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Overview Working at Arkansas Federal Credit Union GENERAL DESCRIPTION OF POSITION Coordinate the credit union's overall compliance with applicable rules, regulations and statutory requirements. This is accomplished through implementation of a Compliance Management Program and performance of the primary duties listed below. While implementing or recommending action to ensure compliance, the Compliance Officer should be conscious of streamlining efforts, cost effectiveness, safety and soundness, and proper maintenance of the internal control structure. The Compliance Officer will have the authority to cross department lines and access all areas of operations for compliance reviews. This is a hybrid-eligible position in the Little Rock Metropolitan Area. ESSENTIAL DUTIES AND RESPONSIBILITIES <ol><li> Works directly with the AVP / Compliance to conduct risk based testing over regulatory and consumer compliance laws and regulations.</li><li>Administer the Credit Union Compliance Program.</li><li>Regulatory Knowledge - Subject matter expert and communication authority for issues needing attention or action by Business Unit leaders. Research, review, interpret and apply state and federal laws along with regulations applicable to the area of specialty. Move toward becoming an expert in the industry related compliance arena. Assist in the identification and application of regulatory requirements pertinent to the department's oversight. Reviews data and apply departmental-approved standards for testing and follow-up. Advise other departments of regulatory requirements as needed. Collaborate with Department Heads on Credit Union policies and procedures to ensure these are updated in accordance with regulations, legal requirements, and trends.</li><li>Keep abreast of, monitor and analyze developing trends and changes in regulatory compliance laws, rules and regulation. Advise management of the operational impact of such trends and changes. Facilitate implementation of regulatory changes when necessary.</li><li>On behalf of the Credit Union, analyze and provide written response to proposed new regulations and/or amendments to existing regulations within allotted time frames established by the ruling agency.</li><li>Policies &amp; Procedures- Stay current on all relevant changes within the Credit Union, department and emerging areas of risk. Review and apply Credit Union policies &amp; procedures for testing, exception reports and follow-up. Recommend changes in policy and procedures as necessary to improve areas of identified risk. Assist in writing policy and procedures in accordance to regulatory requirements and trends.</li><li>Vendor Management- Acts as administrator for vendor management program and software. Assist product managers by providing program/software support and knowledgeable assistance when a new vendor is being researched or brought onboard. Act as a voting member of the Vendor Management Committee. Prepare the committee agenda, provide potential vendor information and inform the committee of vendors that are up for renewal. Ensure that all vendors have current required documents on file that has been reviewed for accuracy, compliance and reasonable protections for the Credit Union.</li><li>External Audit Management- serve as liaison between bidding or contracted audit firms, management and the Supervisory Committee. This includes communicating with all parties, receipt and review of all necessary documents, scheduling the approved audits and supporting the audit firm's needs before, during and after the audits.</li><li>Review, revise and develop Credit Union forms, contracts, agreements, and disclosures to ensure compliance with applicable laws, rules and regulations. Communicate with legal counsel and/or bonding agency to ensure that the terms and conditions set forth in forms, contracts, agreements and disclosures are accurate, complete, and meet the needs of and properly protect the Credit Union.</li><li>Ensure that compliance reviews, testing, documentation and risk control activity occur in accordance with established standards and practices. Communicate findings and recommendations to AVP /Compliance and business unit leaders as needed to build organizational compliance. Establish risk analysis of various issues and provide this information to management with compliance reviews.</li><li>Serve as a resource to staff. This may include secondary review of and guidance on when issues arise with a Power or Attorney (PO), Trust, Guardianship, Will and Testament, Estate, and/or other legal documentation presented by or behalf of an accountholder. Provide information and tools that enhance the understanding industry related compliance.</li><li>Whether self-initiated or at the request of management or staff, conduct research of individual regulatory-related matters (i.e., practices, proposals, etc.), identify and communicate regulatory compliance, deficiencies or potential problems, and provide guidance in the development of alternative solutions or implementation of corrective action. Provide written responses (as applicable) to inquiries of a regulatory nature, supporting analysis, conclusions and recommendations upon well-investigated and documented research of regulatory requirements.</li><li>Participate in new product and / or process development projects or committees. Provide relevant input regarding compliance concerns on proposed and current products/services offered by or being considered by the Credit Union.</li><li>Review system programming changes which affect compliance and provide comment as to whether the requested programming changes comply with applicable regulations.</li><li>Collaborate with Organizational Development to insure that the annual trainings provided to employees and volunteer meets the regulatory requirements.</li><li>Review all advertising and marketing materials for compliance to applicable regulations.</li><li>Assist senior management with federal examiners during compliance-related examinations; ensure issues are adequately addressed in relation to compliance deficiencies identified in regulatory reports of examination.</li><li>Report as appropriate, regulatory matters, concerns, and/or the overall compliance condition of applicable divisions, departments, operations or functions within the credit union to the board of directors or senior management.</li><li>Identify regulatory-related documentation and policy statements to senior management requiring adoption by the board or periodic board review and approval.</li><li>Develop and maintain a Compliance Newsletter to send out electronically with compliance concerns, regulator updates, and upcoming webinars.</li><li>Develop a library of compliance resources and provide informational assistance as requested.</li><li>Ability to work with and provide assistance to all levels of Credit Union staff. Must be able to resolve conflict in a professional manner.</li><li>Perform any other related duties as required or assigned.</li></ol> QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty mentioned satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. EDUCATION AND EXPERIENCE <ul><li>High school diploma</li><li>3 years of experience in risk management, compliance, audit, or regulatory compliance</li></ul>REQUIRED CERTIFICATES, LICENSES, REGISTRATIONS Compliance Certification equal or equivalent to Certified Compliance Officer through NAFCU or equivalent agency. Will acquire within 12 months a certification through National Associations of Federal Credit Union (NAFCU) or equivalent Federal Credit Union. EEO Statement Arkansas Federal Credit Union is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, gender, gender identity, sexual orientation, age, status as a protected veteran, among other things, or status as a qualified individual with disability.

Compliance Officer

LHV Bank, a fully licensed UK bank, specialises in Banking Services for global fintechs and SME Lending solutions for UK businesses. The SME Lending division offers commercial real estate investment loans and trading loans from £0.5m to small and medium-sized businesses in the UK. As a leading Banking Services provider, LHV Bank delivers a wide range of services, including real-time multi-currency payments, accounts, acquiring, indirect scheme access, open banking, and FX solutions. Over 200 renowned fintech companies, such as Airwallex, Currencycloud, Truelayer, and Wise, utilise LHV Bank to serve more than 10 million end customers and access a pool of 500 million potential customers across the UK and Europe. LHV Bank gained its UK banking licence in May 2023 and launched into the retail savings market through deposit aggregators in August 2023. It is in the process of developing its direct to customer retail banking proposition for launch in 2024. More information: lhv.com About the Role: As a Compliance Manager at LHV Bank, you will play a crucial role in shaping the compliance landscape of a dynamic and growing financial institution. Reporting directly to the Chief Compliance Officer (CCO), you will work closely with AML/Fraud and Compliance Monitoring teams to develop and implement a robust compliance agenda. Your expertise will be pivotal in guiding the business through regulatory changes, ensuring compliance with UK industry standards, and embedding a strong compliance culture across the organisation. Key Responsibilities: <ul><li>Lead regulatory horizon scanning and provide risk-based analysis to guide LHV Bank's strategic decisions.</li><li>Drive regulatory change projects and deliver clear progress reporting to senior management.</li><li>Champion the bank's approach to Consumer Duty, providing constructive challenge and ensuring compliance.</li><li>Coordinate compliance activities, support the CCO, and ensure clear communication of compliance objectives across the organization.</li><li>Provide day-to-day compliance guidance to business units, develop relevant UK policies, and maintain compliance frameworks.</li><li>Oversee compliance training, ensuring it is tailored to LHV Bank's UK operations and effectively monitored.</li><li>Develop and deliver insightful compliance reporting to Executive and Board committees.</li><li>Support the business in meeting regulatory requirements, including managing the Management Responsibilities Map (MRM) and contributing to AML and Fraud investigations.</li></ul>What We're Looking For: <ul><li>Extensive 2nd Line of Defense experience in retail and/or corporate banking compliance, with a deep understanding of relevant FCA and PRA rules.</li><li>Strong background in policy and procedure writing, with a focus on best practice compliance and risk management frameworks.</li><li>Experience in a challenger or start-up environment is preferred, with a proven ability to deliver clear, technology-driven reporting.</li><li>Expertise in payment services, merchant acquiring, commercial lending, retail deposit-taking, and consumer lending.</li><li>A proactive approach to developing compliance systems, fostering a culture of compliance, and providing constructive solutions to emerging issues.</li></ul>Why Join Us? This is a unique opportunity to join a forward-thinking bank at a pivotal time in its growth. You will have the chance to make a significant impact on our compliance strategy, working in a fast-paced environment that values innovation, collaboration, and professional development. Ready to Make a Difference? If you are a compliance professional looking to take the next step in your career with a dynamic and growing bank, we encourage you to apply. This role may occasionally require you to travel and work in our overseas offices. Key relevant business/regulation: <ul><li>Payment Services, especially banking as a service business models.</li><li>Merchant Acquiring and card issuing, including payment scheme rules.</li><li>Provision of safeguarding accounts.</li><li>Commercial lending, including unregulated secured loans via broker distribution.</li><li>Retail deposit-taking, including via deposit aggregators and depositor protection rules.</li><li>Consumer lending.</li><li>Conduct risk and emerging knowledge of consumer duty.</li></ul>Some of our benefits • Competitive salary &amp; progression • Open and inclusive culture • Hybrid working • Fantastic offices and great working environment • Vitality Health Plan (includes private health insurance, travel insurance, gym discounts) • Medicash health plan (Level 3) • 5% employer pension contribution • Life assurance • Income protection insurance • 28 days holiday plus 3 additional days, bank holidays &amp; further days for various key life events • Team socials

Compliance Manager

Fixed Term Contract Duration - 5 Months What the Hiring Manager says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising and becoming even more customer centric. So if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us! This role will perform compliance monitoring and thematic review activity across the Affluent segment, leveraging support from other Risk teams where required, and providing services to the high net worth segment, Quilter Cheviot, as required. About the Role Level: Level 4 Department: Risk Location: Southampton | London Contract type: Fixed Term Contract | Secondment Contract Duration: 6 months You will be responsible for delivering compliance monitoring, surveillance and oversight activities assigned to you, including: <ul><li>Undertaking rule based thematic monitoring reviews involving: interpretation of regulation; designing and executing testing to assess Quilter's compliance; reporting findings to the business.</li><li>Taking full ownership of reviews where allocated as review leader, and fully supporting the review leader where assigned in a supporting role, ensuring all tasks associated with a review are completed to a high standard.</li><li>Completing periodic reviews and oversight of areas such as PA dealing, G&amp;H, complaints.</li><li>Undertaking investment surveillance activities.</li><li>Assisting the Head of Compliance Monitoring &amp; Thematic Reviews with other surveillance and oversight activities as required.</li><li>Planning and prioritising time to ensure the successful execution of individual activities and the overall plan;</li><li>Ensuring focus on the quality of review documents and outputs, highlighting the 'so what' factor, and being clear how these add value for Quilter and address compliance risks;</li><li>Tracking agreed review actions to completion and supporting risk owners to understand their actions commitments through regular engagement and/or communication, and escalating any risks of overdue actions ahead of time; and</li><li>Ensuring alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.</li><li>Developing and maintaining strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.</li></ul>About You Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs. You will have: <ul><li>experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments and financial advice</li><li>good understanding of risk and regulation, particularly FCA.</li><li>strong attention to detail, and the ability to see the bigger picture.</li><li>strong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence others.</li><li>high energy and drive and be delivery focused, and the ability to work well on your own or within a team.</li><li>resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.</li></ul>Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities. Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation. Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions. #LI-VS1 #Quilter Core Benefits Holiday: 26 days Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits. In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.

Compliance Manager - Compliance Monitoring & Thematic Reviews

The University of West London (UWL) is ranked the best modern* university (non-specialist) in London in the Complete University Guide 2023. We are the top University in the UK for Student Experience and for Teaching Quality in the Times and Sunday Times Complete University Guide 2024 and University of the Year for Social Inclusion in the Daily Mail University Guide 2024. The UWL community is a diverse body of students and staff who work together to create an environment of success and achievement. We celebrate the diversity of our staff and promote our values in practice through our commitment to inclusivity, progression, and success. *University status awarded in or after 1992. The UKVI Compliance Team The UKVI Compliance team plays a pivotal role within UWL to ensure the UKVI sponsor license is maintained and fully compliant with student visa sponsorship duties. The Compliance officer will be part of a small team ensuring that the university remains compliant in all aspects of its student visa sponsorship duties as set by the Home Office. The Compliance Team does not work alone and liaises with other university wide departments The Role The postholder is required to have overview of UKVI student visa holders, have a clear understanding of the sponsor duties and support the Senior UKVI Compliance Officer to ensure the University remains complaint under the UKVI sponsorship license duties. Work collaboratively and liaise with colleagues across the University departments and undertake the various activities required as part of the UKVI procedures and processes for all student's immigration categories and provide general compliance advice and guidance to students and colleagues. Liaise regularly with students and maintain up to date records of all student visa holders. Together with the ability to assess and react to any possible UVKI breaches and advise on appropriate measures/actions to be taken to solve the situation. Ensure accurate student records and documentation is kept, maintained and up to date, ready for audit purposes in line with UKVI requirements. The Person We are seeking an experienced Further Education/HE administrator with experience of student visa compliance and knowledge of current UKVI visa sponsorship regulations. With excellent IT skills, including knowledge of databases and ability to manipulate different sets of data. Methodical, able to follow set process and procedures and able to balance conflicting workloads. Experience of providing excellent customer service in person, by telephone and via email, ensuring an excellent student experience is offered and maintained. How to Apply To apply click on 'Apply Online' and fill out the application form. Further information about the application process can be found here: <a href="https://jobs.uwl.ac.uk/display.aspx?id=1253&amp;pid=0" target="_blank">https://jobs.uwl.ac.uk/display.aspx?id=1253&amp;pid=0</a> Please email <a href="mailto:hr.recruitment@uwl.ac.uk" target="_blank">hr.recruitment@uwl.ac.uk</a> if you need any assistance with the application process. Interviews are expected to be held in 03/10/2024. Additional Information Read more about working at the University of West London at <a href="https://www.uwl.ac.uk/about-us/how-university-works/why-work-uwl" target="_blank">https://www.uwl.ac.uk/about-us/how-university-works/why-work-uwl</a> Our department/school is under-represented in terms of staff from BAME (Black, Asian and minority ethnic) backgrounds, of LGBT+ identities, and with disabilities. UWL is committed to having a diverse and inclusive workforce, supports the gender equality Athena SWAN Charter, and is a Disability Confident Employer as well as a Diversity Champion for Stonewall, the leading LGBT+ rights organisation. We welcome applications from all sections of the community, particularly those mentioned above to increase diversity in our workforce. Candidates must be able to demonstrate their eligibility to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006. This position does NOT meetthe University criteria for Skilled Worker sponsorship. Please be advised that it is expected that appointment within a grade will normally be at the minimum point. This post is not available for UWL students. Previous applicants for this post need not apply again. The University of West London reserves the right to close the role prior to this date should a suitable applicant be found.

Visa Compliance Officer

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

Central Compliance Officer (Associate)

Corporate Compliance Manager Can you ensure excellence in compliance on a national scale? Want to be a key player in a groundbreaking, low-carbon revolution? The Opportunity Step into a role where your expertise will shape the future of the UK's energy landscape. As a Corporate Compliance Manager at EDF, you'll be instrumental in driving one of the nation's most ambitious infrastructure projects forward. This is your chance to be at the forefront of nuclear energy development, ensuring the highest standards of legal and regulatory compliance. Your work will directly impact the success of our nuclear new build projects, contributing to the UK's transition to a low-carbon future. If you're looking for a high-impact role where your skills will be truly valued and your contributions will make a tangible difference, this is the opportunity you've been waiting for. Pay, benefits and culture Alongside a starting salary between £53,000 - £66,000 DOE and a market-leading pension scheme, we offer a range of flexible benefits to support our people across all aspects of their lives. Your rewards package includes a choice of benefits, such as electric vehicle leasing, enhanced parental leave, health insurance, discounts and employee pricing. Flexible working means you can work from home (if you wish) and we'll provide a suite of IT equipment to ensure that you can work remotely comfortably and effectively. At EDF, everyone's welcome. We strive to create an inclusive and diverse environment where everyone has a voice and where you feel confident being yourself. We're committed to equality, diversity and inclusion. We'd like our future workforce to have an equal gender balance, represent a broad mix of people from minority ethnic backgrounds, LGBTQ+, those with a disability and supporting social mobility. We're a disability confident employer and we'll do all we can to help with your application, making adjustments as you need. We'll value the difference you bring and offer opportunities for you to thrive and succeed. What you'll be doing As the Corporate Compliance Manager within EDF's Nuclear New Build (NNB) Legal team, you will play a critical role in safeguarding the integrity and success of our groundbreaking nuclear projects. Your expertise will ensure that our operations comply with stringent legal and regulatory standards, mitigating risks and fostering a culture of compliance across the NNB projects. You'll lead the compliance efforts for NNB projects, ensuring strict adherence to key legislation like export controls, GDPR, and anti-bribery laws. Collaborating closely with EDF Compliance and NNB teams, you'll embed a robust compliance framework and proactively manage emerging issues. In this role, you'll oversee governance and risk management, aligning with shareholder and government requirements while driving continuous improvement. You'll build strong relationships with stakeholders, guide senior leaders on compliance matters, and ensure high standards through regular audits, training, and process enhancements. Staying ahead of legislative changes, you'll advise on necessary adjustments and lead initiatives to maintain operational excellence across the projects. Who you are You are a seasoned compliance professional with extensive knowledge of legal and regulatory frameworks, particularly in areas like export controls, data protection, and competition law. Your track record in developing and implementing compliance frameworks within highly regulated industries, especially in large infrastructure or nuclear projects, speaks to your expertise. You excel at managing compliance across complex projects, maintaining well-organized procedures, and driving high training completion rates. Your ability to proactively address compliance issues ensures minimal corrective actions from audits, and you're adept at balancing risk and reward while managing government arrangements. You build strong, trust-based relationships with key stakeholders, and your commercial acumen allows you to navigate and influence senior leadership effectively. With excellent organizational, communication, and presentation skills, you can convey complex information to diverse audiences. You thrive under pressure, managing multiple priorities with a flexible approach, and are proficient in MS Word, Excel, and PowerPoint. Closing date for applications: 25/09/2024 Location: Bristol plus home working Join us and together we can help Britain achieve Net Zero.

Corporate Compliance Manager

Building the Future of Crypto Our Krakenites are a world-class team with crypto conviction, united by our desire to discover and unlock the potential of crypto and blockchain technology. What makes us different? Kraken is a mission-focused company rooted in crypto values. As a Krakenite, you'll join us on our mission to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. For over a decade, Kraken's focus on our mission and crypto ethos has attracted many of the most talented crypto experts in the world. Before you apply, please read the Kraken Culture page to learn more about our internal culture, values, and mission. We also expect candidates to familiarize themselves with the Kraken app. Learn how to create a Kraken account here. As a fully remote company, we have Krakenites in 70+ countries who speak over 50 languages. Krakenites are industry pioneers who develop premium crypto products for experienced traders, institutions, and newcomers to the space. Kraken is committed to industry-leading security, crypto education, and world-class client support through our products like Kraken Pro, Kraken NFT, and Kraken Futures. Become a Krakenite and build the future of crypto! Proof of work The team As the Deputy Compliance Officer, you will be responsible for Crypto Facilities (Kraken MTF) compliance with all applicable Functional Requirements in order for us to successfully meet regulated Investment Firm, MTF and CASS regulatory obligations. You will build and manage a small team to ensure that Crypto Facilities maintains good regulatory standing with the Financial Conduct Authority (FCA) The ideal candidate should have experience working in a financial brokerage or exchange trading environment, with a deep understanding of requirements applicable to activities under MiFID, MiFIR, MAR, SMCR, CASS and UK crypto asset regulatory frameworks, and be well-versed in ongoing regulatory and policy discussions in the UK with respect to crypto assets. The opportunity <ul><li>Be responsible for the ongoing compliance of the firm with all applicable regulatory requirements for operating a Multilateral Trading Facility (MTF) and regulated Investment Firm</li><li>Be responsible for all regulatory and compliance matters associated with our activities under the Financial Conduct Authority's ("FCA") Client Assets Sourcebook ("CASS") and, in turn, for the establishment and adequate functioning of appropriate policies and procedures</li><li>Assisting the business in interpreting and responding to new regulatory proposals and emerging regulatory risks. Working with the business to achieve objectives in light of regulatory developments, including providing regular briefings on the impact of these developments to the Management team</li><li>Demonstrate an in-depth understanding of operational risks (including technology security risk, operational resilience and business continuity), conduct risks and prudential risks in order to build an effective risk monitoring program</li><li>Be the stakeholder of the New Products and Initiatives Approval Process (PROD) focusing on strategic growth and in line with the regulatory business plan of the Firm</li><li>Instigating projects or initiatives which close regulatory gaps and manage actions to address issues in line with dates agreed with FCA Management reporting and analysis</li><li>Playing a critical role in supporting the ongoing product development / delivery activity as 2LOD to ensure regulatory compliance is woven into plans at an early stage. Providing direction on the implementation and embedding of relevant compliance policy and standards</li></ul>Skills you should HODL <ul><li>8+ years in a previous finance, product control or CASS Oversight position at an FCA regulated financial institution</li><li>Experience within trading venue or investment firm financial operations at an FCA regulated firm</li><li>Strong Derivative Product experience across MiFID II</li><li>Comprehensive knowledge of the UK regulatory environment, developments, and licensing requirements - particularly Safeguarding and/or CASS</li><li>Familiarity with anti-money laundering and know-your-customer best practices in UK &amp; EU markets</li><li>Skilled in collaborating with stakeholders at all levels across technical and non-technical groups</li><li>Ability to lead in a fast growing company environment with focused and hardworking individuals</li><li>Strong preference for prior regulated crypto services experience</li></ul>#LI-PE1 #LI-Remote This job is accepting ongoing applications and there is no application deadline. Please note, applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution. We consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. Kraken is powered by people from around the world and we celebrate all Krakenites for their diverse talents, backgrounds, contributions and unique perspectives. We hire strictly based on merit, meaning we seek out the candidates with the right abilities, knowledge, and skills considered the most suitable for the job. We encourage you to apply for roles where you don't fully meet the listed requirements, especially if you're passionate or knowledgable about crypto! As an equal opportunity employer, we don't tolerate discrimination or harassment of any kind. Whether that's based on race, ethnicity, age, gender identity, citizenship, religion, sexual orientation, disability, pregnancy, veteran status or any other protected characteristic as outlined by federal, state or local laws. Stay in the know Follow us on Twitter Learn on the Kraken Blog Connect on LinkedIn

Deputy Compliance Officer

What is the Opportunity? At Ovivo, we offer you the opportunity to expand your skills and professional experience while collaborating with worldwide experts in water treatment. As Compliance Manager ISO-ESG, you are responsible for ensuring that the organization adheres to ISO standards and leading our ESG (environmental, social, and governance) initiatives. The role is based Austin, TX where we enjoy a hybrid work model. Expected travel is 25-30%, the role will involve working closely with other locations throughout the US and Canada. What is the role? <ul><li>Develop and implement policies and procedures to ensure compliance with ISO standards relevant to the organization (e.g., ISO 9001, ISO 14001, ISO 45001).</li><li>Coordinate internal and external ISO audits, manage corrective and preventive actions, and maintain ISO certification.</li><li>Monitor changes in ISO standards and update internal processes as needed.</li><li>Assist local compliance officers at our manufacturing facilities to develop and implement relevant ISO plans, audits and procedures.</li><li>Execute ESG strategies aligned with the organization's goals and regulatory requirements, generally focused around reducing the GHG footprint associated with the manufacture, transport, and use of our technically engineered products and systems. </li><li>Monitor and report on ESG performance metrics, including environmental impacts, social responsibility, and governance practices.</li><li>Ensure compliance with relevant ESG policies, including local, national, and international standards. </li><li>Prepare and present reports on ISO and ESG performance to senior management and other stakeholders at the local and the divisional level.</li><li>Maintain clear and effective communication channels regarding ISO and ESG matters across the organization.</li><li>Liaise with regulatory bodies, industry groups, and external auditors regarding ISO and ESG compliance.</li></ul>Does this sound like you? <ul><li>Bachelor's degree in Environmental Science, Business Administration, Sustainability, Engineering, or a related field. Advanced degree preferred.</li><li>Professional certification in ISO standards (e.g., ISO 9001 Lead Auditor, ISO 14001 Lead Auditor) and/or ESG-related certifications (e.g., GRI, SASB) is highly desirable. </li><li>Proven experience in ISO management and implementation, with a strong understanding of ISO standards and audit processes.</li><li>Minimum of 3-5 years of experience in ISO management and ESG compliance, preferably in a similar industry.</li><li>Detail-oriented with a commitment to maintaining high standards of quality and compliance.</li><li>Proficiency in Microsoft Office Suite and experience with ISO management software or tools.</li></ul>Don't meet every single requirement? If you carry a strong sense of ownership and teamwork in everything you do, we'd like to hear from you any way. Why work at Ovivo? <ul><li>Medical, Dental and Vision benefits</li><li>401k Match</li><li>Company paid life insurance along with company paid short and long-term disability</li><li>11 paid holidays</li><li>Three weeks of PTO to start (hire date determines number of PTO hours for the first year)</li><li>Roll over of 64 PTO hours to the following year</li><li>Sixteen personal hours (hire date determines number of personal hours for the first year)</li><li>Days off between Christmas Eve and New Year's Day - paid by the company with no impact to PTO balance.</li></ul>At Ovivo we are committed to providing working environments where everyone is included and treated fairly and with respect. Dive in - Apply Today! Let's change the future of water together. About Ovivo Ovivo is a global provider of equipment, technology, and systems producing among the purest water and treating some of the most challenging wastewater in the industry. Ovivo is a powerful global brand with renowned trademarks, possessing more than 150 years of expertise and references in water treatment, supported by its proprietary products, advanced technologies, and extensive system integration knowhow. Ovivo delivers conventional to highly technological water treatment solutions for the industrial and municipal markets and leverages its large installed base of equipment around the world to offer parts and services to its customers. Ovivo is dedicated to innovation in an industry that is in constant evolution and offers water treatment solutions that are cost-effective, energy-efficient, and environmentally sustainable. Visit our website to learn more about Ovivo: #LI-Hybrid

Compliance Manager ISO-ESG

Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity, fixed income, liquid alternatives and private equity) in mutual fund, exchange-traded funds and closed-end fund structures. Responsibilities: <ul><li>Managing all aspects of a registered fund compliance program, including: <ul><li>Annual Rule 38a-1 compliance review;</li><li>Maintaining compliance manual and associated policies and procedures;</li><li>Assist with the review and oversight of third-party service providers; and</li><li>Regular interaction with and reporting, both written and verbal, to the funds' Boards of Directors/Trustees</li></ul></li><li>Managing compliance staff dedicated to registered funds business</li><li>Overseeing select compliance monitoring functions</li><li>Providing ongoing compliance and regulatory advice to business personnel</li><li>Representing Compliance in client and prospect due diligence meetings</li><li>Coordinating compliance program within the framework of the firm's overall global compliance program</li><li>Identify, review and respond to new and changing legal and regulatory obligations</li><li>Interact closely with all areas and personnel within the Legal and Compliance Department, including the global head of compliance, general counsel, head of money laundering prevention and senior management</li></ul>Requirements: <ul><li>At least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds</li><li>Strong knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the asset management industry</li><li>J.D. preferred</li><li>Superior judgment and experience with identifying and handling conflicts of interest</li><li>Ability to manage team of direct reports</li><li>Ability to work closely with senior business and management in fast-paced, results oriented environment</li><li>Experience working at or leading an inspection by the SEC or FINRA, and responding to general regulatory requests or inquiries</li><li>ETFs, Alternatives and private equity fund experience a plus</li></ul>Compensation Details The salary range for this role is $200,000-$250,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in New York City. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees. Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law. Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact <a href="mailto:onlineaccommodations@nb.com" target="_blank">onlineaccommodations@nb.com</a>. Learn about the Applicant Privacy Notice.

Chief Compliance Officer & Associate General Counsel, Mutual Funds

Role: Cooplands Compliance Manager Location: Durham, DH1 2HE Hours: Full Time / Permanent Salary: Up to £55,000 (Depending on experience) Company: Cooplands Bakery At Cooplands, we take immense pride in crafting handmade, wholesome, and award-winning products. Our commitment to quality extends to every aspect of our operation, with particular emphasis on health, safety, and compliance standards. We are currently seeking a dynamic, forward-thinking, and collaborative individual to assume the role of Compliance Manager. Join us in upholding our unwavering dedication to maintaining the highest standards in health and safety, food safety, and product labelling practices. What will my role look like? As the Compliance Manager, you will lead our compliance team in implementing and maintaining robust health and safety, food safety, and compliance strategies. Your role will involve overseeing regulatory adherence, driving continuous improvement initiatives, and fostering a culture of safety and excellence throughout the organization. Role Duties: <ul> <li>Define and track KPIs and objectives for the compliance team in alignment with company goals.</li> <li>Provide specialized support to all departments, ensuring comprehensive compliance across the organization.</li> <li>Collaborate with stakeholders to cultivate a safety-centric culture.</li> <li>Lead efforts to obtain and uphold ISO22000 and ISO45001 accreditation.</li> <li>Develop and enforce health &amp; safety and food safety policies, conducting ongoing training to ensure compliance.</li> <li>Monitor inspections and incident investigations, overseeing the formulation and execution of corrective action plans.</li> <li>Facilitate communication with senior management to ensure legal obligations are met.</li> <li>Chair senior health &amp; safety and food safety committees, driving proactive measures to mitigate risks.</li> <li>Analyze health &amp; safety and food safety data trends, devising strategies to enhance company performance.</li> <li>Generate compliance management reports and provide insights to the senior leadership team.</li></ul>Key Skills: <ul> <li>NEBOSH Diploma and HACCP Level 3 certification as a minimum.</li> <li>Previous experience in a food manufacturing environment.</li> <li>Proficiency in auditing management systems.</li> <li>Demonstrated success in fostering HSE and food safety cultural improvements.</li> <li>Sound understanding of safety culture development.</li> <li>Exceptional communication and organizational skills.</li> <li>Ability to thrive in a dynamic and evolving organizational environment.</li> <li>Prior experience in line management, preferably in a multi-site capacity.</li></ul>What's in it for me? <ul> <li>25% Staff Discount</li> <li>28 days (including bank holidays)</li> <li>Pension Scheme</li> <li>24/7 access to virtual GP &amp; wellbeing service</li> <li>Life Assurance</li> <li>Progression &amp; career opportunities</li> <li>Recognition rewards</li> <li>Death in service</li> <li>Compassionate Leave</li></ul>Got what it takes? Apply today to start your fantastic career as our Cooplands Compliance Manager! Join us in shaping the future of food safety and compliance excellence! Apply now. Please note - you are required to successfully pass a DBS check, which will be funded by EG Group. INDCOOP - 103534 Please enable JavaScript Screen readers cannot read the following searchable map. Follow this link to reach our Job Search page to search for available jobs in a more accessible format.

Cooplands Compliance Manager (Head Office (00), Head Office (00), GB, BB1 2FA)

Job Description Salary range: £39,264 - £41,808 p.a. inc. London Weighting Contract: Permanent Hours of work: 36 hours per week Location: Civic Centre and other locations from time to time Improving the quality of rented accommodation across the Borough Brent is a tremendously vibrant London borough where the iconic arch of Wembley Stadium dominates the skyline. Spanning both inner and outer London, it is a borough of huge contrasts in terms of its economic, environmental, ethnic and social make up. Brent's diversity is evident to all who visit our borough and our long history of ethnic and cultural diversity has created a place that is truly unique and valued by those who live and work here. The council is pursuing a far-reaching transformation agenda that better meets the needs of our community so it is an exciting time to join us. The Post The Private Housing Services currently runs HMO mandatory, Additional and Selective licensing schemes, which focuses on and have greatly contributed to improving the quality of privately rented accommodation across the Borough. We are seeking to appoint to join our team of licensing officers to help drive forward our plans. This role offers the exciting opportunity to contribute to achieving the service and Council vision of quality rented accommodation within Brent. You will manage a caseload, carrying out housing inspections, surveys and provide accurate reports after each visit. You will ensure that properties and their landlords comply with relevant legislations, taking enforcement actions as appropriate. Professional development is central to the dynamics of the team and you will therefore be given training on relevant legislation regarding property licensing and any other knowledge required to the post. You will have a key role in helping to achieve the Councils vision of having high quality rented accommodation throughout the Borough. The Person Do you have experience in private property licensing, housing conditions inspections and health and safety (HHSRS) assessments, as well as experience in managing cases involving landlords and tenants? Have you got the ability to work effectively both on your own and within a team? Do you possess excellent oral and written communication skills? Are you able to effectively prioritise your own workload and work to deadlines? If so we welcome your application! To discuss the role please contact James Philip, Private Housing Services Manager, 020 8937 2983 or email <a href="mailto:james.philip@brent.gov.uk" target="_blank">james.philip@brent.gov.uk</a> Closing date: 22 September 2024 (23:59) Additional Information If you are interested in applying for this job, please start by clicking the "Apply Now" button below. You must provide a supporting statement as part of your application that clearly shows how you meet the criteria on the Person Specification. We will accept a CV in support of your application, however, you should still provide a supporting statement. Brent Council values the diversity of its community and aims to have a workforce that reflects this and therefore encourage applications from all sections of the community. We positively encourage all applicants to self-identify their characteristics in the diversity survey section in the application. We are committed to safer recruitment and safeguarding and promoting the welfare of children and young people and expect all staff and volunteers to share this commitment. Applicants should be aware that posts working with children, young people and vulnerable adults are subject to an Enhanced DBS check as well as other employment clearances. The information we collect from you will be shared with Cifas who will use it to prevent fraud, other unlawful or dishonest conduct, malpractice, and other seriously improper conduct. Further details of how your information will be used by us and Cifas and your data protection rights, can be found here. Brent has a positive approach to flexible working. As a disability confident employer Brent welcomes applications from people with all disabilities, including "non-visible" disabilities and mental health conditions. We will interview any disabled applicant who meets the essential criteria. If you require reasonable adjustments to be made to any part of the recruitment process due to your disability, please contact us on <a href="mailto:recruitment@brent.gov.uk" target="_blank">recruitment@brent.gov.uk</a> Job Description

Property Licensing Compliance Officer

📊 Opportunity Alert: Tax Compliance Manager in Morristown, NJ! 📊 Are you a seasoned tax professional looking for your next challenge? We have an exciting opportunity for a Tax Compliance Manager to join a leading team in Morristown, NJ. If you have a strong background in federal and state tax compliance and reporting, this role could be the perfect fit for you! Position: Tax Compliance Manager Location: Morristown, NJ Salary: $109,100 - $147,300 per year Bonus: Opportunity for 5% Bonus Relocation Package: None Key Responsibilities: Tax Compliance: <ul><li>Review and file federal pro-forma tax returns using Corptax.</li><li>E-file consolidated federal tax returns.</li><li>Oversee and review state/locality tax returns.</li><li>Manage quarterly federal and state estimates and extensions.</li><li>Mentor and manage an income tax associate.</li><li>Handle federal and state income tax audits and notices.</li><li>Coordinate tax payments and compliance.</li></ul>Tax Reporting: <ul><li>Assist with quarterly and annual US GAAP income tax provision.</li><li>Review income tax account reconciliations and book-tax differences.</li><li>Evaluate deferred tax assets/liabilities.</li><li>Document internal tax controls.</li></ul>Other Duties: <ul><li>Support ad-hoc projects, including cash tax management and business support.</li><li>Drive efficiency and simplify tax processes.</li><li>Liaise with external tax advisors as needed.</li></ul>Must-Have Qualifications: <ul><li>5-10+ years of US federal and state income tax expertise.</li><li>Experience with US GAAP income tax provisioning.</li><li>Familiarity with SAP, HFM, Corptax, or Alteryx (a plus).</li><li>Strong written and oral communication skills.</li><li>Degree in Finance/Accounting preferred; additional years of experience considered.</li></ul>Why This Role? <ul><li>Be part of a well-regarded tax team with a focus on strategic growth.</li><li>Enjoy a competitive salary and performance-based bonus.</li><li>Work in a collaborative environment that values diverse perspectives.</li></ul>Application Process: <ol><li>Screening call with a recruiter.</li><li>Interview with the hiring manager and potentially additional team members.</li></ol> Why Join Us? Our organization is dedicated to providing innovative solutions and fostering a diverse and inclusive workplace. We offer comprehensive health benefits, generous time-off policies, and opportunities for continuous learning and development. Interested? Apply now and take the next step in your tax career!

Tax Compliance Manager

About The Role About this opportunity Gleeds is an award winning, global construction consultancy with over a century of success in the Built Environment. Our impartial advice helps clients maximise return on investment, from site acquisition to project completion. With over 135 years of construction intelligence we offer unparalleled insight across all sectors, helping clients deliver real value from their assets. You will be joining Gleeds as Compliance Manager with the overall responsibility of managing the Gleeds Compliance Team. Reporting to the Gleeds Compliance Director, you will lead the compliance team to provide high quality governance and compliance for all Gleeds' business activities. Key Responsibilities Responsibilities include but are not limited to: <ul> <li>Developing, implementing, and overseeing Gleeds' Regulatory Compliance regime and adherence to Ethical Standards as required by jurisdictional regulations.</li> <li>Developing policies with guidance for implementation in each jurisdiction and obtaining approvals/sign-off (in conjunction with other Compliance Team members)</li> <li>Acting as primary liaison with global regulatory bodies, managing all external audits and enquiries from third parties such as SGS Yarsley</li></ul><ul> <li>Designing and monitoring Gleeds':</li></ul><ul> <li>Quality Management System (QMS)</li> <li>Information Security Management System (ISMS)</li> <li>Personal Information Management System (PIMS)</li> <li>Business Continuity Management System (BCMS)</li> <li>Environmental Management System (EMS)</li> <li>Occupational Health and Safety Management System (OHSMS)</li></ul><ul> <li>Acting as Gleeds' Data Protection Officer for the UK</li> <li>Management of Customer Due Diligence checking procedures for all new customers and updating CDD policy when necessary.</li> <li>Supplier Approval (pre-selection due diligence checks)</li> <li>Managing internal compliance audits with local stakeholders;</li> <li>Working collaboratively with key stakeholders in creating/ fostering a Compliance ulture (including governance and compliance training management)</li> <li>Managing and controlling the Compliance Team budget</li> <li> Monitor emerging legislation globally across all Gleeds jurisdictions and advise the Compliance Director on compliance strategies and operational adjustments</li> <li>Providing leadership and management of Compliance Team which consists of 2 FTE</li></ul>About You Who we're looking for Knowledge, Skills and Experience: <ul> <li>Proven track-record in compliance in a large and growing agile market leading global business</li> <li>Strong organizational and problem-solving skills, able to manage multiple priorities.</li> <li>Excellent communication skills</li> <li>Ability to work effectively with a wide range of stakeholders, including auditors, suppliers, advisers and regulatory authorities.</li> <li>Good knowledge of compliance software and technology</li> <li>Ability to think strategically and identify opportunities to streamline the compliance burden.</li> <li>Some knowledge/ experience of the construction professional services sector would be desirable. Qualifications</li> <li>Degree qualified or equivalent within a relevant discipline: (law/ finance/ business administration/ governance/ insurance).</li> <li>MBA, AICA, MICA GradCG / ACG, Chartered Secretary or Chartered Governance professional Behaviours</li> <li>People Focused - Motivated to create and maintain positive relationships.</li> <li>Creative - We solve problems and introduce new ideas.</li> <li>Performance -led - Driven to exceed client expectations.</li> <li>Collaborative - We foster a progressive and inclusive work ethic.</li> <li>Accountable - We act with integrity and take responsibility</li></ul>About Us About us A world of opportunity Gleeds is a place to be part of something bigger. We take pride in our diverse and supportive culture that empowers you to make a difference while creating connections with brilliant people - colleagues and clients alike. Enjoy doing work that shapes our collective future, while steering your own journey in a trusting environment. Benefit from our rich heritage and global opportunities as you construct a career with purpose. With over 75 offices across the globe, you'll become part of a truly global team that isn't restricted by borders. We welcome new perspectives and ideas but above all, we believe that quality relationships sit at the heart of good business. We strive to be the people that seek to understand and bring people together. Wherever we are in the world, we're committed to the success of our people, clients and communities - giving everyone a safer and more sustainable place to live, work and thrive. Our values underpin what we stand for and how we work: <ul> <li>Professionalism with personality</li> <li>Excellence with humility</li> <li>Innovation with agility</li></ul>We're an equal opportunities employer and welcome applications regardless of age, disability, marital status, race, religion or belief, sexual orientation, transgender status or gender. We recognise the importance of work/life balance and agree flexible working arrangements to suit each individual. Gleeds is a Great Place to Work certified employer.

Allianz Trade is a global leader in credit insurance and credit management, specialising in trade credit insurance, surey bonds &amp; guarantees, and business fraud insurance. Operating worldwide with over 62,000 clients globally, Allianz Trade has an AA rating by Standard &amp; Poor's. Allianz Trade are looking for their next Compliance Officer UK and Ireland to join our Canary Wharf office. Reporting to the Head of Compliance Northern Europe, you will be responsible for providing comprehensive regulatory advice to all Allianz Trade operations in the UK and Ireland and ensuring compliance with all regulatory and Allianz requirements to promote and embed a culture of integrity and compliance throughout the business. What you will do: - Maintaining detailed awareness of regulatory developments, and changes in the wider financial marketplace, so as to provide expert advice to the business on applicable rules and regulations and strategic compliance guidance on regulatory queries. - Providing support on other regulatory projects across the Az Trade Group - Ongoing review and assessment of the impact of regulatory developments affecting the business and assisting in implementing necessary changes to policies, procedures, processes and systems. - Assisting the CFAO and CEO to manage the business relationship with the PRA and FCA; - Aligning with the Chief Compliance Officer relating to the company's main regulator - Regular reporting on relevant subjects to the Management Team; - Liaising with and providing support to senior management, to ensure promotion of a culture of integrity and compliance throughout the business; - Investigating escalated complaints and dealing with the FOS; - Dealing with regulators, assisting in collating reports and addressing relevant enquiries from regulators; - Organising remedial action to address identified gaps in compliance controls; - Promoting awareness among management and employees of compliance matters. - Be part of the corporate compliance team with a direct reporting line and active involvement in global compliance topics areas and related projects. What you will bring: - In-depth practical knowledge and understanding of financial services law and regulation impacting B2B insurance activities in the UK and Ireland (including Solvency II) and the ability to apply EU, FCA and PRA rules and guidance; - Sufficient seniority, gravitas and experience to persuade and influence senior management and business personnel; - Excellent organisational, communication and drafting skills; - Professional experience in the financial sector in a compliance function or in regulatory enforcement and experience in a sizeable organization in the financial sector as a compliance officer, or in a similar role, or have relevant education; - Very good understanding of the insurance business, complex financial transactions and ideally of Allianz Trade; - Client service mentality, quality-focused and results-oriented; - Ability to work well independently, producing coherent decisions / results and ability to work with virtual teams; - Ability to communicate effectively, in writing and verbally, and ability to function as part as a team; - Strong organizational skills, agility and ability to prioritize; - Fluency in English (oral and written); - Masters degree (MBA, law or other relevant academic foundation) in business administration, economics or legal. - Excellent interpersonal skills and the ability to comfortably interact with people at all levels of the organization, including executive management, and in an international environment; - Diplomatic sensitivity and ability to manage multiple stakeholders; - Project management skills and ability to coordinate a number of projects in parallel; - High level of integrity; - Experience in managing change and promoting innovation with a hands-on mentality. What we offer: <ul> <li>Life assurance </li> <li>Health cash plan </li> <li>Income Protection </li> <li>Hybrid working </li> <li>Employee Share Incentive Plan </li> <li>various discounts on insurance through the Allianz Partnership </li> <li>and much more! </li> </ul>#United Kingdom#NEUR#London#LI-AB1#LI-HYBRID Allianz Group is one of the most trusted insurance and asset management companies in the world. Caring for our employees, their ambitions, dreams and challenges, is what makes us a unique employer. Together we can build an environment where everyone feels empowered and has the confidence to explore, to grow and to shape a better future for our customers and the world around us. Join us. Let's care for tomorrow. We at Allianz believe in a diverse and inclusive workforce and are proud to be an equal opportunity employer. We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in. Allianz Trade is the trademark used to designate a range of services provided by Euler Hermes. We are the global leader in trade credit insurance and a recognized specialist in the areas of surety, collections, structured trade credit and political risk. Headquartered in Paris, we are present in more than 50 countries with 5,500 employees. In 2021, our global business transactions represented 931 billion Euro in exposure. For more information, please visit <a href="http://www.allianz-trade.com" target="_blank">www.allianz-trade.com</a> or our social media LinkedIn Twitter Instagram @AllianzTrade

Compliance Officer UK and Ireland

Description IT'S MORE THAN A JOB. IT'S A CALLING. At Family Care Center, we are on a mission to transform lives by elevating behavioral health care. Our journey began in 2016 when two U.S. Army Veterans founded Family Care Center to help service members, Veterans and their families. We continue that tradition today, caring for people of all ages across a broad range of conditions with nearly 30 outpatient clinics in communities across Arizona, Colorado, Florida, Tennessee and Texas. If you'd like to work for one of the nation's fastest-growing behavioral health providers, collaborating with other committed team members and making a positive impact on your community, we look forward to hearing from you. Transforming lives is our life's work. <ul><li>CARING &amp; SUPPORTIVE CULTURE: We support you so you can support our patients. Our positive environment is complemented by an engaging wellness program, volunteer events, team activities and more. </li><li>UNPARALLELED GROWTH OPPORTUNITIES: We offer clear paths for career advancement at every level, fostering your professional development and personal growth.</li><li>BALANCED LIFESTYLE: Achieve professional fulfillment while nurturing a healthy work-life balance, free from weekend or evening hours. We understand the importance of both professional fulfillment and personal well-being. </li><li>COLLABORATIVE TEAM: Join forces with a diverse team of top-notch behavioral health professionals, support staff and empowering leadership. Together, we work towards transforming the lives of our patients. </li><li>IMPRESSIVE RETENTION RATES: Our compassionate, welcoming approach has helped us earn a higher-than-average provider retention rate of 88%. </li><li>COMPREHENSIVE BENEFITS: We prioritize your overall well-being and financial security. Enjoy a full suite of competitive benefits, including medical, dental, fertility, retirement, wellness, profit sharing and more. <ul><li>Annual compensation: $90,000.00 - $125,000.00 depending on experience, plus bonus.</li></ul></li></ul>Position Overview: Under the direction of the Chief Legal and Compliance Officer (CLO), the Director of Compliance: provides regulatory and compliance advice and guidance to FCC personnel, including management staff and regional leadership; provides compliance oversight to ensure organizational adherence to federal and state legal/regulatory requirements; monitors changes in policies, regulations, and laws and provides guidance and education to FCC personnel; assists with Compliance Program implementation and oversight, including the preparation of meeting materials and reports. Essential Responsibilities: <ol><li>Reports to and supports the CLO. </li><li>Provides regulatory and compliance guidance and services, related to healthcare operations, laws, and other compliance matters that affect FCC, including state and federal patient privacy laws (e.g., HIPAA), fraud and abuse, employment law, provider licensure, corporate practice of medicine, new state entry, etc.</li><li>Develops, initiates, maintains, and revises compliance policies and procedures.</li><li>Monitors the performance of the Compliance Program and revises activities as needed to continually improve its effectiveness.</li><li>Maintains contemporary knowledge of all federal and state laws, regulations and statutes impacting FCC daily operations and provides routine education to leadership. </li><li>Provides direction and oversight related to licensure and accreditation. </li><li>Partners with the Human Resources Department to develop a compliance training.</li><li>Promptly responds to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures. </li><li>Identifies and addresses potential areas of compliance vulnerability and risk. In partnership with Human Resources, develops/implements corrective actions for resolution of issues and provides general guidance and education to inform response to future events.</li><li>Maintains the compliance Hotline and HIPAA Disclosure Log and insures patients' rights in compliance with federal and state laws.</li></ol> Other Duties: <ul><li>Preforms other related duties as assigned by management.</li></ul>Minimum Qualifications: <ul><li>Juris Doctorate from an accredited College of Law preferred.</li><li>2- 7 years' experience managing corporate compliance, risk, and/or regulatory programs or practicing law in a healthcare setting. </li><li>Familiarity with operational, financial, quality assurance, risk, and human resource procedures and regulations required.</li><li>Comprehensive knowledge of Privacy and Security rules and regulations as they apply to healthcare organizations.</li><li>Compliance certification preferred.</li><li>Current working knowledge of HIPAA Privacy, Federal and State regulations and policies.</li></ul>Family Care Center is an Equal Opportunity Employer and does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need.

Director of Compliance

The Company PayPal has been revolutionizing commerce globally for more than 25 years. Creating innovative experiences that make moving money, selling, and shopping simple, personalized, and secure, PayPal empowers consumers and businesses in approximately 200 markets to join and thrive in the global economy. We operate a global, two-sided network at scale that connects hundreds of millions of merchants and consumers. We help merchants and consumers connect, transact, and complete payments, whether they are online or in person. PayPal is more than a connection to third-party payment networks. We provide proprietary payment solutions accepted by merchants that enable the completion of payments on our platform on behalf of our customers. We offer our customers the flexibility to use their accounts to purchase and receive payments for goods and services, as well as the ability to transfer and withdraw funds. We enable consumers to exchange funds more safely with merchants using a variety of funding sources, which may include a bank account, a PayPal or Venmo account balance, PayPal and Venmo branded credit products, a credit card, a debit card, certain cryptocurrencies, or other stored value products such as gift cards, and eligible credit card rewards. Our PayPal, Venmo, and Xoom products also make it safer and simpler for friends and family to transfer funds to each other. We offer merchants an end-to-end payments solution that provides authorization and settlement capabilities, as well as instant access to funds and payouts. We also help merchants connect with their customers, process exchanges and returns, and manage risk. We enable consumers to engage in cross-border shopping and merchants to extend their global reach while reducing the complexity and friction involved in enabling cross-border trade. Our beliefs are the foundation for how we conduct business every day. We live each day guided by our core values of Inclusion, Innovation, Collaboration, and Wellness. Together, our values ensure that we work together as one global team with our customers at the center of everything we do - and they push us to ensure we take care of ourselves, each other, and our communities. Job Description Summary: PayPal is seeking a dynamic, innovative, and driven Compliance Manager to join our high-performing UK Risk and Compliance team, reporting to the Regulatory Relations Lead and working closely with all Risk and Compliance leadership. The role contributes to the sustainable growth of PayPal's business in the UK, which offers both regulated and unregulated products to its consumers and merchants in those markets. As a Manager, you will provide drive judgment in enabling PayPal to cultivate positive regulatory relationships and compliance framework and consequently, enable PayPal's business objectives. You will report to the UK Senior Manager for Compliance and Regulatory Relations and liaise with all Risk and Compliance leaders in the UK Job Description: Your way to impact <ul><li>You will contributes to the sustainable growth of PayPal's business in the UK, which offers both regulated and unregulated products to its consumers and merchants in those markets. </li><li>You will provide drive judgment in enabling PayPal to cultivate positive regulatory relationships and compliance framework and consequently, enable PayPal's business objectives. You will report to the UK Senior Manager for Compliance and Regulatory Relations and liaise with all Risk and Compliance leaders in the UK</li></ul>In your day to day role <ul><li>Support program management for regulatory relations processes, including the global regulatory inquiry response processes and regulatory engagement strategy plan development</li><li>Draft and oversee development of responses to regulatory inquiries</li><li>Maintain best practices for supporting local regulatory engagements, including liaising with internal stakeholders and regulators through all phases of the process</li><li>Serve as a credible business partner across functional units, providing advice and support as needed</li><li>Engage critical stakeholders in problem solving issues with regulatory impact</li><li>Draft committee and other governance materials related to regulatory engagement, as appropriate</li><li>Partner with Government Relations, Legal and other teams to maintain productive and positive regulatory relationships</li><li>Provide functional compliance support across PayPal's Risk and Compliance organisation and the UK business</li><li>Manage the planning and oversight of key regulatory deliverables in relation to the UK product portfolio</li><li>Monitor relevant regulatory developments and changes</li><li>Collaborate with internal teams to identify clear steps necessary to manage regulatory developments and mitigate related risks</li><li>Support process/product reviews to identify and mitigate first line risks, both operational &amp; regulatory, in line with PPUK policy and appetite and regulatory requirements</li><li>Maintain specific payment services, risk and compliance knowledge to proactively advise on future and emerging regulatory risk and requirements across the evolving product offering</li><li>Perform additional tasks as assigned</li></ul>This role is essential to the overall execution of our PPUK Risk &amp; Compliance Program and is a critical participant in executing the Risk &amp; Compliance Roadmap in order to: <ul><li>Partner with Risk and Compliance Business Partners and Program Enablement teams and work to implement changes to comply with the evolving regulatory environment.</li><li>Partner on the compliance new product intake and change management processes and implementation of control requirements.</li><li>Be a champion for positive customer outcomes and provide a demonstrable understanding of Consumer Risk assessment and measurement.</li></ul>What you will bring: <ul><li>Ability to work under pressure, manage multiple projects with competing priorities, meet deadlines, and adapt to change.</li><li>Excellent time management and organisational skills</li><li>Solid critical and analytical thinking, decision making and innovative problem-solving skills.</li><li>Excellent verbal and written communication skills, including, preferably, some track record of effective communication with regulatory agencies.</li><li>Ability to interact well with internal management and external contacts, including regulators.</li><li>Ability to maintain a high level of confidentiality.</li><li>Ability to maintain excellent attention to detail.</li><li>Ability to timely escalate issues and concerns as and when appropriate.</li><li>Proven ability to work independently and within a team environment.</li><li>Adaptable in unexpected situations, comfortable dealing with ambiguity and uncertainty.</li><li>Drive to learn and proactively build relationships.</li><li>Knowledge of the financial services compliance and / or regulatory environment is required</li><li>Compliance experience in the financial services industry, with regulatory relations, financial services licensing and reporting experience, and/or regulatory examination / inspection management experience preferred</li></ul>In addition <ul><li>Relevant experience across Risk and Compliance.</li><li>Excellent English communication and written skills.</li><li>Strong project management skills and change management experience.</li><li>Experience with the UK regulators and the regulatory exam process in a financial institution (preferred)</li><li>High personal resilience; a self-starter with energy and drive for results.</li></ul>**We know the confidence gap and imposter syndrome can get in the way of meeting spectacular candidates. Please don't hesitate to apply. Additional Job Description: Subsidiary: PayPal Travel Percent: 0 For the majority of employees, PayPal's balanced hybrid work model offers 3 days in the office for effective in-person collaboration and 2 days at your choice of either the PayPal office or your home workspace, ensuring that you equally have the benefits and conveniences of both locations. Our Benefits: At PayPal, we're committed to building an equitable and inclusive global economy. And we can't do this without our most important asset-you. That's why we offer benefits to help you thrive in every stage of life. We champion your financial, physical, and mental health by offering valuable benefits and resources to help you care for the whole you. We have great benefits including a flexible work environment, employee shares options, health and life insurance and more. To learn more about our benefits please visit <a href="https://www.paypalbenefits.com" target="_blank">https://www.paypalbenefits.com</a>. Who We Are: Click Here to learn more about our culture and community. Commitment to Diversity and Inclusion PayPal provides equal employment opportunity (EEO) to all persons regardless of age, color, national origin, citizenship status, physical or mental disability, race, religion, creed, gender, sex, pregnancy, sexual orientation, gender identity and/or expression, genetic information, marital status, status with regard to public assistance, veteran status, or any other characteristic protected by federal, state, or local law. In addition, PayPal will provide reasonable accommodations for qualified individuals with disabilities. If you are unable to submit an application because of incompatible assistive technology or a disability, please contact us at <a href="mailto:paypalglobaltalentacquisition@paypal.com" target="_blank">paypalglobaltalentacquisition@paypal.com</a>. Belonging at PayPal: Our employees are central to advancing our mission, and we strive to create an environment where everyone can do their best work with a sense of purpose and belonging. Belonging at PayPal means creating a workplace with a sense of acceptance and security where all employees feel included and valued. We are proud to have a diverse workforce reflective of the merchants, consumers, and communities that we serve, and we continue to take tangible actions to cultivate inclusivity and belonging at PayPal. Any general requests for consideration of your skills, please Join our Talent Community. We know the confidence gap and imposter syndrome can get in the way of meeting spectacular candidates. Please don't hesitate to apply.

At Northland, our employees are the heart of our story-and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success. Our Modern, Flexible Workplace: We believe in a Modern, Flexible Workplace, and we are continuously exploring advancements in technology and office environments to make it easier to collaborate and connect with customers and coworkers. It is anticipated that an incumbent in this role will work onsite 100% of the time and will have a dedicated workspace. Work location is subject to change based on business needs. Summary of the Job: Compliance Officer - Employee-centric focused role within the Compliance Department. This individual will also manage the Firms initiative on Training. The Compliance Officer will support the firm compliance program to ensure employees and Northland comply with industry regulations and company policies. General areas of focus will relate to onboarding and terminations, conflicts of interest program management, and regulatory training. The ideal candidate will have an established understanding of broker-dealer and RIA regulations and compliance requirements About This Role: • Develop, maintain and execute most aspects of onboarding and offboarding all Northland employees and supervised individuals of Northland affiliates. • Administer and manage activities relating to Northland Conflicts of Interest program, including the annual employee certification process, periodic attestations, social media, gifts and entertainment reporting, political contribution activities, outside business activities, and personal securities trading • Manage Northland's training platform, which includes FINRA CE, Firm Element Continuing Education, Annual Compliance Meeting, AML training and other training as required for employees, supervisors, and supervised employees of Northland affiliates • Liaise and collaborate with applicable corporate affiliates on matters relating to shared services, including training, hiring, terminations, and ensuring Northland meets its related regulatory obligations • Support and/or carry out various components of the compliance monitoring and testing program of business units and branches ensure policies and procedures are being followed, and prepare related findings and reports • Cultivate a strong partnership with business line and other support function colleagues to ensure compliance is viewed as a trusted advisor and partner • Stay up to date of the ever-changing regulatory environment and actively participates in industry groups committed to assisting in and supporting the formulation of good regulation • Assist the Co-Chief Compliance Officers on projects and additional duties as required The Ideal Candidate for This Role: The requirements listed below are representative of the knowledge, skill, and/or ability required in this job position. <ul><li>Sufficient working knowledge of rules and regulations related to broker/dealer and registered investment advisor activities including the '33 Act; '34 Act and '40 Act, as well as, FINRA and State Rules and Regulations</li><li>Minimum of 2 years in supervisory or compliance role in the financial services industry, preferably at a broker-dealer</li><li>Ability to understand legal and regulatory rules and procedure documents, and implement procedures and practical solutions</li><li>Exercise sound judgment with an understanding of effective escalation of risk</li><li>Have strong research, investigative, and critical thinking skills</li><li>Ability to develop and maintain strong working relationships </li><li>Comfortable managing multiple projects, strong ability to prioritize and meet deadlines</li><li>Strong verbal and written communication skills</li><li>Must be a self-starter and work independently with minimal oversight</li><li>Able to analyze quantities of data and spot patterns outside the norm, identifying when additional research is required and following it to a conclusion</li><li>Periodic travel required</li></ul>IV. MINIMUM EDUCATION AND EXPERIENCE <ul><li>College degree or comparable securities industry experience</li><li>SIE, Series 7, 63 and 24 or Series 14</li></ul>Compensation and Benefits Overview: We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs: <ul><li>Medical, Dental, Vision Insurance</li><li>401k, With Matching Contributions</li><li>Time Off Programs</li><li>Health Savings Account (HSA)/Dependent Care</li><li>Employee Banking</li><li>Growth Opportunities</li><li>Tuition Assistance</li><li>Short-Term/Long-Term Disability Insurance</li></ul>Learn more about our benefits here: <a href="https://www.fnbo.com/careers/benefits/" target="_blank">https://www.fnbo.com/careers/benefits/</a>. To obtain compensation and benefit information related to this specific role, e-mail First National at <a href="mailto:TAGAdmin@fnni.com" target="_blank">TAGAdmin@fnni.com</a>. To ensure you receive a response, include the number of this job (listed below) in the subject line of your message. Job number: R-20240761 Registration Requirement: This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility, regulatory requirements, credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report and fingerprinting results. Equity, Diversity, &amp; Inclusion: We are committed to belonging, inclusion, diversity and equity. We are committed to intentionally and proactively creating pathways to success for historically underrepresented populations. To accomplish this, we foster a culture of belonging and inclusion so that every employee is valued, and has opportunity and the ability to make an impact. We strive to reflect the diversity of the communities we serve in the makeup of our workforce. See the full Equity, Diversity, &amp; Inclusion Statement here All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. Click here to download 'EEO is The Law' Self-Print Poster Click here to download 'EEO is The Law' Supplement for Federal Contractors Click here to download 'EEO is The Law' GINA Supplement Application Deadline: All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.

Anticipated End Date: 2024-09-20 Position Title: Compliance Manager -Paragon Job Description: Compliance Manager -Paragon A proud member of the Elevance Health family of companies, Paragon Healthcare brings over 20 years in providing life-saving and life-giving infusible and injectable drug therapies through our specialty pharmacies, our infusion centers, and the home setting. Locations: This position will work a hybrid model (remote and office). The candidate must live within 50 miles of one of our Elevance Health PulsePoint locations. The Compliance Manager is responsible for managing foundational and strategic compliance responsibilities with consistent excellence that support the team and management. How You Will Make an Impact: Primary duties with advanced complexity and broad/enterprise scale may include, but are not limited to: <ul><li>Manage/oversee projects, initiatives, regulatory audits or exams, internal audits, accreditations, on-site reviews, risk assessments; audit planning, conducting mock audits, conducting audit training, managing audit evidence preparation, assessing audit preparedness.</li><li>Establish project plans, gap analysis, milestone dates, and other significant aspects, and leadership updates.</li><li>Maintain knowledge of laws, regulations, company strategies to assess impact, and consult with clients as subject matter expert.</li><li>Conducts complex investigations, document findings, and ensure corrective actions are made. Interface with external clients, regulators, vendors, supplier; internal stakeholders, high level of management.</li><li>Ability to travel may be required.</li></ul>Minimum Requirements: <ul><li>Requires a BA/BS and minimum of 6 years health care, regulatory, ethics, compliance or privacy experience; or any combination of education and experience, which would provide an equivalent background.</li></ul>Preferred Skills, Capabilities, and Experiences: <ul><li>MS/MBA/JD or professional designation preferred.</li></ul>Job Level: Non-Management Exempt Workshift: Job Family: FRD &gt; Compliance Please be advised that Elevance Health only accepts resumes for compensation from agencies that have a signed agreement with Elevance Health. Any unsolicited resumes, including those submitted to hiring managers, are deemed to be the property of Elevance Health. Who We Are Elevance Health is a health company dedicated to improving lives and communities - and making healthcare simpler. We are a Fortune 25 company with a longstanding history in the healthcare industry, looking for leaders at all levels of the organization who are passionate about making an impact on our members and the communities we serve. How We Work At Elevance Health, we are creating a culture that is designed to advance our strategy but will also lead to personal and professional growth for our associates. Our values and behaviors are the root of our culture. They are how we achieve our strategy, power our business outcomes and drive our shared success - for our consumers, our associates, our communities and our business. We offer a range of market-competitive total rewards that include merit increases, paid holidays, Paid Time Off, and incentive bonus programs (unless covered by a collective bargaining agreement), medical, dental, vision, short and long term disability benefits, 401(k) +match, stock purchase plan, life insurance, wellness programs and financial education resources, to name a few. Elevance Health operates in a Hybrid Workforce Strategy. Unless specified as primarily virtual by the hiring manager, associates are required to work at an Elevance Health location at least once per week, and potentially several times per week. Specific requirements and expectations for time onsite will be discussed as part of the hiring process. Candidates must reside within 50 miles or 1-hour commute each way of a relevant Elevance Health location. The health of our associates and communities is a top priority for Elevance Health. We require all new candidates in certain patient/member-facing roles to become vaccinated against COVID-19. If you are not vaccinated, your offer will be rescinded unless you provide an acceptable explanation. Elevance Health will also follow all relevant federal, state and local laws. Elevance Health is an Equal Employment Opportunity employer, and all qualified applicants will receive consideration for employment without regard to age, citizenship status, color, creed, disability, ethnicity, genetic information, gender (including gender identity and gender expression), marital status, national origin, race, religion, sex, sexual orientation, veteran status or any other status or condition protected by applicable federal, state, or local laws. Applicants who require accommodation to participate in the job application process may contact <a href="mailto:elevancehealthjobssupport@elevancehealth.com" target="_blank">elevancehealthjobssupport@elevancehealth.com</a> for assistance.

Compliance Manager -Paragon

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere. We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what #LifeAtBNY is all about. We're seeking a future team member for the role of Corporate Treasury Compliance Officer to join our Compliance team. This role is located in Manchester - hybrid. Overview The Corporate Treasury Compliance Officer is a member of the Enterprise-Wide Functions Compliance group who oversees Compliance risk associated with BNY's Corporate Treasury and Chief Investment Office activities in EMEA and APAC. Responsibilities <ul> <li>Contribute to the continued development and implementation of the Compliance function that is responsible for oversight and challenge of the Corporate Treasury function, with particular focus on international (EMEA and APAC regions) regulatory obligations</li> <li>Partner with the Corporate Treasury to facilitate compliance with complex regulatory and policy requirements</li> <li>Assist Corporate Treasury with the assessments of controls, identifying enhancements and implementing improvements to help ensure compliance with applicable laws, rules and regulations</li> <li>Analyze existing and proposed legislation, regulatory announcements and industry practices in order to help Corporate Treasury develop and implement procedures to meet existing and upcoming requirements</li> <li>Contribute to the development of projects and programs to improve compliance and enhance the control environment</li> <li>Maintain strong working relationships in order ensure the timely delivery of information and increase the likelihood of favourable conditions for compliance activities</li> <li>Uses strong partnerships with Corporate Treasury managers to help respond and collaborate on reports issued by regulatory agencies or audit</li> <li>Helps prepare risk-based reviews of existing and emerging regulatory requirements, concerning issues and control gaps</li> <li>Contribute, as needed, to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively</li> <li>Contribute to the preparation of time sensitive reporting and appropriately escalate issues to management, as needed</li> <li>May also support the Compliance team overseeing compliance risk associated with Corporate Finance activities in EMEA, as needed</li></ul>Qualifications <ul> <li>Familiarity with EU and UK banking rules on capital management, liquidity, and regulatory reporting </li> <li>Excellent communication skills and experience building and maintaining successful working relations with stakeholders </li> <li>Able to analyze regulations and assess their applicability to business activity</li> <li>Able to quickly adjust to corporate and regulatory changes and shifting priorities</li> <li>Bachelor's degree or the equivalent combination of education and experience. Business, Finance or Law degree preferred</li> <li>Finance, Compliance, or Audit background (2nd line of defence) and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred </li></ul>At BNY, our culture speaks for itself. Here's a few of our awards: <ul> <li>America's Most Innovative Companies, Fortune, 2024</li> <li>World's Most Admired Companies, Fortune 2024</li> <li>Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024</li> <li>Best Places to Work for Disability Inclusion, Disability: IN - 100% score, 2023-2024</li> <li>"Most Just Companies", Just Capital and CNBC, 2024</li> <li>Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024</li> <li>Bloomberg's Gender Equality Index (GEI), 2023</li></ul>Our Benefits and Rewards: BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter. BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Corporate Treasury Compliance Officer

Role Head of Compliance Location: Southport/Hybrid The Head of Compliance will be supporting the Chief Legal Officer and Director of Compliance in ensuring that Fletchers' Solicitors Limited and their group of companies are compliant with all regulations that cover the provision of the services that the companies offer. The ideal candidate would be a qualified Solicitor or equivalent who has experience of successfully working and leading in a legal Compliance team with good communication and the ability to build relationships. In return Fletchers can offer: <ul> <li>35 hours working week</li> <li>Bonus scheme (subject to targets being met)</li> <li>35 days holiday a year including bank holidays and Christmas Closure, you also have an option to purchase up to 3 extra days' holiday per year, until you reach the maximum long service awards which are awarded after your 5th, 7th, and 9th full year of employment</li> <li>Pension scheme with tax-efficient salary sacrifice option</li> <li>Life Assurance Policy</li> <li>Medicash policy to cover some dental, optical and other medical expenses</li> <li>Company sick pay</li> <li>Enhanced Maternity, Paternity and IVF schemes</li> <li>Flexible, agile working environment with a positive work-life balance</li> <li>Varied calendar of funded company social events (check out Fletchers Group on LinkedIn)</li> <li>Monthly voucher awardsfor winning nominees</li> </ul>Main Responsibilities: <ul> <li>Supporting Senior Executive Team and Senior Leadership Team on all legal and compliance matters to ensure delivery of Fletchers' strategy</li> <li>Required level of knowledge and expertise in relevant aspects of compliance and regulation, including SRA and ICO matters, relevant legislation including LASPO, UK GDPR, etc.</li> <li>Close collaboration with CLO, Director of Compliance, Director of M&amp;A and other members of SET and SLT on all legal and compliance aspects of M&amp;A transactions</li> <li>Cross-functional support, especially to Legal Transformation and Strategy Team and Operations Team, on key projects</li> <li>Supporting the CLO/COLP and Director of Compliance with all compliance and regulatory aspects of Fletchers' strategy to ensure business facilitation is achieved in a safe, compliant way</li> <li>Assist in leading the team, managing / developing the team members</li> <li>Assist in drafting policies, procedure and documents in support of the business compliance with any statutory or regulatory obligations and ensuring training provided</li> <li>Liaise with other business stakeholders in respect of any effects of statutory or regulatory changes to their business areas and, where necessary, assist in change implementation</li> <li>Assist with the management, reporting and eliminating risk on matters referred to within the firmwide risk register</li> <li>Manage risk relationship with our professional indemnity insurers, and deal with any formal negligence claims</li> <li>Assist in dealing with day-to-day risk matters raised across the business with a view to reducing risk level and reporting to the SLT</li> </ul>Essential Skills and Experience: <ul> <li>Experience of successfully working and leading in a legal Compliance team</li> <li>Excellent interpersonal skills, with the ability to form positive working relationships with a wide variety of team members and to manage the sensitivities of challenging legal practice appropriately where necessary</li> <li>Excellent understanding of and the ability to deliver excellent customer service</li> <li>Excellent understanding of how to balance compliance with business drivers</li> <li>Experience of coaching and supporting team members</li> <li>Ability to role model good practice leadership</li> <li>Technology literate, with the ability to use technology to enhance legal services</li> <li>Strong analytical skills</li> </ul>Desirable Skills and Experience: <ul> <li>Qualified Solicitor or Cilex</li> </ul>About Fletchers Solicitors: Fletchers is a growing law firm specialising in personal injury and clinical negligence law, with excellent rankings with both the Legal 500 and Chambers &amp; Partners. Following several acquisitions, we have transformed into the Fletchers Group, with ambitious plans for further expansion. Situated in the North-West of the UK, our offices are located in Manchester, Liverpool, Southport, Leeds, Bolton, and Cambridge. Many of our colleagues enjoy the flexibility of hybrid work arrangements. We offer a great work-life balance, attractive benefits, apprenticeship or training contract opportunities, and avenues for internal progression. Currently, approximately 10% of our colleagues participate in apprenticeships or training contracts, marking a milestone for us as we continue to improve our Learning &amp; Development programs. Our culture is nurturing, designed to assist you in achieving your aspirations. Additionally, we have our Associate and Partner programs for senior lawyers and established the Fletchers Foundation to support those who have suffered injuries. More information about us can be found on our website. <a href="https://www.fletcherssolicitors.co.uk/about-us" target="_blank">https://www.fletcherssolicitors.co.uk/about-us</a> Fletchers Group is an inclusive employer with a diverse workforce, which is why we welcome applications from all diversity groups and backgrounds. We're committed to providing a culture and environment where everyone can thrive. Fletchers understand and celebrating that no colleague is the same. We're proud of our work on the Disability Confident scheme, and we are signing up to other diversity standards to reflect our ethos. We reserve the right to close this role before the date specified depending on the calibre and volume of candidates.

Head of Compliance

We are currently searching for an experienced professional to join us as a Compliance Officer, based in Gdańsk or in Warsaw/Duchnice, responsible for managing and reporting on compliance and GDPR related matters, consistently with other companies in the Group. Our Compliance Officer will be directly reporting to the top management of the group, with direct responsibility to the Head of Compliance. Your responsibilities include, but are not limited to: <ul> <li>Supporting local management in developing strong compliance mindset, putting in place a comprehensive compliance program and the necessary procedural infrastructure;</li> <li>Risk Management - in cooperation with risk management and business continuity function, contribute to business continuity process;</li> <li>GDPR Compliance;</li> <li>Establishing and setting the tone of compliance throughout the Company;</li> <li>Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements;</li> <li>Creation and periodical review of the company compliance program plan and ensuring its execution;</li> <li>Managing and executing policies and procedures, which govern the Group compliance program;</li> <li>Networking and collaborating with other compliance experts in the Group, taking a lead on certain compliance initiatives and sharing best practices;</li> <li>Caring out risk assessments and compliance reviews to ensure policies and procedures are being followed;</li> <li>Monitoring and testing policies and procedures to ensure they result in compliance;</li> <li>Recommending the initiation of investigative procedures in response to alleged violations of the law, policies, procedures, and the Code of Conduct and other relevant regulations;</li> <li>Providing guidance on the effective response to detected problems and proper recommendations for corrective action as appropriate;</li> <li>Carrying out periodic evaluation of the company compliance programs and proposing appropriate changes and improvements that reflect the company's unique characteristics;</li> <li>Building and maintaining the compliance mindset in the organization, ensure that all employees are properly trained, and aware how they should raise the compliance questions;</li> <li>Governing the responsibility to report misconduct and noncompliance, reporting pathways and ensuring the implementation of non-retaliation policies;</li> <li>Liaise with legal and regulatory bodies on compliance-related issues;</li> <li>Providing guidance, advice, and training programs, to improve understanding of law, policies, procedures, and the Code of Conduct and other relevant regulations and participating in relevant Committees.</li></ul>If you have: <ul> <li>Master's degree (required): preferably in law, risk management, finance or a related field;</li> <li>At least 5 years of compliance experience required; preferably with legal, audit, risk management, FMCG or finance;</li> <li>Experience in the risk management, medical, pharmaceutical, or life sciences industry (as an advantage);</li> <li>Very good command of Polish and English;</li> <li>Demonstrated experience prioritizing conflicting demands from multiple business functions and handling heavy workload in a fast-paced environment;</li> <li>Strong interpersonal influencing and negotiation skills, and proven ability to communicate and work with all levels of the organization;</li> <li>Excellent critical thinking skills; ability to work through complex issues, including those with significant strategic risk to the company;</li> <li>Proficiency in business software (including Microsoft Office) and compliance management tools.</li></ul>What we offer: <ul> <li>Competitive salary; </li> <li>Private healthcare;</li> <li>Life insurance;</li> <li>Pension plan above national standards;</li> <li>Additional free day;</li> <li>A hybrid work model, allowing flexibility between home and on-site work;</li> <li>and more..</li></ul>Why you should work with us Contact us <a href="mailto:career@polpharmabiologics.com" target="_blank">career@polpharmabiologics.com</a>

Overview The Information Technology Compliance Manager will be responsible for leading and performing tasks for compliance programs, including Sarbanes Oxley (SOX) IT General Controls (ITGCs), and any future programs/initiatives as identified to support business compliance needs (e.g., SOC2). The IT Compliance Manager will leverage compliance frameworks to develop and maintain the risk and controls repository and lead control assessments. He/she will plan assessments, assess control operation/ design effectiveness, work with control owners and stakeholders to review findings, develop strong recommendations to improve the internal controls environment, effectively report assessment results to management, and track agreed management actions and status. This position will require reporting into the San Juan Capistrano Office 4 days a week. Responsibilities <ul><li>Partner with accounting team, IT applications and infrastructure teams, and internal and external audit partners to manage SOX compliance, including audit preparation, internal audit, and external audit</li><li>Manage direct reports effectively with little supervision</li><li>Manage ITGC narratives, with focus on simplification and automation of controls and evidence gathering</li><li>Administer an effective compliance program by understanding and applying relevant frameworks</li><li>Plan and conduct controls assessments per established timelines</li><li>Maintain IT Risk Control Matrix and other IT compliance artifacts</li><li>Work on projects to support implementation of IT control / compliance requirements for new applications across the IT layers</li><li>Provide timely and complete communications with IT management and relevant stakeholders of assessment status and findings</li><li>Ability to work on multiple projects, balancing a mix of resources, due dates, and requirements</li><li>Develop and foster effective working relationships within IT and across divisions</li></ul>Qualifications <ul><li>Bachelor's degree in information technology, computer science, or related field is required</li><li>5+ years' experience in IT compliance or related role, preferably in public companies</li><li>Experience with IT compliance frameworks, e.g., SOX, PCI-DSS, NIST, ISO</li><li>Knowledge of risk management and developing/implementing mitigation strategies</li><li>Strong analytical skills and attention to detail</li><li>Strong communication skills for effective collaboration across multi-functional teams</li><li>Relevant certifications preferred</li></ul>ABOUT EMERALD Emerald's talented and experienced teams grow our customers' businesses 365 days a year with products that create connections, deliver content, and drive commerce. We produce over 140 annual events, create and deliver content through print and digital channels, and power commerce through our seamlessly integrated in-person and digital platforms and channels. For more information, please visit <a href="http://www.emeraldx.com" target="_blank">http://www.emeraldx.com</a>. At Emerald, we strive to foster a diverse and inclusive community. We actively recruit and champion candidates who bring new perspectives from varied professional backgrounds and experiences, and we are intentional about ensuring a positive hiring experience for everyone. Our job postings don't contain experience inflation, and most don't require college degrees. Instead, they're crafted to focus on outcomes and transferable experiences that are assessed in a structured interview process carried out by trained hiring teams. COMPENSATION &amp; BENEFITS Target Compensation: $130,000-$140,000 (Bonus Eligible) Please note that this range reflects a reasonable estimate of the target compensation for this position. This range may ultimately vary based on a candidate's qualifications and may be higher where required by applicable law. We offer a competitive benefits package designed to strengthen our employees' physical and mental health, including unlimited vacation for exempt employees, flexible working locations, 401(k) plan with a company match, medical/dental/vision coverage with inclusive provisions including transgender services and fertility benefits, parental and caregiver leave, dependent, commuter and FSA benefits, professional development programs like Toastmasters, and mental wellness tools such as weekly guided meditation programs. If you need accommodation in our application process or have questions about our posted salary range, please email our Talent Acquisition team at <a href="mailto:Careers@EmeraldX.com" target="_blank">Careers@EmeraldX.com</a>.

IT Compliance Manager

Compliance Manager Richmond, London Welcome to Craft Distilling Group. Who we are We are a dynamic and rapidly growing group, with 4 main entities - Whiskey &amp; Wealth Club, Craft Irish Whiskey Co., Le Portier and Boha. Here at Craft Distilling Group, we look for people who are driven, self-starting and want to be part of something special. We are now looking for a Compliance Manager to join us in our UK HQ in Richmond, London. You will join our Operations team, supporting the UK, USA, Australia and Ireland. You will be an experienced Compliance Manager ensuring our The Craft Distilling Group adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. You will manage the Regulatory Compliance and Financial Crime programs and team members for all companies within the CDG Group. Craft Distilling Group is an international entity, with sites in the UK, USA, Australia currently, with a view to expanding in the future. The key objective of the role is to ensure that the firm complies with its legal and regulatory obligations. What you will do <ul> <li>Provide remediation/mitigation plans, strategies and advise of potential new/emerging Compliance risks that require senior management attention. This interaction should be made through a series of management routines as well as the Annual MLRO and Regulatory Compliance Reports and Risk Assessments that will be presented to all key stakeholders.</li> <li>Evaluate the efficiency of workflows and improve them continuously</li> <li>Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues</li> <li>Own the KYC Compliance process</li> <li>Draft, modify and implement company policies and training materials</li> <li>Collaborate with internal legal counsel and HR departments to monitor enforcement of standards and regulations</li> <li>Assess the business's future ventures to identify possible compliance risks</li> <li>Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control</li> <li>Prepare reports for senior management and external regulatory bodies as appropriate</li> <li>Assume the role as primary point of contact with regulatory bodies and government agencies on all Regulatory Compliance and Financial Crime matters in connection with both legal entities.</li> <li>Training (or arrange training) staff in AML KYC checks</li> </ul>Who you are You will ideally have a background in the world of investment, but we are open to different industries. <ul> <li>Excellent interpersonal and communication skills</li> <li>In-depth knowledge of the industry's standards and regulations</li> <li>Excellent knowledge of reporting procedures and record keeping</li> <li>Methodical and diligent with outstanding planning abilities</li> </ul>How we work We are based in the office 5 days a week; we are a social bunch and have created a unique vibe in the office. For any queries or comments, please contact <a href="mailto:careers@craftdistillinggroup.com" target="_blank">careers@craftdistillinggroup.com</a>

Job Description The International Trade Compliance Manager will support all facets of import/export trade operations and projects for Fanatics International and will partner with key stakeholders within supply chain, finance, logistics, operations and other areas. Responsibilities <ul> <li>Act as a point of reference, with all the fanatics HUBS globally, to ensure proper and accurate documentation is being transmitted for customs clearance purposes</li> <li>Assign proper UK commodity codes for all imported merchandise into the UK and EU. Responsible to assign proper US HTS and/or UK commodity codes for all export </li> <li>Manage daily import/export operations compliance activities </li> <li>Create and maintain a UK item database</li> <li>Analyse any possible savings program within the UK or EU</li> <li>Develop and maintain an a Customs Compliance Program to support the international business</li> <li>Work closely with 3rd party service providers to enhance, implement &amp; maintain standard operating procedures</li> <li>Partner with sourcing, finance, logistics, and other internal and external cross-functional partners</li> <li>Conduct periodic reviews and audits of UK Customs Broker activities and KPIs</li> <li>Manage a diverse workload which may include changes in priorities and responsibilities</li></ul>Requirements <ul> <li>Strong knowledge of import/export operations </li> <li>Ability to act with a sense of urgency and in a fast-paced environment while maintaining high compliance, due diligence, and attention to detail</li> <li>Strong leadership and influencing skills with the ability to engage at all levels of internal and external organizations</li> <li>Proven ability to think and perform strategically </li> <li>Strong written and verbal communication skills</li> <li>Self-motivator who can work independently and in small team/cross functional environments</li> <li>Bachelor's degree preferred</li> <li>+3 years of experience with apparel classification </li> <li>8 years of experience in international trade or similar regulatory environment</li> <li>Track record of building new ways of thinking, developing and implementing processes, process improvement, and leading change</li> <li>Proven ability to work cross functionally, cross culturally, with virtual teams to build strong relationships</li></ul>We are an equal opportunity employer and celebrate diversity and inclusivity at Fanatics. Our commitment to inclusion drives us forward every day; across all races, gender, gender identities, age, sexual orientation, religion &amp; spiritual beliefs, neurodiversity, disability and all identities of our people both current and future. If you have any requirement(s) for reasonable accommodations to participate in the job application or interview process, and/or to perform essential job functions, please contact us.

International Trade Compliance Manager

About Forma The market for employee benefits is broken. Companies spend millions annually on employee benefits that employees neither value nor regularly use. Founded in 2017, Forma set out to build a better model by challenging traditional one-size-fits-all approaches. Forma's flexible benefits software helps companies offer competitive benefits packages while reducing costs and inefficiencies, by giving employees more choice and flexibility in how they spend their benefit allowances. The platform also saves HR professionals countless hours managing and supporting various point solutions. Using Forma, companies can select from a suite of products that include Lifestyle Spending Accounts, Health Spending Accounts, Health Reimbursement Arrangements, Flexible Spending Accounts, and more to design and deliver customized benefits programs-all through a single platform. Employees then have three choices to spend account funds: The Forma Store with discounted products and services, The Forma Visa Card, or claim reimbursement backed by Forma's world-class member support team. Forma has helped hundreds of the world's most admired companies, including Stripe, Zoom, Lululemon, and Affirm, design and support flexible, inclusive benefits programs for nearly a million employees. And, we are seeing great success with 98% customer retention, 75 NPS, and 98 CSAT ratings from members. Forma is backed by Emergence Capital and Ribbit Capital and has received numerous awards for its exponential growth, its software innovation, and as a "Great Place to Work." About the Role The Compliance Officer will design and execute Forma's compliance function to meet bank and regulatory requirements, and to support Forma's future growth and product innovation. You will design, implement, and manage core elements of a robust regulatory compliance program. This will involve developing a roadmap for implementation of initiatives, ensuring all key stakeholders are brought into the delivery plan, and managing delivery in an agile and risk-based manner. You will manage Forma's policies and procedures , and serve as the BSA officer for external responsibilities. This is a player-coach role with a future opportunity to expand and lead the compliance team. You Will <ul><li>Design and implement policies and procedures to ensure compliance with the BSA, Anti-Money Laundering (AML) laws, and other regulatory requirements.</li><li>Establishing a comprehensive compliance program that includes risk assessments, training, and monitoring.</li><li>Monitor transactions for suspicious activities that could indicate money laundering, terrorist financing, or other illegal activities.</li><li>Provide UAR (Unusual Activity Reporting) to banking partners for possible SAR filings</li><li>Provide training on BSA/AML regulations and the institution's policies and procedures.</li><li>Conduct regular audits and independent testing of the BSA/AML compliance program to ensure its effectiveness.</li><li>Act as the primary point of contact with regulatory bodies and banking partners regarding BSA/AML issues.</li><li>Maintain comprehensive records of compliance activities, including training, audits, reports, and any actions taken in response to suspicious activities.</li><li>Conduct periodic risk assessments to identify and assess the institution's vulnerabilities to money laundering and financial crimes.</li><li>Report to senior management and the board of directors on the status of the BSA/AML compliance program.</li></ul>Preferred Skills <ul><li>A deep understanding of the Bank Secrecy Act, Anti-Money Laundering (AML) laws, USA PATRIOT Act, and other relevant regulations and guidelines.</li><li>Awareness of global AML standards, such as those set by the Financial Action Task Force (FATF).</li><li>Ability to analyze complex data, identify patterns, and detect unusual or suspicious activity.</li><li>Proficiency in using compliance and transaction monitoring systems.</li><li>Strong attention to detail to ensure accurate reporting and documentation.</li><li>Ability to scrutinize transactions and customer behavior for signs of potential non-compliance.</li><li>Excellent written and verbal communication skills to clearly convey compliance requirements and findings to various stakeholders.</li><li>Ability to provide training and education to staff on BSA/AML topics.</li><li>Aptitude for identifying compliance issues and developing solutions to mitigate risks.</li><li>Critical thinking skills to address complex regulatory challenges.</li><li>Familiarity with financial compliance software and systems used for transaction monitoring and reporting.</li><li>Basic understanding of data analysis tools and techniques.</li><li>Ability to conduct risk assessments and develop risk mitigation strategies.</li><li>Understanding of the risk landscape related to money laundering and financial crimes.</li></ul>Preferred Experience <ul><li>5-7 years of experience in a compliance role, preferably within the financial services industry.</li><li>Prior experience specifically in BSA/AML compliance or financial crime prevention is highly desirable.</li><li>A bachelor's degree in finance, business administration, law, or a related field</li><li>Advanced degrees or certifications, such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM)</li><li>Experience working with regulatory agencies or within regulated industries.</li><li>Experience managing compliance teams or projects, including training and mentoring junior staff.</li><li>Experience conducting audits, investigations, or assessments related to financial compliance.</li></ul>Benefits and Perks <ul><li>Remote-first working environment</li><li>Medical, dental and vision insurance plans</li><li>Employee wellness program</li><li>One-time home office stipend</li><li>401(k) savings plan</li><li>Flexible PTO policy</li><li>12 weeks Parental Leave + 4 additional weeks for the Birthing Parent</li></ul>At Forma, we value diversity, and always treat all employees and job applicants based on merit, qualifications, competence, and talent. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Duties and responsibilities may not all be covered in the description, or may change over time at the discretion of Forma. You're encouraged to apply even if your experience doesn't precisely match the job description. Your skills and passion will stand out-and set you apart-especially if your career has taken some extraordinary twists and turns. At Forma, we welcome diverse perspectives, and people who think rigorously / aren't afraid to challenge assumptions. Join us!

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