience within an FCA regulated environment is essential.</li><li>Strong relationship building and collaboration skills; able to work constructively with and influence stakeholders - experience working in a consulting / advisory role is preferred.</li><li>Curiosity and experience in developing methodologies and frameworks.</li><li>Experienced in (or curiosity and willingness to learn about) using data to inform and better target our work.</li><li>Strong programme and project management skills and experience.</li><li>Tenacious and proactive, with a willingness to work collaboratively, independently and as part of a team, as required</li></ul>What you'll get for this role: Our purpose - with you today, for a better tomorrow - is a promise we make to our colleagues too. And one of the ways we live up to that promise is by investing in you. We have so much to offer when it comes to being an Aviva colleague. <ul><li>Salary circa £70,000 (depending on location, skills, experience, and qualifications)</li><li>Bonus opportunity - 12% of annual salary Actual amount depends on your performance and Aviva's.</li><li>Generous pension scheme - Aviva will contribute up to 14%, depending on what you put in.</li><li>29 days holiday plus bank holidays, and you can choose to buy or sell up to 5 days</li><li>Make your money go further - Up to 40% discount on Aviva products, and other retailer discounts</li><li>Up to £1,200 of free Aviva shares per year through our Matching Share Plan and share in the success of Aviva with our Save As You Earn scheme</li><li>Brilliantly supportive policies including parental and carer's leave</li><li>Flexible benefits to suit you, including sustainability options such as cycle to work</li><li>Make a difference, be part of our Aviva Communities and use your 3 paid volunteering days to help others</li><li>We take your wellbeing seriously with lots of support and tools</li></ul>Take a look to learn more. Put a salary into this calculator to see what your total Aviva Reward could be. Aviva is for everyone: We're inclusive and welcome everyone - we want applications from all backgrounds and experiences. Excited but not sure you tick every box? Even if you don't, we would still encourage you to apply. We also consider all forms of flexible working, including part time and job shares. We flex locations, hours and working patterns to suit our customers, business, and you. Most of our people are smart working - spending around 50% of their time in our offices every week - combining the benefits of flexibility, with time together with colleagues. To find out more about working at Aviva take a look here We interview every disabled applicant who meets the minimum criteria for the job. Once you've applied, please send us an email stating that you have a disclosed disability, and we'll interview you. We'd love it if you could submit your application online. If you require an alternative method of applying, please send an email to <a href="mailto:beatrix.rozsa@aviva.com" target="_blank">beatrix.rozsa@aviva.com</a>

Senior Compliance Manager - Policy and Advisory

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

Senior Compliance Manager - Compliance Monitoring and Reporting

Job Description: Job Title Employee Compliance Global Compliance Officer Location Birmingham Corporate Title Associate Employee Compliance's (EC) core function is to provide effective advice and tools to enable Deutsche Bank employees to observe the highest standards of individual behavior and conduct and to assess, monitor and report on Compliance risks posed by Employees and Contingent Workers associated with, amongst others, the following areas: Personal Account Dealing (PAD); Employee Compliance Attestations; and Licensing &amp; Registrations. As a key member of the EC Strategy and Risk Management Team, you will be responsible for supporting EC in achieving key strategic priorities including existing and transformational goals through the establishment and development of globally consistent minimum standards according to risk appetite and best practice. What we'll offer you A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its centre. You can expect: <ul><li>Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them</li><li>Competitive salary and non-contributory pension</li><li>30 days' holiday plus bank holidays, with the option to purchase additional days</li><li>Life Assurance and Private Healthcare for you and your family</li><li>A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits</li><li>The opportunity to support a wide-ranging CSR program + 2 days' volunteering leave per year</li></ul>Your key responsibilities <ul><li>Provide trusted advisory support to the EC Strategy and Risk Management Team on the Bank's policies and associated controls to ensure minimum standards, risk appetite and processes are implemented on a globally consistent basis</li><li>Supporting EC's Breach and Consequence Management framework and associated operating processes and communications on a globally consistent basis</li><li>Support the management of PAD training programmes to enable employees to comply with the Bank's framework and EC to maintain appropriate knowledge base of their area of expertise</li><li>Support the maintenance and development of the EC technology systems used to roll out and track the completion of attestations, manage operational workflow processes and produce ongoing and effective EC Management Information and reporting</li><li>Support the EC data pillar ensuring EC data is stored, provided, migrated, and managed in data repositories in line with regulation and bank standards</li><li>Support the development and maintenance of a robust EC regulatory inventory and assisting the management of the EC control inventory, risk types and control reviews</li></ul>Your skills and experience <ul><li>Understanding, interpreting, and implementing risk-based solutions to meet global regulatory expectations (preferably as they relate to PAD)</li><li>Preferably, oversight and implementation of operational processes to support PAD, </li><li>Supporting data and technology initiatives, ideally using an agile methodology</li><li>Developing and implementing strong governance controls and processes</li><li>Management of large sets of data - excellent excel/powerpoint skills</li><li>Provision of Management Information to address business and operational risks</li></ul>How we'll support you <ul><li>Training and development to help you excel in your career</li></ul><ul><li>Flexible working to assist you balance your personal priorities</li></ul><ul><li>Coaching and support from experts in your team</li><li>A culture of continuous learning to aid progression</li><li>A range of flexible benefits that you can tailor to suit your needs</li><li>We value diversity and as an equal opportunities' employer, we make reasonable adjustments for those with a disability such as the provision of assistive equipment if required (e.g. screen readers, assistive hearing devices, adapted keyboards)</li></ul>Please note the expected salary for some roles may be below the minimum level requirements to support candidates who require a Skilled Worker visa to work in the UK. Should you already have a Skilled Worker visa and are identified for a role, we can discuss and support you with the process About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named in The Times Top 50 Employers for Gender Equality 2024 for five consecutive years. Additionally, we have been awarded a Gold Award from Stonewall and named in their Top 100 Employers 2024 for our work supporting LGBTQ+ inclusion. We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

Employee Compliance Global Compliance Officer

L3Harris is dedicated to recruiting and developing high-performing talent who are passionate about what they do. Our employees are unified in a shared dedication to our customers' mission and quest for professional growth. L3Harris provides an inclusive, engaging environment designed to empower employees and promote work-life success. Fundamental to our culture is an unwavering focus on values, dedication to our communities, and commitment to excellence in everything we do. L3Harris Technologies is the Trusted Disruptor in the defense industry. With customers' mission-critical needs always in mind, our employees deliver end-to-end technology solutions connecting the space, air, land, sea and cyber domains in the interest of national security. Job Title - Trade and Compliance Manager Job Location - Tewkesbury Job ID - 22140 About this opportunity and L3Harris UK From 11 UK sites, our team of nearly 1,000 people delivers unique capabilities across space, air, land, sea and cyber for military, security and commercial customers across the UK and worldwide. L3Harris in Tewkesbury and Fleet form part of our ICI division. In the land domain, our T7 and T4 multi-mission robots deliver next-generation remote capabilities and uncompromised performance. We design and manufacture world-leading land force protection systems, cyber and electromagnetic activities (CEMA), electronic warfare (EW) and encryption capabilities. Our cyber capabilities provide an information advantage in the fields of kinetic conflict, cyber warfare, force protection and counterterrorism. A few of our employee benefits are: <ul><li>Hybrid working where possible - 65% onsite requirement across the month (average 3 days per week)</li><li>Half day finish on a Friday</li><li>25 days holiday per year (plus bank holidays), increasing with long service and with the opportunity to buy/sell up to 5 days </li><li>Private medical insurance with optional family cover</li><li>Pension scheme of up to 7% employer contribution</li><li>Life Assurance 4x salary (flexible up to 10x) </li><li>Group income protection</li><li>Flexible opt-in extras such as a health care cash plan, dental insurance, gym membership, critical illness cover and cycle to work scheme</li><li>Employee assistance program providing mental health and wellbeing support </li></ul>What the role will involve Reporting to the L3Harris ICI Finance and Commercial Director, candidates will be responsible for managing a small Team of Trade Compliance Professionals tasked with supporting the business activities of the ICI Division in the UK. This is the lead role within the team which owns and ensures the business operates within and is compliant with all applicable Trade Compliance regulations and L3Harris Corporate Policies. The role will also take a leading position in assessing and providing guidance across the broader portfolio of business activities within ICI across Australia and the USA. This would be from an advisory position largely, with greater responsibility in areas such as policy writing and adoption, to ensure consistency and best practice across the division. Candidates will be required to work closely with local Business Development, Programmes, and Engineering personnel to provide expert advice and strategic guidance as it relates to the importing and exporting of controlled goods, software and technology. Being part of the wider L3Harris Trade Compliance Team candidates will work cooperatively with both local and Corporate Trade Compliance personnel to establish efficiencies and best practices that support compliant growth of the L3Harris Corporation. The responsibilities of your role will include the following: <ul><li>Develop, implement and maintain a Corporate-Level Trade Compliance Programme for the EMEA region, whilst providing senior level support for the Division in APAC.</li><li>Work in an advisory capacity with senior leadership, to support the business execution through the provision of advice and best practice.</li><li>Monitor changes in regulations to embargoed and sanctioned countries, and other applicable regulatory aspects, to drive effective communication and business process change to manage any business impact.</li><li>Identify and act upon opportunities to influence export legislation and implementation.</li><li>Work closely with other departments to identify all transactions having import/export authorisation and other trade compliance related requirements. </li><li>Oversee the preparation, submission and management of UK and Australian Government export licences and approvals to ensure continuous coverage for business activities.</li><li>Support internal and external US parties with the application and management of US export authorisations, where ICI EMEA is the beneficiary; TAAs, MLAs, Licences etc.</li><li>Ensure accurate and timely Trade Compliance reporting to UK Government and L3Harris.</li><li>Work with Engineering through the Trade Compliance aspects of developing unencumbered sovereign capabilities.</li><li>Guide and assist Trade Compliance Technical Specialists to obtain the necessary information to enable jurisdiction and classification analysis of equipment, software and technology.</li><li>Support briefings, seeking export support and approval from the UK Department of International Trade, Ministry of Defence, National Cyber Security Centre and Foreign Commonwealth Office.</li></ul>What you'll bring The responsibilities of your role will include the following: <ul><li>Develop, implement and maintain a Corporate-Level Trade Compliance Programme for the EMEA region, whilst providing senior level support for the Division in APAC.</li><li>Work in an advisory capacity with senior leadership, to support the business execution through the provision of advice and best practice.</li><li>Monitor changes in regulations to embargoed and sanctioned countries, and other applicable regulatory aspects, to drive effective communication and business process change to manage any business impact.</li><li>Identify and act upon opportunities to influence export legislation and implementation.</li><li>Work closely with other departments to identify all transactions having import/export authorisation and other trade compliance related requirements. </li><li>Oversee the preparation, submission and management of UK and Australian Government export licences and approvals to ensure continuous coverage for business activities.</li><li>Support internal and external US parties with the application and management of US export authorisations, where ICI EMEA is the beneficiary; TAAs, MLAs, Licences etc.</li><li>Ensure accurate and timely Trade Compliance reporting to UK Government and L3Harris.</li><li>Work with Engineering through the Trade Compliance aspects of developing unencumbered sovereign capabilities.</li><li>Guide and assist Trade Compliance Technical Specialists to obtain the necessary information to enable jurisdiction and classification analysis of equipment, software and technology.</li><li>Support briefings, seeking export support and approval from the UK Department of International Trade, Ministry of Defence, National Cyber Security Centre and Foreign Commonwealth Office.</li></ul>Important to know Due to the nature of our work many our roles require a UK nationality and the ability to obtain a security clearance. Applicants who accept a conditional offer of employment must meet the requirement of right to work in the UK and must meet eligibility requirements for access to classified information and will be subject to government security checks. #LI-Hybrid #Manager,TradeCompliance #LI-GP1 L3Harris Technologies is proud to be an Equal Opportunity Employer. We are committed to maintaining a workplace that is free from unlawful discrimination and offers equal opportunities for all. Applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief, and marriage and civil partnerships.

Trade Compliance Manager

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to enquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies. Overall Responsibilities <ul><li>Responsible for regulatory enquiries including tracking, compiling, and submitting responses and reviewing all responses/documentation received to ensure completion. </li><li>Analyse regulatory requests to evaluate initial risk to the firm, regulatory gaps, and business lines involved. </li><li>Identify regulatory gaps in responses and escalate effectively. Track regulatory requests and responses and manage timeline for each which includes managing regulator expectations and working within Marex to meet those expectations. </li><li>Guide internal teams to ensure they are well prepared for regulatory meetings/responses. </li><li>Assist with maintaining a database for management reporting of regulatory enquiries and issue tracking. </li><li>Review and approve promotional material for compliance with FCA rules.</li><li>Ensuring compliance with the company's regulatory requirements under the FCA and other UK regulators and applicable exchanges e.g. ICE, LME, LSE, EUREX, CME</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with Marex's Code of Conduct.</li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required.</li><li>To escalate risk events immediately.</li><li>To provide input to risk management processes, as required.</li></ul>Skills and Experience <ul><li>Bachelor's degree or above. </li><li>Existing regulatory enquiry experience in a financial markets context - preferred but not essential. </li><li>Excellent verbal and written communication skills</li><li>Data analysis and interpretation skills. </li><li>Organizational and time management skills. </li><li>Proficient in Microsoft Office (Word, Excel, Outlook, etc). </li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this - preferred but essential.</li></ul>Competencies <ul><li>Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion</li><li>Resilience in a challenging, fast-paced environment. </li><li>Ability to communicate across geography, business function, corporate level, and experience set. </li><li>Excellent in building relationships, networking, and influencing others. </li><li>A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Compliance Officer - Exchange and Regulator Enquiry Management

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

Payroll Accounting & Compliance Officer - Sydney

Company Description Visa is a world leader in payments and technology, with over 259 billion payments transactions flowing safely between consumers, merchants, financial institutions, and government entities in more than 200 countries and territories each year. Our mission is to connect the world through the most innovative, convenient, reliable, and secure payments network, enabling individuals, businesses, and economies to thrive while driven by a common purpose - to uplift everyone, everywhere by being the best way to pay and be paid. Make an impact with a purpose-driven industry leader. Join us today and experience Life at Visa. Job Description As a global payments network, Visa maintains a Compliance Program to proactively manage compliance, regulatory and ethical risks across our business. The RECO Manager role, part of the Europe Ethics &amp; Compliance Team, reports to the Southern Europe (SE) RECO Sr. Manager. This role supports and monitors the Compliance Program across the SE Cluster, partnering with business and subject matters experts to ensure Visa meets international standards and regulatory requirements in Europe, the United States, and the countries in which we operate. Key areas of focus include: <ul><li>Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF)</li><li>Office of Foreign Assets Controls and other Sanctions</li><li>Anti-Bribery</li><li>Interchange Fee Regulation</li><li>Criminal Finances Act</li></ul>The RCO Manager also support providing training in: <ul><li>Data Privacy</li><li>Information Security</li><li>Anti-Trust and Competitive Intelligence</li><li>Other specific compliance requirements of European regulators</li></ul>This position ensures the highest standards of conduct as outlined in Visa's Code of Business Conduct and Ethics, focusing on: <ul><li>Business Conduct and Ethics</li><li>Conflicts of Interest</li><li>Prevention of Insider Trading</li></ul>What we expect of you, day to day <ul><li>Ensure the business has effective decision-making, processes, and risk management to meet regulatory requirements.</li><li>Support Visa Financial Intelligence Analytics Center and Europe AML team with due diligence for AML, AFT and Sanctions cases, including client communications and information requests.</li><li>Execute due diligence for Anti-Bribery and Anti-Corruption, AML, ATF and Sanctions Programs, including third-party assessments and client education. The AML, ATF component is a significant portion of the position's overall responsibilities.</li><li>Review business strategies and transactions for compliance alignment.</li><li>Support Compliance training for the SE Cluster tailoring to specific country needs.</li><li>Support local regulatory requirements.</li><li>Develop strong internal partnerships and provide timely regulatory compliance advice.</li><li>Identify and address potential Compliance risks through ongoing dialogue.</li><li>Support regulators, clients, and partners on the Visa Compliance Program and Visa Rules.</li><li>Support review and pre-approve gifts, travel, entertainment, and events with the Europe Anti-bribery team.</li><li>Assist RECO Sr. Manager with oversight of other Compliance Programs in the SE Cluster including Business Conduct and Ethics, Conflicts of Interest, Criminal Finance Act and Interchange Fee Regulation.</li><li>Provide localized training and business education on policy requirement.</li><li>Report on Compliance Program activity, metrics and performance assessment each quarter.</li><li>Update business leaders and Regional Compliance Leader on compliance matters</li></ul>This is a hybrid position. Expectation of days in office will be confirmed by your Hiring Manager. Qualifications <ul><li>Proficiency in English required, high level of Italian and additional languages like Spanish appreciated.</li><li>Professional AML and ATF accreditation.</li><li>Sound knowledge of AML and ATF, Anti-Bribery, and relevant European laws.</li><li>Over 5 years of experience in managing compliance programs and controls in financial services, especially payments.</li><li>Advantageous: Experience as a Chief Compliance Officer/Money Laundering Reporting Officer in an EMI or Payments Institution.</li><li>Good knowledge of payments industry products, emerging products, regulations, and trends, including crypto.</li><li>Highly analytical, self-motivated, and adept at working independently and in dispersed teams.</li><li>Collaborative with employees at all levels.</li><li>Flexible in a continually changing environment.</li><li>Proven track record of managing multiple projects in complex environments.</li><li>Intuitive, ethical, and comfortable with questioning and challenging when needed.</li><li>Ability to multi-task and work with minimal supervision.</li><li>Excellent analytical and data analysis skills, proficient in MS Office (Word, Access, Visio, Excel, PowerPoint, SharePoint).</li><li>Excellent written, presentation, and communication skill</li></ul>Additional Information Visa is an EEO Employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability or protected veteran status. Visa will also consider for employment qualified applicants with criminal histories in a manner consistent with EEOC guidelines and applicable local law.

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