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About Bits: Bits is a Y Combinator backed fintech startup that helps people build credit with its flagship credit card product. Regulated by the FCA. Role Description: This is a full-time on-site role for a Senior Compliance Analyst in London. The Senior Compliance Analyst will report to the Founder/CEO, and will be responsible for ongoing monitoring of our systems and controls. This role will also be responsible for preparing monthly compliance reports and leading ongoing remediation projects where needed. Requirements <ul> <li>10+ years in legal or compliance roles, ideally at startups and in fintech</li> <li>Willingness to work hard and get things done</li> <li>Proven track record of exceptional achievment </li> <li>Strong written and verbal communication skills </li> <li>Practical mindset and ability to solve problems</li> </ul>Benefits <ul> <li>A competitive market salary</li> <li>28 days holidays/ year incl. UK/ England public &amp; bank holidays</li> <li>Private Healthcare plan </li> <li>Pension Plans</li> </ul>

Senior Compliance Analyst

ABOUT ZENOBE Our goal is to make clean power accessible, to accelerate the shift to zero carbon power and transport. We're building and operating the world's most sophisticated battery systems to enable the uptake of more renewable power and accelerating fleet electrification, de-risking the transition to zero-emission transport at scale. We've been consistently innovative since we were founded in 2017, achieving major industry firsts and using proprietary software and data analysis to optimise operational performance for our customers. At the end of their life, we repurpose electric vehicle batteries to provide clean power at depots, on construction sites and film sets. Today we have 730 MW of grid scale battery storage operational and under construction and are the largest owner and operator of EV buses in the UK, Australia and New Zealand, supporting over 1,000 electric vehicles worldwide. In our first five years we have raised nearly £1.8 billion in funding and have expanded into other markets such as the US. Our rapidly growing company is looking for highly talented and motivated people to join us. THE OPPORTUNITY We are currently hiring for a role to support the market access and settlement processes for our grid scale battery assets as part of the Network Infrastructure team. The role will be supporting the Network Infrastructure business division providing expert advice on BSC registration activities, National Grid ancillary service market access as well as the operational management of the settlement processes that underpin the commercial success of our pipeline of grid scale battery assets. The role will manage the day-to-day settlement processes for our current portfolio across balancing services and trading markets. The role includes liaising with clients and other external stakeholders, including route-to-market providers, suppliers, National Grid, Elexon and Ofgem. A TASTE OF THE DAY TO DAY Grid Code &amp; Balancing and Settlement Code (BSC) Registrations <ul> <li>Lead the market entry process of BSC accession and BMU registration for new battery storage assets, ensuring all regulatory requirements are met. </li> <li>Maintain ongoing compliance with the BSC code, including regular reporting and documentation and registrations for existing our operational portfolio.</li> </ul>Electricity Settlements <ul> <li>Manage the daily, monthly, and ad hoc settlement processes for all electricity market transactions, including route-to-market agreements, imbalance, capacity market payments, and ancillary services revenues.</li> <li>Monitor and manage and report on credit cover requirements, ensuring optimal levels are maintained to minimise costs while meeting market obligations.</li> </ul>Stakeholder Engagement <ul> <li>Build trusted relationships and act as a liaison between the company and National Grid, Elexon, route-to-market providers and other industry participants to resolve settlement discrepancies and disputes. </li> <li>Act as a single point of contact for Elexon queries, pulling together information from across Zenobe. </li> <li>Participate in meetings, forums, and training sessions provided by National Grid and Elexon to stay updated on market developments and changes in settlement processes.</li> </ul>Reporting and Analysis <ul> <li>Analyse settlement data to identify trends, inefficiencies, discrepancies, asset performance issues and opportunities for cost savings or revenue enhancement. Provide insights and recommendations to internal stakeholders.</li> <li>Support internal audits and external regulatory reviews related to settlement activities. </li> <li>Support REMIT reporting setup for new build storage assets and ensure requirements are understood by internal stakeholders. </li> </ul>Process Improvement <ul> <li>Develop and implement process improvements for settlement operations, including automation and system enhancements. Ensure processes are scalable and can keep up with the planned business growth.</li> </ul>Health and Safety <ul> <li>Actively contribute to Zenobe's commitment to health and safety, wellbeing and sustainability by; integrating these principles into daily responsibilities, ensuring a safe and supportive work environment, promoting both the physical and mental health of self and colleagues, and adopting sustainable and energy-efficient practices to minimize environmental impact. By doing so, each employee at Zenobe plays a vital role in fostering a culture that prioritises overall safety, holistic wellbeing, environmental sustainability in our business operations. </li> </ul>WHAT WE'RE LOOKING FOR We realise that certain groups of people are less likely to apply for a role if they don't meet 100% of the job requirements. To be absolutely clear: if you like the look of this job and think you could do it well, we encourage you to apply with a CV that highlights your transferable skills and experience. Above all, Zenobē is looking for collaborative, flexible, empathetic people who are interested in creating and promoting practical routes to a zero carbon world. <ul> <li>A genuine passion in clean energy and our social and environmental mission.</li> <li>Excellent communication and interpersonal skills with experience in developing others to build subject matter expertise and capability within a team. </li> <li>Thorough understanding of the GB energy market, in particular Elexon and BSC settlement processes. Experience with BSC accession and compliance processes is highly desirable.</li> <li>Familiarity with National Grid and Elexon operations, systems, and reporting requirements.</li> <li>Strong analytical skills with attention to detail.</li> <li>Education: Bachelor's degree in Finance, Economics, Engineering, or a related field.</li> <li>3 to 5 years of relevant previous experience. </li> </ul>WORKING AT ZENOBE We're passionate about sustainability and are proud to offer Team Zenobē a pioneering and collaborative working environment. We encourage our people to take ownership of their career progression and celebrate those that can think outside the box. If you'd like to join our community of likeminded people hit the apply button now, we'd love to hear from you! WHAT WE OFFER Charge your career at Zenobē and receive <ul> <li>Up to 25% annual bonus for being awesome </li> <li>25 days holiday, plus bank holidays </li> <li>Private Medical Insurance </li> <li>£1,500 training budget per year, to ensure you grow as we do </li> <li>EV Salary Sacrifice Scheme </li> <li>Pension scheme, up to 8% matched contributions </li> <li>Enhanced parental leave </li> <li>Cash back health plan </li> <li>Plus more </li> </ul>Lots of our people work flexibly in many different ways, including part-time, flexitime and hybrid working. We can't promise to give you exactly what you want, but please talk to us about the flexibility you need and let's see how we can make it work. OUR APPROACH TO DIVERSITY AND INCLUSION Our people are our strongest asset and the key determinant of our success, and we value a range of skillsets and perspectives. As an equal opportunity employer, we do not discriminate on the basis of any protected attribute. We work to provide equal opportunities and an inclusive work environment, where everyone is fairly treated in the application process and through their career at Zenobē. If there are any adjustments that would help improve your experience with Zenobē, please let us know when you apply Team Business Development - NI Locations London Office Remote status Hybrid Remote Employment type Full-time

Senior Settlement & Compliance Analyst

At Honda we embrace inclusion in our various policies, so whilst our contracts state that the hours are as required to fulfil the role with a minimum of 35 hours per week, we offer flexibility for when you work. The regular office hours are 08:00 - 16:00 Monday to Thursday with a half hour lunch break &amp; 08:00 - 13:00 on a Friday. However, we offer flexibility of when you work with our daily flex-time start of between 07:00 and 11:00 providing that there is no business requirement. Whilst there is no contractual right to work from home, the flexibility we offer is that you can request to work from home for a maximum of 50% of the working days in any one month, again providing there is no business requirement to attend the office. Role: The role will be within the Honda Finance Europe Risk and Compliance Department providing second line of defence to the business and reporting into the Head of Risk and Compliance. Responsibilities will include associate management, regulatory compliance advisory, risk management, internal and external audit activity and providing and maintaining up-to-date risk assessments and risk registers across the business. Main Responsibilities: <ul> <li>Manage and deliver the operational Compliance and Risk function to ensure HFE meets all regulatory requirements and guidance through the ongoing review of existing processes, procedures and controls and enhancement of changes where required.</li> <li>Maintain knowledge of ongoing regulatory change including the impact on HFE and the oversight of the production of timely briefing notes to senior management and business areas as required. </li> <li>Provide day to day advice and guidance to the business on technical compliance matters. </li> <li>Be responsible for the continual embedding of compliance policies, procedures and framework which require close collaboration with or execution by the business and in particular, Consumer Duty.</li> <li>Oversight of the annual Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns.</li> <li>Deputise for the Head of Risk and Compliance and act as a designated contact point for the Financial Conduct Authority.</li> <li>Oversight for ensuring all annual and ad hoc regulatory reporting obligations are satisfied and completed by their due date.</li> <li>Design, implement and embed an operational risk and control framework across the business.</li> <li>Guidance and oversight for the 1st line of defence to ensure that the appropriate controls and QA are in place across the operational business.</li> <li>Working with HFE business units to deliver good customer outcomes across all daily activities.</li> <li>Design and deliver training, to embed activity across the business that will strengthen control understanding and implementation.</li> <li>Co-ordinate the production of regular, accurate and timely Management Information and act as deputy chair of the Risk and Compliance Committee.</li> <li>Assist in the collation of reports where necessary to the wider HME group, including a Compliance Report for the Board of Directors.</li> <li>Conduct compliance risk assessment processes to detect process gaps and inconsistencies.</li> <li>Supervise the workload of the Compliance Department and be responsible for the management and personal development of the Compliance Associates.</li> <li>Have oversight of Compliance Breaches and Operational Incidents including managing escalation and reporting as required.</li></ul>Qualifications, skills and experience required: <ul> <li>Ability to assess whether the application of regulatory rules and standards is appropriate.</li> <li>Strong Regulatory Knowledge to ideally include: CONC, PRIN, SYSC, DISP, SUP</li> <li>Ability to provide accurate and concise advice to the business.</li> <li>Strong analytical skills.</li> <li>A strong communicator, able to build key relationships both internally and externally.</li> <li>Ability to interpret regulatory rules and guidance as they apply to HFE.</li> <li>Ability to develop and effective operational risk programme.</li> <li>Be able to demonstrate a highly organised accurate approach to work. </li> <li>Good knowledge and use of Microsoft office programs and IT environments.</li></ul>Honda is committed to the principle of equal opportunity in the workplace for all employees, temporary workers, contractors, applicants and visitors. Honda also encourages respect for the individual differences and talents of others while making full use of one's own abilities, based on Honda's philosophy of respect for the individual. At Honda, we value and celebrate diversity and are committed to being a fair, non-discriminatory company that promotes and welcomes the uniqueness and differences of people around the world. We recognise that a diverse workforce allows for different ideas and perspectives, and we encourage everyone to share them. We strive to foster a culture of belonging that is consistent with Honda's core values and lived out in the way we work and respect each other. For us at Honda, diversifying our workforce means increasing its overall strength by providing people with equal opportunities - regardless of personal characteristics or previous careers. This commitment flows directly from the Honda philosophy and the belief that we are all working towards a common goal. Honda recruits, hires, trains and promotes the most qualified/experienced individuals at all levels without regard to race, origin, religion or belief, gender, sexual orientation, age, disability or any other protected characteristic.

Contract - Compliance & Risk Department Manager

Great opportunity for an AML Risk and Compliance Analyst to join our team in Sheffield on a 12 month Fixed Term Contract. We offer hybrid working for this role. About us CMS is a Future Facing firm with more than 70 offices in over 40 countries and 5,000+ lawyers worldwide. We combine deep local market understanding with a global perspective. We are passionate about building strong relationships with our clients, our people, and the communities we work in. We take a bold, dynamic, and agile approach to ensure our clients are able to face the future with confidence. We are driven by technology and readily embrace the possibilities it opens up for developing new and better ways of working. Our aim is to inspire, impact and support our clients and our people, helping them to maximize their potential and thrive. About the Role In this role, you can expect to get involved in a variety of work including: • Conduct client due diligence (CDD) on new and existing clients and matters from an AML, sanctions and reputational risk perspective; • Undertake client and matter risk assessments considering the client's jurisdiction, legal, regulatory position and commercial activities, among other risk factors; • Administering company searches on all new client engagements determining if there is a PEP, sanction or negative media/press issue identified; • Take ownership of all stages of the AML workflow process and escalate any issues as necessary to senior members of the team; • Managing the client information held on the firm's finance system in order to ensure that the information held is accurate; • Handling enquiries from fee earners and staff regarding new client forms and client data held on the firm's finance system, and general regulatory and compliance enquiries as required About You We will invest in your ongoing training and development to support your professional goals and help you to thrive in your role from day one. Our opportunities are open to all suitably qualified applicants, so to be considered for this role you must meet the following skills and experience: -Degree educated but this isn't essential. -Strong desire to learn and develop within the Risk and Compliance Industry along with excellent attention to detail and accuracy. -Good time management skills to prioritise workloads and the ability to multi-task. -Excellent verbal, written and face-to-face communication skills and the ability to take a practical, common-sense approach to resolve issues would be an advantage along with the ability to analyse, research and make informed decisions. -An ambassador for CMS, professional in outlook and attitude What's in it for you? We want to reward you today and help you plan for tomorrow. We appreciate that everyone is different, therefore we have designed a benefits system that offers choice and flexibility based on individual needs and lifestyles. To name just a few, these include: <ul><li>Competitive basic salary (reviewed annually)</li><li>Flexible, hybrid working policy</li><li>Generous bonus scheme</li><li>Up to 25 days holiday (rising to 28 days with service)</li><li>Holiday exchange scheme</li><li>Private medical insurance</li><li>Enhanced parental leave</li><li>Reasonable adjustments and accommodation for disabled talent in accordance with the Equality Act 2010</li></ul>If you would like to read more information regarding our range of benefits please visit our Rewards &amp; Benefits page on our website. Equal Opportunities At CMS, we place diversity and inclusion at the centre of our culture and at the heart of our organisation. Not only does it make our firm a more rewarding place to work, but it also creates a stronger, more successful, and sustainable business where everyone feels comfortable and welcome. We are a Disability Confident Employer, and we actively encourage applications from people with disabilities, whether visible or invisible. We are committed to promoting equality of opportunity as well as recruiting, retaining, and developing disabled talent at CMS. If you have a disability, or if you would like to discuss any accessibility requirements or adjustments for the recruitment process, please contact Ruth Kavanagh at <a href="mailto:TalentAcquisition@cms-cmno.com" target="_blank">TalentAcquisition@cms-cmno.com</a> who will be happy to support you. Ready to apply? Here are the next steps. We look forward to receiving your application via our CMS Careers site. Please contact our Talent Acquisition team if you have any questions. Please note that we have a preferred agency panel in place. Only applications submitted via the portal at the point of instruction will be accepted. #LI-MM1

AML Risk & Compliance Analyst, 12m FTC Maternity Cover

We are seeking an experienced Compliance Officer to join our fast-growing London Office. At IMC, the Compliance Officer enjoys a unique opportunity to work closely with our Trading, Legal, Risk and Technology teams, by providing expert compliance support to IMC's FX and Commodity Options business. You will add value in playing a crucial role by ensuring our business operates and grows safely in accordance with exchange rules, regulations, and laws. You will be combining operational experience with regulatory knowledge to improve our compliance framework and monitoring processes. We are looking for someone with a critical, proactive and hands-on approach, who is keen to work with various in-house built and external systems and diverse data sets. The Compliance Officer will report directly to the UK's Head of Compliance. Your Core Responsibilities: <ul><li>Providing compliance advice to IMC's FX and Commodities traders;</li><li>Monitoring our daily trading activity and communications surveillance;</li><li>Investigating and responding to inquiries from exchanges and regulators;</li><li>Managing the daily transaction reporting processes, such as MiFIR and EMIR;</li><li>Interacting with exchanges to ensure correct trading registrations;</li><li>Conducting compliance, anti-money laundering and market abuse risk assessments, and implementing key controls;</li><li>Analysing business development projects and building strong compliance frameworks;</li><li>Assisting with delivering Compliance training to IMC employees;</li><li>Collaborating closely with other IMC global compliance teams.</li></ul>Your Skills and Experience: <ul><li>5+ years of compliance experience in derivatives markets;</li><li>Strong knowledge in FX and Commodity derivative trading rules;</li><li>Experience in OTC/algorithmic trading compliance, and surveillance practices;</li><li>Excellent understanding of UK trading rules and regulations;</li><li>Knowledge of US listed derivatives is also a plus (CME, ICE, OCC);</li><li>Strong analytical and communication skills;</li><li>Self-driven, fast learner and ability to perform successfully in a fast-moving environment;</li><li>Process minded and ability to drive improvements in IMC's control framework.</li></ul>About Us IMC is a leading global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we've been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, and Asia Pacific, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.

Compliance Specialist- London

Are you ready to play a key role in ensuring regulatory compliance? The Ballinger Group in London is seeking a talented and motivated AML &amp; Compliance Specialist to join our team. As a vital member within the Ballinger Group, you will be at the forefront of ensuring our firm remains fully compliant with client onboarding regulatory requirements and the compliance lifecycle. About Ballinger Group: At Ballinger Group we specialise in providing Foreign Exchange Risk Management and Trading Services to Financial Institutions and corporate clients worldwide. Our expertise and insights enable us to navigate the global currency markets with confidence. As a well-capitalized firm with significant purchasing power, we offer flexible and straightforward FX solutions, giving our clients a crucial competitive advantage. Our commitment to delivering a superlative level of service is backed by the professional expertise of our team, state-of-the-art technology, and a lean and competitive approach. Why Join Us? At Ballinger, we pride ourselves on maintaining a best-in-class experience for our customers. We value positive and respectful interactions with stakeholders and colleagues, while upholding trust, integrity, and regulatory compliance at every step. As a member of our team, you will have the opportunity to grow both professionally and personally, leading the way as we achieve new levels of success together. We believe in staying up to date with industry best practices and encourage knowledge-sharing to foster a culture of continuous improvement, we also invest in our staff members and sponsor additional education. Requirements As an AML &amp; Compliance Onboarding specialist, your responsibilities will encompass: <ul> <li>Gathering and analysing customer information to complete the KYC (Know Your Customer) process.</li> <li>Verifying the identity of clients using prescribed documentation and processes.</li> <li>Collecting necessary documents from new clients and ensuring all data is accurate.</li> <li>Approving or rejecting applications based on the company's compliance policies.</li> <li>Keeping up to date with regulatory changes and requirements related to KYC procedures.</li> <li>Communicating with clients to obtain missing documentation or data.</li> <li>Updating and maintaining client records in the company's database.</li> <li>Conducting risk assessments on new clients.</li> <li>Assisting with internal audits and regulatory inquiries.</li> <li>Providing regular reports to management about the onboarding process.</li> <li>Collaborating with other departments like sales and customer service to ensure efficient onboarding.</li> <li>Coordinate and assist in the update of policies and procedures in accordance with the relevant laws and regulations.</li> </ul>Enhanced Due Diligence (EDD) <ul> <li>Conducting in-depth reviews of high-risk customers and transactions.</li> <li>Gathering additional customer information to establish their source of wealth and funds.</li> <li>Analysing customers' transaction patterns and behaviour for any suspicious activities.</li> <li>Liaising with customers to obtain necessary EDD information and documentation.</li> <li>Preparing and presenting detailed EDD reports to senior management.</li> <li>Collaborating with compliance and legal teams to ensure EDD procedures are up to date with regulatory changes.</li> <li>Conducting ongoing monitoring of high-risk customers and reporting any changes in risk levels.</li> <li>Escalating potentially suspicious activities to the appropriate internal teams for further investigation.</li> <li>Utilizing financial intelligence and customer data to inform EDD processes.</li> <li>Ensuring the confidentiality and security of customer information gathered during the EDD process.</li> </ul>Transaction Monitoring (TM) <ul> <li>Monitor the departmental queues for alerts on a regular basis throughout the working day ensuring management are aware of outstanding alerts at end of day</li> <li>Be familiar with the departmental systems/processes and their implementation</li> <li>Review transaction monitoring alerts in line with prescribed procedures:</li> <ul><li>Investigate the individual alerts to determine if there is a potential suspicious transaction involved</li></ul> <ul> <li>Follow the recommended standard investigation steps</li> <li>In addition, assess if there is anything else unusual about a transaction, particularly based on experience of previous transactions</li> <li>Assess the transaction in the context of previous transactions and the client's business/purpose of the account - if necessary review the client file</li> <li>Assess the relevance of the geographies of the remitter and beneficiaries of the transaction Where there are grounds for suspicion or a requirement for guidance in relation to an alert, escalate in line with the procedures</li> </ul> <li>Create and maintain accurate and concise records of all investigations undertaken including details on the rationale for any decisions made</li> <li>Seek to build an understanding of the profile of customers highlighted through the transaction monitoring alert process</li> <li>Assist with the preparation of departmental Management information reports</li> <li>Provide input to the maintenance of the departmental procedures</li> <li>Provide advice and support to the business units on the identification of areas of risk as a result of transaction monitoring trends</li> <li>Any other associated duties required from time to time to meet the departmental responsibilities and goals</li> </ul>Skills and Capabilities: To excel in this role, you should have: <ul> <li>Fluent in English.</li> <li>Experience working in AML/Compliance roles in the financial services industry, preferably within the investment services sector.</li> <li>Analytical mindset with exceptional problem-solving skills and keen attention to detail.</li> <li>Strong multitasking and prioritization capabilities.</li> <li>A constant willingness to improve and learn, staying proactive in staying up-to-date with industry trends.</li> <li>Knowledge of complex corporate structures and funds would be considered an asset.</li> <li>Familiarity with financial regulations affecting financial services firms and Malta Financial Services Authority rules would also be an advantage.</li> </ul>Benefits We offer a competitive salary package, which includes comprehensive benefits such as: <ul> <li>Health insurance coverage for you and your dependents</li> <li>Death in Service Cover</li> <li>Performance-related bonuses and incentives</li> <li>Professional development opportunities to support your growth</li> <li>A collaborative and inclusive work environment that values your contributions</li> </ul>If you are passionate about AML/Regulatory Compliance and making a positive impact in the financial services industry, we invite you to join us at Ballinger Group as our AML &amp; Compliance Specialist. Together, we will continue to drive growth and success while delivering outstanding results for our clients worldwide.

AML & Compliance Specialist

<ul> <li> Email </li> </ul>Our Commodities and Global Markets businesses provide risk management, lending and financing, and physical execution and logistics services across the energy, metals, and agricultural sectors globally. The division also offers commodity-based index products to institutional investors. As part of the Compliance Division within our Risk Management Group, this highly visible role acts to support this business area and provide compliance advice and support. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility As a Senior Manager you will actively participate in monitoring for regulatory changes on the horizon and implementation and ongoing guidance in respect of rules and regulations impacting the global Commodities and Global Markets business. You will also play a pivotal role in providing regulatory and compliance guidance to the equity derivatives and trading team. Specifically, you will work on key workstreams and cross-border issues, including set up of a new US entity and hold regulator engagement, drafting of compliance policies, ongoing Compliance program implementation and Chief Compliance Officer support. What you offer Press space or enter keys to toggle section visibility <ul><li>8-12 years' legal or regulatory experience across financial markets regulatory obligations applicable to physical and cash-settled derivatives, exchange-traded products, and financing/lending products </li><li>Significant experience in over the counter (OTC) derivative obligations, including U.S. Securities and Exchange Commission (SEC) security-based swap dealer and Commodities Futures Trading Division (CFTC) swap dealer obligations </li><li>Experienced in advocacy within industry forums, such as ISDA, FIA and SIFMA, and engagement with financial markets regulators and self regulatory organisations</li><li>Excellent relationship and communications skills, with ability to help drive regulatory compliant and commercially viable solutions </li><li>Ability to draft and maintain fit-for-purpose compliance policies, procedures, and controls, perform targeted compliance testing, and manage regulatory filings</li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About the Risk Management Group Press space or enter keys to toggle section visibility Our Risk Management Group works as an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. We are a global team that aims to manage the risks of today and anticipate the risks of tomorrow. Our divisions include compliance, credit, financial crime risk, internal audit, market risk, operational risk, aggregate risk and prudential, and central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

Regulatory Compliance Senior Manager | Commodities and Global Markets

We are looking for an IT Compliance Analyst to support the IT Compliance Manager and assist with the implementation and running of a best practice IT General Control Framework. This will deliver continual improvements in support of Audit and Risk management. As part of the Information Security team, a focus will be on the implementation, running, monitoring and reporting on effective security and other IT controls and processes. <ul><li>Work with the IT Audit &amp; Compliance manager in delivering a Controls Framework</li><li>Produce regular KPI reporting on IT Audit and Compliance activities and the overall programme's status</li><li>Own coordination of the ongoing compliance monitoring, awareness training and testing.</li><li>Coordinate, execute and oversee key controls and processes.</li><li>Track and manage continual improvement activities across IT Audit and Compliance programmes.</li><li>Assist in the definition, documentation and maintenance of security baselines, standards, policy and procedures in conjunction with relevant IT teams;</li><li>Maintain and take ownership of IT Audit Findings log and track actions to completion,</li><li>Provide expert assistance and consultancy to all other IT teams, in line with best practice and to meet business requirements;</li><li>Ensure any ad-hoc audit work required is completed in a timely manner;</li><li>Automate compliance checking of agreed standards, policy and controls;</li><li>Support the IT Production Heads in matters relating to IT &amp; Audit Compliance</li></ul>KEY SKILLS AND EXPERIENCE Essential <ul><li>Knowledge of applicable regulatory policies, standards, procedures and controls (ISO27001/SOC/MAS TRM/BAIT/CIS/NIST/Cyber Essentials etc.)</li><li>Understanding of IT standards, best practices for information and IT security and applicable laws and regulations.</li><li>Previous Experience in a Compliance, Risk Management, Internal Audit or External Audit role</li><li>Experience of working in a Regulated Environment (Financial Services)</li><li>Experience of Security controls, processes and governance desirable (e.g. access recertification)</li><li>Documenting, reviewing and reporting, must have excellent written communication skills and good experience of working with Microsoft Office</li><li>Competence using Excel, and IT tools, basic scripts to process information efficiently (e.g. csv data, comparisons, reporting)</li><li>Confidence to engage with audiences remotely (i.e. via Teams) as well as engaging face-to-face with smaller groups and senior stakeholders</li><li>Enjoys self-learning/teaching and problem-solving with a strong attention to detail</li><li>Some experience in environments where they are required to perform a wide range of types of tasks from week-to-week (e.g. start-up or small organisation experience) - perhaps looking to move into a larger organisation</li></ul>CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

IT Compliance Analyst

Responsibilities TikTok is the leading destination for short-form mobile video. At TikTok, our mission is to inspire creativity and bring joy. TikTok's global headquarters are in Los Angeles and Singapore, and its offices include New York, London, Dublin, Paris, Berlin, Dubai, Jakarta, Seoul, and Tokyo. "Why Join Us Creation is the core of TikTok's purpose. Our platform is built to help imaginations thrive. This is doubly true of the teams that make TikTok possible. Together, we inspire creativity and bring joy - a mission we all believe in and aim towards achieving every day. To us, every challenge, no matter how difficult, is an opportunity; to learn, to innovate, and to grow as one team. Status quo? Never. Courage? Always. At TikTok, we create together and grow together. That's how we drive impact - for ourselves, our company, and the communities we serve. Join us." TikTok's Content and Safety Compliance team is a European team responsible for independently assuring TikTok's compliance with its obligations under the Digital Services Act. The team has a critical role in leading change, monitoring compliance/assurance, risk management and the team supervises an independent external audit. The team will evolve to also play a role in monitoring compliance with other similar laws, such as the Online Safety Bill in the UK. The Team This is an exciting opportunity to join - and help to shape- a brand new area of compliance practice. New team members will work with colleagues in the EU and globally from TikTok's Trust and Safety, Product, e-Commerce, Advertising, Legal, communications and government relations teams. The team's core role is to partner with those teams to devise and lead on the implementation of compliance solutions, risk mitigation mechanisms, complex processes and continuous improvement plans. The Role The work of the time is highly visible internally and externally and will appeal to those who wish to be pioneers in translating world-leading new regulatory requirements into achievable compliance frameworks. We are hiring a number of roles at a number of levels to join the team in London and Dublin and we are flexible in building the team around individual strengths and desired areas of focus. Responsibilites - Monitor and report on risks and compliance with content and safety legislation including the Digital Services Act and the Online Safety Bill with a particular focus on obligations relating to e-Commerce - Implement a comprehensive programme of monitoring and oversight of all relevant obligations. - Provide key expertise to the team in the external audit of relevant obligations , including tracking remediation recommendations and activities - Develop and embed a strategic approach to risk and compliance in relevant cross functional teams. - Create and implement relevant policies and procedures. - Contribute to annual annual risk assessments and reporting and support on the assessment and documentation of risk, advise on and track remediation measures. - Support the Head of the function in establishing strong relationships with regulators such as the European Commission, Coimisiún na Meán and Ofcom. - Maintain an independent mindset and effectively challenge where necessary to achieve a robust second line of defence. - Advocate risk and compliance, champion a positive risk culture and help provide an appropriate 'tone from the top' on risk and compliance matters. Qualifications Minimum Qualifications - Minimum 5 years' experience in a compliance monitoring team, or internal/external audit team, ideally in a regulated environment, for example in a platform or marketplace or in financial services (this can include financial services experience in the EU or in the US e.g with SOX) - Track record of building and maintaining complex risk and control environments. - Experience building trust with regulators and strong working relationships with business teams. - Understanding of platforms and good knowledge of relevant legislative landscape. - Proactive self-starter, with the ability and willingness to take a lead on novel and complex regulatory requirements. - Have outstanding communication skills that allow you to interact with a wide variety of individuals. - Be a team player, be adaptable and willing to partner with teams from across the business Preferred Qualifications - Bachelor's degree and professional qualification in law, finance, compliance or similar discipline. - Experience in a regulated environment, for example in a platform or marketplace or in financial services (this can include financial services experience in the EU or in the US e.g with SOX). TikTok is committed to creating an inclusive space where employees are valued for their skills, experiences, and unique perspectives. Our platform connects people from across the globe and so does our workplace. At TikTok, our mission is to inspire creativity and bring joy. To achieve that goal, we are committed to celebrating our diverse voices and to creating an environment that reflects the many communities we reach. We are passionate about this and hope you are too.

Compliance Specialist/Senior Compliance Manager (Global Legal EMEA), London

Description Position at LeoVegas Group ABOUT THE ROLE As a Senior Technical Compliance Specialist you'll join a team of all rounders with various backgrounds but who share a unique passion for technology and compliance. You'll act as a second line of defense to ensure that the regulated product adheres to applicable laws, regulations and guidelines.. YOU WILL BE RESPONSIBLE FOR: <ul><li>Mastering product compliance requirements primarily for the Northern Europe and LatAm regions (e.g. Denmark, Sweden, Brazil), ensure that all the internal tools are up to date with the latest applicable version of the requirements and provide interpretation and guidance as appropriate;</li><li>Delivering technical requirements to the Product and Tech organisation and review designs against compliance;</li><li>Contributing to promoting a compliance culture within the organisation;</li><li>Being highly involved in technical audit activities;</li><li>Mentoring and managing team members as required;</li><li>Supporting and closely cooperating with the Compliance team to address findings and incidents,</li><li>Contributing to improving and consolidating the Compliance posture of the Group;</li><li>Supporting the internal teams with replies to technical compliance queries;</li><li>Monitoring and assessing changing requirements in new and existing markets and ensure timely analysis and announcements.</li></ul>OUR SUCCESSFUL CANDIDATE WILL HAVE: Essential skills: <ul><li>A degree in the STEM fields or any subject which can support the role</li><li>At least 3-4 years of relevant experience in the compliance space from the online gambling industry.</li><li>Expertise in relation to the technical implementation of regulatory compliance requirements</li><li>Understanding of the Agile methodology and Change management are a plus.</li></ul>Nice to have skills: <ul><li>Previous experience in regulatory reporting, and understanding of data models of Safe servers.</li></ul>WHO ARE WE? At the core of LeoVegas Group, is Team Leo. Our culture is our foundation and is what enables us to innovate, build, and lead as we trailblaze our way through the igaming industry. We're a team of over 1800 innovators, initiators, and groundbreakers working in a fast-paced and agile environment across 16 offices world-wide. BENEFITS <ul><li>Hybrid work policy</li><li>4 weeks of Workation (T&amp;C apply)</li><li>28 days paid leave + public/bank holidays in England</li><li>Matched pension contributions up to 6%</li><li>BUPA healthcare which covers pre-existing conditions plus a cash-back plan to support with dental, optical &amp; other treatments</li><li>250 GBP wellness contribution annually (T&amp;C apply)</li><li>Free onsite parking and complimentary snacks and drinks. We also serve breakfast on Mondays and lunch on Fridays.</li><li>Team and office social events throughout the year, which also include a quarterly team budget</li><li>Enhanced parental leave</li></ul> JOIN US! In our pride, we like to empower our teammates to find their roar and run with their wildest ideas. We don't wait around for things to happen, we pounce and make it happen! If you think you would be a good fit for the Leo pride - give us a roar! **As our company working language is English we'd like to see your CV in English please**

Senior Technical Compliance Specialist

The Role Department : Business Acceptance Unit Location : Manchester or London Role : Conflict and Compliance Analyst The Role You will be responsible for assisting partners and other members of Clyde &amp; Co with the new business inception process in line with legislation and regulatory requirements. This will include conflict of interest searches for legal and commercial conflicts, anti-money laundering processes for new and existing clients, on-going client monitoring, sanctions checks and other risk management procedures. Key Responsibilities Conflicts <ul> <li> Reviewing new client and matter forms ensuring satisfactory details are provided by the Case Handlers and querying instances where information is either incomplete or unclear. </li> <li> Analysing the new client and/or new matter to determine the risks associated with the instruction. </li> <li> Conducting conflict checks using the firm's conflict database paying close attention to sensitive entries in the firm's Black Book database. </li> <li> Analysing conflict search results and liaising with Partner/ Case Handler on the matters that may present a legal or commercial conflict. Obtaining relevant information on the matter, if required, in order to make a judgement call on whether a conflict or potential conflict is present. </li> <li> Escalating conflict issues to the Team Leaders, Head of BAU, Risk Lawyers and General Counsel as appropriate with clear analysis of the conflict and the conclusions reached so far. </li> <li> Proactively following up when seeking information or conflict resolution from other stake holders around the firm. </li> <li> Maintaining and updating the conflict search database as key information becomes apparent on existing matters. </li> <li> Assisting in the research and implementation of information barriers by working with the Risk Team as matters are created, safeguarding confidentiality at all times for the involved teams. </li> <li>Supporting the high volume business on matter inception, ensuring that conflict checks are carried out in a timely manner.</li> <li> Recording all conflict research, communication with stake holders and analysis and conclusion of the conflict resolution in the firm's client and matter inception software, for the purposes of compliance and auditing. </li></ul> Anti-Money Laundering <ul> <li> Researching, identifying and verifying new clients by using online data providers and any other online resources. </li> <li> Analysing and establishing the corporate structure for clients where relevant and tracing up to the ultimate beneficial owners. </li> <li> Advising Case Handlers on further details that are required from the client in the event that information is not available in the public domain or documentation is required on identified individuals. </li> <li> Researching and identifying PEPs and high risk clients by creating an online profile. </li> <li> Attributing a risk rating to the client and escalating the client to the Team Leader, Head of BAU where a decision needs to be made upon analysis of documentation and risk. </li> <li> Seeking sign off from MLRO's and Risk Partners when required and advising the Case Handlers on any steps that need to be taken to taken to mitigate the risks associated with the client. </li> <li> Assisting in the on-going monitoring for existing clients and updating Client Due Diligence for existing clients. </li> <li> Recording all AML documentation, communication and risk rating in the Client Risk Assessment section of the client and matter inception software, with a clear synopsis of how the client rating has been attributed stating any mitigating factors and follow up steps that need to be taken by the BAU or Case Handlers. </li></ul> Compliance <ul> <li> Maintaining technical knowledge, expertise and know how on the nature of the work each department undertakes in the Firm, conflicts, AML and sanctions. </li> <li> Screening all clients and matters for sanctions and escalating any adverse findings to the Risk Team and Sanctions Partners. </li> <li> Carrying out the conflict checking and client on-boarding process for lateral hires. </li> <li> Supporting junior members of the BAU Team on queries and training. </li> <li> Answering queries from Case Handlers and escalating urgent queries to the appropriate individual within the department. </li> <li> Assisting on the execution of projects as and when they arise. </li></ul> Essential Skills &amp; Experience <ul> <li> Knowledge of the SRA rules including conflicts of interests and knowledge of case law on conflicts of interest (Desirable). </li> <li> Knowledge of anti-money laundering legislation (Desirable). </li> <li> Strong MS Office. </li> <li> Meticulous attention to detail. </li> <li> Strong customer focus. </li> <li> Excellent communications skills. </li> <li> Strong spelling and grammar skills. </li> <li> Degree or other relevant qualifications (Desirable). </li> <li> Experience using Elite Enterprise or similar management systems (Desirable). </li> <li> Strategic thinker with commercial awareness. </li> <li> Service orientated: Recognising internal and external clients and the importance of service delivery. </li> <li> Ability to work as part of a team and using own initiative, manage own workload and adapt to changing priorities. </li> <li> Adaptable to new systems, procedures and requirements of role. </li> <li> Flexible approach: Willing to assist others in achieving team objectives. </li> <li> Confident dealing with senior management and ensuring service levels are adhered to. Well-disciplined and self-motivated. </li> <li> Ability to work well under pressure. </li> <li> Confident and proactive approach. </li> <li> Enthusiastic and positive attitude. #LI-HYBRID #LI-CG1</li></ul>Additional Documents JD Conflicts and Compliance Analyst (... Download

Conflicts and Compliance Analyst (London or Manchester)

Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at <a href="http://www.blackstone.com" target="_blank">www.blackstone.com</a>. Follow @blackstone on LinkedIn, Twitter, and Instagram. The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion. Blackstone is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state and local laws. This policy applies to all terms and conditions of employment, including but not limited to hiring, placement, promotion, termination, transfer, leave of absence, compensation, and training. All Blackstone employees, including but not limited to recruiting personnel and hiring managers, are required to abide by this policy. If you need a reasonable accommodation to complete your application, please contact Human Resources at 212-583-5000 (US), +44 (0)20 7451 4000 (EMEA) or +852 3656 8600 (APAC). Depending on the position, you may be required to obtain certain securities licenses if you are in a client facing role and/or if you are engaged in the following: <ul><li>Attending client meetings where you are discussing Blackstone products and/or and client questions;</li><li>Marketing Blackstone funds to new or existing clients;</li><li>Supervising or training securities licensed employees;</li><li>Structuring or creating Blackstone funds/products; and</li><li>Advising on marketing plans prepared by a sales team or developing and/or contributing information for marketing materials.</li></ul>Note: The above list is not the exhaustive list of activities requiring securities licenses and there may be roles that require review on a case-by-case basis. Please speak with your Blackstone Recruiting contact with any questions. To submit your application please complete the form below. Fields marked with a red asterisk * must be completed to be considered for employment (although some can be answered "prefer not to say"). Failure to provide this information may compromise the follow-up of your application. When you have finished click Submit at the bottom of this form.

2025 Blackstone Legal & Compliance - Compliance Analyst, London

Job Description In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity-not just answers-in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you'll contribute to a supportive and collaborative work environment that empowers you to excel. Through a combination of in-depth subject matter expertise, global research capabilities and flexible technology tools, the Compliance Risk and Diligence practice of Kroll helps clients take a risk-based approach toward meeting obligations or remediating failures regarding anti-bribery, anti-corruption and related regulatory mandates. These include pre-transactional intelligence; vendor, supplier and distributor due diligence; vendor management platform; leadership/executive vetting; sanctions screening and monitoring; country/industry risk; and bespoke inquiries. At Kroll, your work will help deliver clarity to our clients' most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll. RESPONSIBILITIES: Have an analytical mind and enthusiasm for research and investigation? Come join our thriving global team and work with Fortune 500 clients in a highly collaborative, fast-paced environment! We are committed to the continuous professional support and development of our people; hone your skills and master new ones with the support of a world-class in-house training program. Become a regional specialist, learn to lead, deepen your linguistic abilities, build technical expertise--the opportunities are endless. The right candidate will have outstanding English reading and writing skills, meticulous attention to detail, a sense of curiosity, the ability and enthusiasm to learn quickly, and a dedication to client satisfaction. Fluency in other languages is a plus. Responsibilities include: <ul> <li>Review due diligence reports to ensure that they are presented in a well-structured, logical and objective manner and that they address the clients' central questions.</li> <li>Provide training and support to the research team on a range of matters including online research, report writing, case management and human source enquiries.</li> <li>Support the development of Kroll CR&amp;D by managing and retaining relationships with a number of existing clients.</li> <li>Support marketing initiatives by attending networking events and presenting at seminars.</li> <li>Be a respected sounding board on all work-related issues, demonstrating leadership and team management ability.</li> <li>Understand and comply with UK, European &amp; US regulations relating to confidentiality and data protection. </li> <li>Gain an in-depth understanding of other legal systems and implications of working across jurisdictions.</li> <li>Ability to prioritize projects and assignments whilst meeting tight and demanding deadlines.</li> <li>Identify own learning needs and opportunities and continuously seek to improve case-work performance.</li></ul>REQUIREMENTS: <ul> <li>Extensive experience in a reputable professional or financial services firm, or from an investigative/research intensive organization</li> <li>Experience in project managing investigative/research cases and/or investment advisory</li> <li>Ability to drive forward and co-ordinate a number of concurrent projects and tasks, managing own time to deliver against competing demands</li> <li>Proven ability to research relevant markets, analyze information and clearly identify commercial opportunities</li> <li>Proven experience of delivering Business Development in an international professional service environment with a strong and active personal network</li> <li>Commercial understanding of both developed and emerging markets.</li> <li>Managerial level report writing skills</li> <li>Presentation and client relationship skills</li> <li>Strong interviewing and listening skills, essential for case-work development</li> <li>A highly professional and commercial approach to problem solving.</li> <li>A strong team work ethic and excellent people skills</li> <li>Demonstrate strong leadership skills and flexible management style to support a talented multi-cultural team of aspirational case managers and research analysts</li> <li>Be up to date with the latest information products, technologies and understand the implications of these technologies for information and web-enabled businesses and their customers</li> <li>Understand the importance of market and customer research and enjoy identifying new opportunities through market focus</li> <li>Excellent written and verbal communication skills that help represent diverse communities</li> <li>Experience working with diverse teams</li></ul>Kroll offers flexible working options, a great benefits package and excellent opportunities for career and personal development. In order to be considered for a position, you must formally apply via careers.kroll.com. Kroll is committed to equal opportunity and diversity, and recruits people based on merit. #LI-VH1

Manager II, Compliance Risk and Diligence

Line of Service Tax Industry/Sector Not Applicable Specialism Entity Governance and Compliance Management Level Senior Manager Job Description &amp; Summary Our Entity Governance &amp; Compliance (EGC) business sits within our Tax &amp; Legal Line of Service, and helps our clients stay ahead of changes that impact their businesses, navigating complexity and risk. We deliver deep Tax, Legal and Governance expertise, while providing the critical context to make informed and compliant decisions. With clients ranging from multinational organisations to entrepreneurs and family businesses, the work we do is diverse. The EGC team consists of 70+ members across London, Birmingham, Reading, Glasgow, Manchester and Belfast with a senior leadership team of 10. The EGC team is a market leading global practice and is part of a network of over 4,000 legal and governance professionals in over 150 countries led by Jonathan Gibson in the UK. The team specialises in supporting clients on all aspects of governance, transactions and compliance and are at the forefront of UK and global corporate governance reforms, providing market leading thought leadership in the industry. The EGC business is growing, driven by sustainability laws and regulations, global subsidiary governance transformation and global managed services This role requires someone to take ownership and accountability for an existing portfolio of FTSE 100 and Fortune 500 multinational clients across the spectrum of governance consulting and manager services, whilst also helping to grow the portfolio through business development activities. The senior manager will be part of the senior leadership team. The successful candidate will: <ul><li>Undertake and manage the delivery of governance and transaction projects (including entity restructuring and simplification mandates, design and implementation of corporate governance disclosures/reporting/frameworks, provision of director training, and more).</li><li>Manage, coach and support the team members.</li><li>Manage and develop client relationships across our clients as necessary.</li><li>Work with and develop relationships with the wider EGC global network to ensure the delivery of all work and services meets the SLAs/KPIs agreed with the clients.</li><li>Collaborate with and develop relationships with colleagues across the firm who are also working on and supporting the clients.</li><li>Take responsibility for and manage the budget and billing across the portfolio.</li><li>Consider better and innovative ways of supporting clients and the team.</li><li>For the right candidate there is the potential to develop a director business case as well as progress their career with PwC by developing new skills according to PwC's professional leadership development framework.</li><li>Coaching and mentoring will be provided.</li><li>Support with business development activities as required, including responding to competitive RFPs.</li></ul>Essential skills: <ul><li>Qualified Governance Professional from the ICSA in the UK.</li><li>Passionate about client service - a strong willingness to deliver excellent client service, add value and flexibly meet client requirements.</li><li>Ability to develop relationships with clients and colleagues at all levels.</li><li>Experience of managing and running a team.</li><li>Self awareness and open to personal development.</li><li>Experience in coaching and developing others.</li><li>Likes and enjoys business development, ideally with some relevant experience.</li><li>Commercial and risk aware, including experience of managing budgets and finances.</li><li>Creative thinker who enjoys problem solving.</li><li>Self organised.</li></ul>Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Desired Languages (If blank, desired languages not specified) Travel Requirements Up to 20% Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Entity, Governance and Compliance, Senior Manager

Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing compliance risks and controls implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based testing of Citi's compliance risks in order to assess the design and effectiveness of key controls, reporting, and escalates any violations of laws or breaches of policy identified while consistently validating the adequacy of measures used to address reported issues. Responsibilities: <ul><li>Develops, implements, and executes compliance testing, continuous assurance, and reporting programs within assigned region for a component of a product line, function, or legal entity in accordance with Compliance Testing (CT) Plan.</li><li>Participates in the planning, executing, and reporting of compliance assurance testing reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CTA Plan.</li><li>Performs compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre-defined testing plan and reports any findings to the Compliance Testing Management team as necessary and documents them accordingly.</li><li>Utilizes innovative compliance testing solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks.</li><li>Develops effective and collaborative relationships with stakeholders within and outside the CT function and outside stakeholders, such as business and technology process owners, and promotes the education and best practices across ICRM and the business.</li><li>Escalating to CT management significant compliance matters that require their attention or action.</li><li>Additional duties as assigned.</li><li>Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.</li></ul>Qualifications: <ul><li>Knowledge of Compliance laws, rules, regulations, risks and typologies</li><li>Experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, and reporting activities.</li><li>Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities.</li><li>Extensive global compliance and audit related experience, and strong knowledge of business processes.</li><li>Understanding of relevant rules, laws, regulations, and specific regulatory requirements. Strong interpersonal skills for building strong relationships with stakeholders and engaging teams.</li><li>Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of multiple business lines and control functions.</li><li>Recommends appropriate and pragmatic appropriate solutions to risk and control issues.</li><li>Applies knowledge of key regulations to influence audit testing review scope.</li></ul>Education: <ul><li>Bachelor's degree; experience in compliance, internal or external auditing, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; Advanced degree or relevant certification a plus.</li></ul>By joining Citi London, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as: <ul><li>Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenure</li><li>A discretional annual performance related bonus </li><li>Private medical insurance packages to suit your personal circumstances</li><li>Employee Assistance Program </li><li>Pension Plan </li><li>Paid Parental Leave </li><li>Special discounts for employees, family, and friends </li><li>Access to an array of learning and development resources </li></ul>Job Family Group: Compliance and Control Job Family: Testing Time Type: Full time Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting

Compliance Testing Senior Analyst (Assistant Vice President)

About Benchmark Our award-winning, proprietary solutions cover regulatory, platform and investment services, and are designed to support advisers at every step of their journey - from starting and running a financial advice business more productively and effectively, to accelerating its growth and realising its value. We support high quality financial advisers with our award-winning technology and support services. And with our own Financial Advice business, we help families find solutions to meet their needs and aspirations and achieve peace of mind. By providing access to higher quality solutions, we make it easier for them to meet and exceed their goals. Ensuring good client outcomes, with the client's interests central to decision making, is very important at Benchmark. Treating Customers Fairly principles are embedded within our organisation and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others. The base You'll be based at our Schroders Business Campus near Horsham in West Sussex. It has high standards and international reputation, without being in the city: a big, countryside campus means life will feel a little different. We support our offices by using cutting edge software and hardware and our spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop and gym, our campus has much to offer. And commuters can relax on our dedicated regular shuttle bus to and from Horsham's main line train station. What you'll do • Assist and support the Compliance team in administering the supervisory scheme across the Network • Undertake "focused" file checks for the Network's AR firms, maintaining accurate records of findings and communicating them to the team within desired timescales • Undertake Monthly, Quarterly, Biannual and Annual tasks to assist with the Compliance Function across the Network. • Attend Compliance Team Meetings and add to discussion as appropriate • Undertake supporting administrative tasks for the Compliance and Membership teams as required • Liaise with the team on associated tasks and projects, and provide constructive input • Liaise effectively and confidently with senior management • Technical Support and Regulatory Role Analysis in support of Compliance Director • Take on tasks and projects as requested by the Compliance Supervisors, Manager and Director with a can-do attitude and a timely approach • Update manuals, procedures and Network documentation as directed by senior management • Complete tasks to a high standard, and apply initiative to accommodate for wider issues The knowledge, experience and qualifications you need • A good level of Financial Services industry experience, preferably in a retail/IFA environment • Some understanding of FCA rules and their interpretation/application • Strong analytical, observational, written and communication skills We're looking for the best, whoever they are Our purpose is to provide excellent client outcomes and service. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.

Compliance Administrator

EY's Financial Services (FS) Tax practice provides tax advisory, transactions and compliance services to a variety of clients in the Financial Services market ranging from some of the world's largest multinational institutions, corporations and funds. The US compliance reporting team continues to experience growth due to strong client demand from London based clients. The opportunity Our London based team of US-qualified tax professional are a growing practice of 50+ individuals focused on providing excellent client service to the asset management industry including real estate, private equity and hedge funds and their management companies. The team is highly dynamic and is looking for motivated, energetic and collaborative individuals to join the US team in London. The team is looking for managers to help grow the team this year. Your key responsibilities The role will involve overseeing hedge fund and private equity US tax compliance processes for your clients with appropriate consideration of risk, operational, and tax technical issues. Researching US tax legislation and explaining the impact to asset management clients will be required as part of contributing to tax consulting projects. Working within a team you will be expected to coach new staff members and share knowledge and experience when required also. You will also be expected to coordinate multiple engagement teams' schedules and deadlines as well as coaching team members and sharing experience/knowledge with them. Skills and attributes for success <ul> <li>Positive attitude and willingness to be a team player.</li> <li>Practical experience with partnership allocations including an understanding of revaluation accounts.</li> <li>Excellent time management skills.</li> <li>Willingness to learn new concepts with minimal guidance.</li></ul>To qualify for the role you must have <ul> <li>Current CPA, EA or equivalent qualification or Degree / Master's degree in accounting or taxation (or equivalent).</li> <li>Knowledge of corporate and international tax returns and related US tax laws.</li> <li>Extensive experience in preparing and reviewing partnership tax returns and Schedules K-1.</li> <li>Practical experience with hedge fund securities analysis.</li> <li>In-depth knowledge of Go Systems tax preparation software or similar system. .</li></ul>Ideally, you'll also have <ul> <li>Experience managing cross-border teams of 2-6 people.</li> <li>Background in financial services, ideally working with hedge fund and private equity clients in a US tax capacity.</li></ul>What we look for We're interested to hear from highly motivated individuals who are open to expanding their network &amp; explore ways to evolve into a global professional, in line with the future of EY. We're looking for someone who has a background in both tax accounting and compliance and has excellent client relationship skills. What working at EY offers We offer a competitive remuneration package where you'll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer: <ul> <li>Support, coaching and feedback from some of the most engaging colleagues around</li> <li>Opportunities to develop new skills and progress your career</li> <li>The freedom and flexibility to handle your role in a way that's right for you</li></ul>EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance. About EY As a global leader in assurance, tax, transaction and advisory services, we're using the finance products, expertise and systems we've developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible. Join us in building a better working world. Apply now.

117 Compliance Management Systems / Technology Jobs in England