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Permanent, full time &nbsp; Selby – Hybrid&nbsp;Who we are:&nbsp;We’re not just talking about making a difference, we’re making it happen. We generate dispatchable, renewable power and create stable energy in an uncertain world. Building on our proud heritage, we have ambition to become the global leader in sustainable biomass and carbon removals.&nbsp;You’ll be joining our teams of practical doers, future thinkers and business champions. We’re enabling a zero carbon, lower cost energy future for all, and working hard to decarbonise the planet for generations to come.About the role:As a Compliance Manager you’ll primarily be supporting our Trading and Generation teams, ensuring delivery of consistent advice, guidance, and training in relation to wholesale energy. Your prior experience dealing with regulators, exchanges or related third parties will be key, displaying your knowledge of sound compliance practices within a similar environment. Working collaboratively, you’ll regularly interact with, and influence senior stakeholders across the business. With a desire to grow to achieve best in class compliance, you’ll support and coach other members of the team. You’ll use your experience in investigations, including large volumes of data gathering, complex analysis to develop and present conclusions and recommendations to senior leaders.Who we’re looking for:You’ll be educated to degree level with an understanding of wholesale physical and financial markets and energy market regulatory framework including REMIT, MAR, MiFID II, EMIR, TCLC, S&amp;P, and FSMA/ RAO and significant experience working with commercial teams. You’ll ideally have a minimum of 3 years’ experience working in a compliance team, preferably from the energy or financial services industries. In a varying, fast-paced and dynamic environment, you’ll use your experience updating policies and procedures and developing monitoring/surveillance techniques to delivering training, reviewing BAU processes and supporting business projects. If you are looking for a role where you can develop and grow your career, we are confident this role will meet your expectations!Rewards and benefits:As you help us to shape the future, we’ve shaped our rewards and benefits to help you thrive and support your lifestyle. If successful in this role you’ll get:&nbsp;<ul><li>A discretionary bonus between 15% – 30% depending on company performance&nbsp;</li><li>Private Healthcare with Vitality&nbsp;</li><li>SAYE (Sharesave): discretionary scheme from time to time</li><li>Personal accident cover&nbsp;</li><li>Group personal pension plan where we’ll pay up to 10%&nbsp;</li><li>Holiday 25 days plus bank holidays&nbsp;</li><li>Reimbursement of the cost of your annual membership of one relevant and appropriate professional body</li></ul>We’re committed to making a tangible impact on the climate challenge we all face. Drax is where your individual purpose can work alongside your career drive. We work as part of a team that shares a passion for doing what’s right for the future. With Drax you can shape your career and a future for generations to come.Together, we make it happen.At Drax, we’re committed to fostering an environment where everyone feels valued and respected, regardless of their role. To make this a reality, we actively work to better represent the communities we operate in, foster inclusion, and establish fair processes. Through these actions, we build the trust needed for all colleagues at Drax to contribute their perspectives and talents, no matter their background. Find out more about our approach here.Talk to us about flexible working!&nbsp;How to apply:Think this role’s for you? Click the ‘apply now’ button to begin your Drax journey.&nbsp;If you want to find out more about Drax, check out our LinkedIn page to see our latest news.&nbsp;We understand that you may have some additional questions about the role. If you’d like to have a confidential chat to discuss the role in more detail, please email <a href="mailto:careers@drax.com" target="_blank">careers@drax.com</a>

Drax

Compliance Manager

Now Hiring a Regulatory Change AnalystJoin a company that’s taking the RegTech industry by storm!Ruleguard is a fast-growing technology company serving the financial sector compliance market. As a leading firm within the innovative “RegTech” sector we delight in creating cutting-edge business software to make it as easy as possible for banks, brokers and investment firms to comply with regulation.The Role:We are looking for a Regulatory Change Analyst to support the Head of Risk &amp; Compliance, who is responsible for our Thought Leadership Strategy and oversight of risk management at Ruleguard. This role is best suited to someone with prior experience, or a keen interest, in Horizon Scanning and would like to develop their regulatory knowledge further.Job Specification:• Ensure the Regulatory Change Management system remains up to date with changes to UK regulations• Develop understanding of international regulatory developments• Undertake key research projects to support the international strategy• Undertake administrative duties for the R&amp;C team such as follow up on risk issues, monthly reporting, posting TLS content to third party sites• Undertake and maintain ongoing surveillance of our client base• Assist colleagues in learning and understanding matters of regulatory compliance• Review and advise on our collateral in relation to matters of regulatory complianceYour Knowledge &amp; Experience:• 3+ years’ experience in a regulatory compliance or related consultancy role• Financial Services regulatory knowledge is critical• Must have a good working knowledge of the FCA and PRA handbooks• Knowledge of regulations in several additional jurisdictions would be an advantageYour Skills &amp; Abilities:• Excellent attention to detail and focus upon accuracy• Ability to keep up-to-date with regulatory developments• Excellent organisational and planning skills• Excellent writing skills• Embraces technology• Confident Microsoft Word, Excel, and PowerPoint skills• Proven comfort with advanced business software systems• Fluent in written and spoken English• Fun, friendly personalityBenefits:• 25 days of annual leave increasing by 1 day each year up to 30 days• Employer pension scheme• Private Health Insurance• Medical Cash Plan• Income Protection• Life Assurance• Gym/fitness benefits• Flexible working• Home workspace equipment allowance• Wellbeing and social eventsApplication process:We try to make the whole process as smooth as possible. You will have an initial telephone interviewfollowed by two formal interview stages.

Ruleguard

Regulatory Change Analyst

We are looking for a detail oriented and driven individual to join our Permitting and Compliance team as an Administrative Assistant! Pay DOE: $26-30/hour *The pay range offered to the successful candidate will be determined by various factors, including job-related knowledge, skills, and experience. Compensation decisions are made based on the specific details and circumstances of each position and candidate. *This is a full-time, in office position* What we offer at Barghausen: <ul><li>COMPENSATION - Competitive wages, bonuses, and performance-based incentives</li><li>RETIREMENT - 401k plan (200% match on the first 4% of your deferral)</li><li>HEALTHCARE - Fully paid medical, dental, and vision healthcare + life insurance for employee with generous contributions for dependents</li><li>VACATION - 3 weeks of PTO per year + 7 paid holidays</li><li>PERKS - Team bonding activities, sporting event tickets, company-paid gym memberships, half-day Fridays during summer months + much more!</li></ul>Administrative Assistant Job Responsibilities: <ul><li>Demonstrate regular and punctual attendance</li><li>Understand and efficiently follow both oral and written instructions</li><li>Accurate keyboarding in preparing meeting minutes, spreadsheets, letters, memos and other documents, correct punctuation, spelling, grammar, and word usage</li><li>Support the Team with administrative duties; reports, presentations, letters, deliver application packages to agencies and file management</li><li>Deal with people tactfully and courteously in person and on the telephone; excellent telephone communication skills a must; effectively work with other employees and/or other departments</li><li>Assist in research of City, County, State, permitting codes, application requirements, forms, and fees</li><li>Make requests to the appropriate entities for site-specific information, including construction as-built records, utility plans, and archived reports</li><li>Initiate, devise, and implement improved work methods and procedures to accomplish work assignments in a timely manner</li><li>Demonstrate skill in the application of policies and procedures and to maintain client confidentiality</li><li>Assist with preparing special reports, graphics, and/or other exhibits. Review documents for clarity, accuracy, grammar, consistency, and fluency</li></ul>Administrative Assistant Job Requirements: <ul><li>Bachelor's degree required</li><li>Strong attention to detail, concentration, and flexibility (to switch between multiple tasks quickly as needed)</li><li>Interpersonal excellence</li><li>Perform required duties accurately and in an efficient manner.</li><li>Excellent time management skills.</li></ul>About Us: Barghausen Consulting Engineers, a Division of Core States Group, is one of the Northwest's leading multi-disciplined service firms offering civil engineering, land surveying, land use planning, and other related services. We are a growing company with over 650 employees and 24 total office locations under the Core States Group brand. We have an excellent reputation in the Puget Sound area and work extensively throughout the Western United States, while also providing services for nationwide client programs. Our clients are mostly private developers and are some of the nation's largest and most respected homebuilders, industrial developers, retailers, and petroleum companies.

Administrative Assistant - Permitting and Compliance

We are looking for a Permitting &amp; Regulatory Compliance Specialist I to join our growing team in Kent, WA. Pay is DOE: $28-$37/hour *The pay range offered to the successful candidate will be determined by various factors, including job-related knowledge, skills, and experience. Compensation decisions are made based on the specific details and circumstances of each position and candidate. *This is a full-time, in office position* What we offer at Barghausen: <ul><li>COMPENSATION - Competitive wages, bonuses, and performance-based incentives</li><li>RETIREMENT - 401k plan (200% match on the first 4% of your deferral)</li><li>HEALTHCARE - Fully paid medical, dental, and vision healthcare + life insurance for employee with generous contributions for dependents</li><li>VACATION - 3 weeks of PTO per year + 7 paid holidays</li><li>PERKS - Team bonding activities, sporting event tickets, company-paid gym memberships, half-day Fridays during summer months + much more!</li></ul>Permitting &amp; Regulatory Compliance Specialist I Job Responsibilities: <ul><li>Maintain a Priority Assignments list to track daily tasks.</li><li>Provide administrative support to the team when necessary.</li><li>Follow up on the progress of action items as assigned.</li><li>Manage time and billing responsibly</li><li>Maintain thorough and accurate record of all deadlines, incoming/outgoing correspondence, research, and submittal coordination per project</li><li>Stay up to date on team protocols that streamline the permitting process; train onboarding coworkers and ask for training as needed</li><li>Work with retail fuel managers and coordinate inspection schedules and responses to violations and or emergency repairs and confirm compliance with the regulations</li><li>Compile and submit permit/compliance applications, documents, licenses, reports, etc., as assigned by the Manager or designee. Submittal materials may include, but are not limited to preparing a cover letter, filling out application forms, coordinating client signatures, obtaining checks for filing fees, and compiling construction plans, special reports, and specifications.</li><li>Coordinate with the project team to respond to agency comments. Establish due dates for the receipt of documentation. Complete the submittal on the scheduled date.</li><li>Prepare Construction Permit Report for each project per the standard format. Update company database to track tasks that are required during and after construction.</li><li>Prepare Quarterly/Annual Compliance Report and Running Agenda; create and update bars, charts, and graphs for accurate illustration of our work</li><li>Research agency requirements and prepare feasibility analysis</li><li>Maintain project performance database that tracks overall progress and achievement of milestones</li></ul>Permitting &amp; Regulatory Compliance Specialist I Job Requirements: <ul><li>Combination of at least 2 years of relevant experience in a construction permitting and regulatory compliance field, supplemented by business/office courses, Class A/B Operator Certification, associates/bachelor's degree</li><li>Strong attention to detail</li><li>Interpersonal excellence, and a sense of curiosity, entrepreneurship, proactivity, and a commitment to quality</li></ul>About Us: Barghausen Consulting Engineers, a Division of Core States Group, is one of the Northwest's leading multi-disciplined service firms offering civil engineering, land surveying, land use planning, and other related services. We are a growing company with over 650 employees and 24 total office locations under the Core States Group brand. We have an excellent reputation in the Puget Sound area and work extensively throughout the Western United States, while also providing services for nationwide client programs. Our clients are mostly private developers and are some of the nation's largest and most respected homebuilders, industrial developers, retailers, and petroleum companies.

Permitting & Regulatory Compliance Specialist I

We are looking for a Permitting &amp; Regulatory Compliance Specialist II to join our growing team in Kent, WA. Pay is DOE: $35-$40/hour *The pay range offered to the successful candidate will be determined by various factors, including job-related knowledge, skills, and experience. Compensation decisions are made based on the specific details and circumstances of each position and candidate. *This is a full-time, in office position* What we offer at Barghausen: <ul><li>COMPENSATION - Competitive wages, bonuses, and performance-based incentives</li><li>RETIREMENT - 401k plan (200% match on the first 4% of your deferral)</li><li>HEALTHCARE - Fully paid medical, dental, and vision healthcare + life insurance for employee with generous contributions for dependents</li><li>VACATION - 3 weeks of PTO per year + 7 paid holidays</li><li>PERKS - Team bonding activities, sporting event tickets, company-paid gym memberships, half-day Fridays during summer months + much more!</li></ul>Permitting &amp; Regulatory Compliance Specialist II Job Responsibilities: <ul><li>Understand fuel design and fuel facility operations</li><li>Administer Programs assigned by Manager</li><li>Delegate tasks to Permitting &amp; Compliance Specialist I and Administrative Assistant based on their individual strengths and abilities and availability</li><li>Review agency comments and provide in depth equipment process descriptions and responses</li><li>Effectively communicate with clients to define project requirements, scopes, and objectives that align with organizational goals</li><li>Analyze project progress and, when necessary, adapt scope or timeline to achieve optimal results</li><li>Report project risks and outcomes to appropriate management channels, and escalate issues according to project work plan</li><li>Serve as point of communication between company teams and external resources</li><li>Deepen partnerships with outside resources, including agency contacts, clients, and third-party vendors</li><li>Investigate potential violations through audits</li><li>Recommend effective and prompt strategies/solutions for driving/improving environmental compliance</li><li>Conduct regulatory analysis on the applicability and impact of environmental regulations, including new and proposed regulations</li><li>Analyze statistics and prepare specific program administration directives</li><li>Attend meetings held by regulators and provide feedback and direction to client and team</li></ul>Permitting &amp; Regulatory Compliance Specialist II Job Requirements: <ul><li>Combination of at least 5 years of relevant experience in a construction, permitting, regulatory compliance field, supplemented by business/office courses, Class A/B Operator Certification, associate degree, bachelor's degree</li><li>Strong attention to detail</li><li>Interpersonal excellence, and a sense of curiosity, entrepreneurship, proactivity, and a commitment to quality</li></ul>About Us: Barghausen Consulting Engineers, a Division of Core States Group, is one of the Northwest's leading multi-disciplined service firms offering civil engineering, land surveying, land use planning, and other related services. We are a growing company with over 650 employees and 24 total office locations under the Core States Group brand. We have an excellent reputation in the Puget Sound area and work extensively throughout the Western United States, while also providing services for nationwide client programs. Our clients are mostly private developers and are some of the nation's largest and most respected homebuilders, industrial developers, retailers, and petroleum companies.

Permitting & Regulatory Compliance Specialist II

We are looking for a Permitting &amp; Regulatory Compliance Specialist III to join our growing team in Kent, WA. Pay is DOE: $38-$50/hour *The pay range offered to the successful candidate will be determined by various factors, including job-related knowledge, skills, and experience. Compensation decisions are made based on the specific details and circumstances of each position and candidate. *This is a full-time, in office position* What we offer at Barghausen: <ul><li>COMPENSATION - Competitive wages, bonuses, and performance-based incentives</li><li>RETIREMENT - 401k plan (200% match on the first 4% of your deferral)</li><li>HEALTHCARE - Fully paid medical, dental, and vision healthcare + life insurance for employee with generous contributions for dependents</li><li>VACATION - 4 weeks of PTO per year + 7 paid holidays</li><li>PERKS - Team bonding activities, sporting event tickets, company-paid gym memberships, half-day Fridays during summer months + much more!</li></ul>Permitting &amp; Regulatory Compliance Specialist III Job Responsibilities: <ul><li>Train team members on workflow and project coordination</li><li>Aid in developing processes and enforcing policies, procedures, and productivity standards</li><li>Creative problem solving for resolution to violations and plan check responses</li><li>Develop and implement compliance and permitting programs for the team</li><li>Step in during times of heavy workload and implement work plans and assist with Permitting &amp; Compliance Specialist responsibilities and duties</li><li>Delegate projects to team based on their individual strengths and abilities and availability</li><li>Monitor and manage staff by communicating job expectations, planning, and monitoring work progress</li><li>Oversee Quarterly/Annual Compliance Report and client meeting agenda</li></ul>Permitting &amp; Regulatory Compliance Specialist II Job Requirements: <ul><li>Minimum of 10 years of relevant experience in construction, permitting, regulatory compliance field, supplemented by business/office courses, Class A/B Certification associate degree, and/or bachelor's degree</li><li>Strong attention to detail, concentration, and flexibility (to switch between multiple tasks quickly as needed</li><li>Interpersonal excellence, a sense of curiosity, entrepreneurship, proactivity, and commitment to quality</li><li>Excellent Time Management Skills</li><li>Sense of curiosity, entrepreneurship, proactivity, and commitment to quality</li></ul>About Us: Barghausen Consulting Engineers, a Division of Core States Group, is one of the Northwest's leading multi-disciplined service firms offering civil engineering, land surveying, land use planning, and other related services. We are a growing company with over 650 employees and 24 total office locations under the Core States Group brand. We have an excellent reputation in the Puget Sound area and work extensively throughout the Western United States, while also providing services for nationwide client programs. Our clients are mostly private developers and are some of the nation's largest and most respected homebuilders, industrial developers, retailers, and petroleum companies.

Permitting & Regulatory Compliance Specialist III

Compliance Officer Monday to Friday Office Based in Wednesfield, 35 hours per week. £30K - 35K per annum St Philip's Care is dedicated to providing outstanding care to our clients which is why we have been named 'The most outstanding care group in the UK' and 'The most improved Dementia Care Group in the UK' by the UK Over 50s Housing Awards. We are seeking an enthusiastic and motivated Compliance Administrator to assist in the day to day running of the compliance team The Compliance Administrator must effectively organise and assist with compliance matters relating to the Company and our Homes. The tasks required are varied and interesting so the applicant will need to be able to be flexible and focused. Candidates Must Have<ul> <li>Good IT Skills</li> <li>Excellent Telephone Manner</li> <li>Flexible approach to work</li> <li>Ability to prioritise workload</li> <li>Good Communication Skills</li> <li>Knowledge of Excel, including formatting.</li> </ul>Desirable Attributes<ul> <li>General knowledge CQC/ CI</li> <li>Some knowledge of working in a confidential setting.</li> </ul>Benefits of working with the St Philips Family<ul> <li>Health Assured Free Support -Employee Assistance Program to support with physical, mental and financial issues</li> <li>A supportive, inclusive, friendly working environment</li> <li>The opportunity to progress and gain further qualifications "learn while you earn!"</li> <li>4-weekly pay periods</li> <li>Full training given</li> <li>Paid induction and shadow shifts</li> <li>E - Learning incentive scheme</li> <li>Paid holiday</li> <li>Flexible opportunities to fit around your life</li> <li>Rewards scheme for all staff</li> <li>Refer a friend bonus scheme worth £100.00</li> <li>To be part of the St Philip's Care family across the UK</li> <li>The chance to change lives</li> <li>Option to join the people pension if not automatically enrolled.</li> </ul>

Compliance Officer

Work Location: United States of America Hours: 40 Pay Details: $110,760 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Financial Crime Risk Management Job Description: The Senior Manager, AML Financial Crime Risk Oversight oversees the team and leads 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities, including managing critical program initiatives and handling complex/high-risk matters and escalations. The Senior Manager, AML Financial Crime Risk Oversight will manage a team responsible for fine tuning of screening solutions, business intelligence, KPI/KRI and model reporting, and metrics generation activities, ad-hoc queries and searches, overseeing model documentation, supporting model validation engagements, and conducting effectiveness testing on filters. Depth &amp; Scope: <ul><li>Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required</li><li>Supports the development of a high-performance business oversight team as a member of the Leadership team</li><li>Oversees and leads a large and/or highly complex and diverse AML/ATF/Sanctions/ABAC function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results</li><li>Provides oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities</li><li>Maintains highly specialized expertise and in-depth knowledge to manage AML/ATF/Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines</li><li>Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise</li><li>Manages and oversees the overall discipline and strategy for the AML/ATF/Sanctions/ABAC area while aligning to the enterprise best practices</li><li>Position typically deals with senior/executive management </li><li>Key contact for business management, regulators, and external/internal auditors, dealing with a broad range of issues including non-routine information</li><li>Focuses on longer-range planning for functional area (e.g., 12 months or greater)</li><li>May manage and prioritize multiple projects at a given time</li><li>Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate</li></ul>Education &amp; Experience: <ul><li>Undergraduate degree or equivalent work experience</li><li>10+ years of experience</li></ul>Preferred Qualifications: <ul><li>Significant Experience with using SQL and Python, PowerBI/Tableau required.</li><li>Experience with model validation and model oversight as a model owner/manager/support role.</li><li>Experience with model documentation in alignment with US and Canadian standards.</li><li>Experience with data analytics and Business Intelligence, including identifying patterns, trends, high hitters.</li></ul>Customer Accountabilities: <ul><li>Leads and manages a high performing team on delivery of AML/ATF/Sanctions/ABAC compliance programs and culture</li><li>Provides guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved </li><li>Provides strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities</li><li>Proactively advises covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements and articulates the impact to their processes and controls</li><li>Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs </li><li>Works with senior business unit management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues</li><li>Provides insight, guidance, and recommendations and acts as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing</li><li>Manages and provides oversight on day-to-day operations of the department and participates in enterprise wide or Customer focused special projects on behalf of GAML</li><li>Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis</li><li>Coordinates/Manages the team's participation in / responses to regulatory examinations and internal/external audits, reviewing, packaging, and tracking and providing information for department executive</li></ul>Shareholder Accountabilities: <ul><li>Develops and oversees the implementation of business line policies and procedures </li><li>Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise</li><li>Plans and executes on strategic activities, reviews, and communicates results, and adjusts tactics accordingly</li><li>Proactively identifies key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement</li><li>Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC</li><li>Provides oversight on risk assessment processes as required</li><li>Protects the interests of the organization - identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary</li><li>Keeps current on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts </li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite</li><li>Liaises with regulatory and law enforcement agencies on AML/ATF/Sanctions/ABAC examinations and related inquiries</li><li>Ensures employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct</li></ul>Employee/Team Accountabilities: <ul><li>Responsible for management of the overall team providing both leadership and guidance</li><li>Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty</li><li>Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees</li><li>Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner</li><li>Manages employees in compliance with all human resources policies, procedures, and guidelines of conduct</li><li>Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams</li><li>Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes </li><li>Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives</li><li>Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives </li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally </li></ul>Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Senior Manager, AML Financial Crime Risk Oversight - Model Oversight & Screening Business Intelligence (US)

Work Location: United States of America Hours: 40 Pay Details: $68,640 - $112,320 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Compliance Job Description: The Pre-Completion Testing Team is responsible for the review of Regulatory Issues to verify and validate that the appropriate remedial actions have been taken to address the issues raised. The pre-completion testing is done at the Design and Operating Effectiveness level prior to final submission to Internal Audit. The Head of FCRM Monitoring &amp; Testing oversees and supports the pre-completion testing as well as provide approval and sign-off of the work performed. The Pre-Completion Testing Senior Tester is responsible for the execution of the testing approached in line with the procedures and support from the Pre-Completion lead and team. In order to be successful in this role, an individual should possess subject matter expertise on Financial Crime Risk and complex issue management skills. The Senior Compliance Testing Analyst executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes. May assume leadership of a part of the engagement and have responsibility for completion of a phase of the engagement. Depth &amp; Scope: <ul><li>Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters.</li><li>Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws</li><li>Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners' compliance with such regulations directly related to the operations of the business</li><li>Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines</li><li>Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management</li><li>Oversees and/or independently performs assigned work from end to end</li><li>Executes more complex and/or non-standard assignments as requested</li></ul>Education &amp; Experience: <ul><li>Undergraduate degree or equivalent work experience</li><li>5+ years of experience</li></ul>Preferred Skills: <ul><li>Relevant experience working in a challenge function (e.g., Internal Audit, ORM, Risk Oversight) within the financial services industry.</li><li>Subject matter expertise in BSA/AML and OFAC Sanctions Regulatory requirements as well as risk and controls with those regulatory requirements</li><li>Strong analytical skills, multi-tasking, working against tight deadlines, and active hands-on management of work</li><li>Excellent written &amp; verbal communication skills to communicate effectively across all levels of stakeholders (from junior to senior)</li><li>Challenge mindset and attention to detail to complex issues</li></ul>Customer Accountabilities: <ul><li>Executes testing engagement work in accordance with established standards to achieve completion within target timelines</li><li>Conducts skilled analytical research and analysis as part of the testing engagement and initiatives</li><li>Works collaboratively with key Compliance and business line partners throughout the testing engagement</li><li>Identifies potential errors following testing standards</li><li>Executes validation of findings raised from testing engagements in accordance with established standards</li><li>Proactively identifies matters which require additional attention, further escalation, or review</li></ul>Shareholder Accountabilities: <ul><li>Prioritizes and manages own workload to deliver quality results and meet assigned timelines</li><li>Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility</li><li>Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System</li><li>Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement</li><li>Clearly and concisely documents research as required to understand requirements specific to an engagement</li><li>Keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards</li><li>Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to the client</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite</li></ul>Employee/Team Accountabilities: <ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest</li><li>Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques</li><li>Participates in personal performance management and development activities, including cross training within own team</li><li>Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities</li><li>Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences, and leveraging best practices. May provide coaching to other team members as appropriate</li><li>Leads, motivates, and develops relationships with internal and external business partners/stakeholders to develop productive working relationships</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally</li></ul>Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Financial Crime Risk Management - Pre-Completion Testing, Sr. Tester

Work Location: United States of America Hours: 40 Pay Details: $160,000 - $220,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Compliance Job Description: Department Overview: The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Job Details: The Head of Compliance Program Management reports to the TDBG VP, Compliance Programs. Individual Accountabilities: The Head of Compliance Program Management will execute this mandate in accordance with the key RCM Program elements and processes established in the Enterprise RCM Framework, and is accountable to: • Adhere to, coordinate and supervise the responsibilities included in the Global Compliance Department Mandate and the Legal, Regulatory Compliance (LRC) Risk Management Framework. • Lead and maintain the RCM Program Framework to promote and foster a strong culture of integrity, ethics and regulatory compliance and provide independent oversight of the adherence to the RCM Program and regulatory compliance. • Lead the RCM Program communications and stakeholder engagement through Governance (leadership meetings) and communications • Has ownership of and responsibility for the review process of updating the Enterprise RCM Framework at least annually, as well as review and update the RCM Standards at least annually. • Oversee documentation that CGA develops which applies to the Compliance Department globally, as appropriate, clearly communicates the accountabilities and responsibilities required to oversee regulatory compliance risk. • Oversee that the relevant Global Compliance Department strategic initiatives and directives are carried out effectively and that those strategic initiatives and directives comply with all relevant regulatory requirements, standards and expectations, as well as internal compliance policies established by the Board. • Oversee the RCM Training and Compliance Academy learning strategy • Lead RCM Risk Assessment Methodology and execution of the Risk Assessment on behalf of Compliance and CCO. • Support Compliance team members by maintaining and continually enhancing the Compliance Academy to support better business engagement by Compliance staff at all levels to improve compliance risk mitigation and outcomes, increase Compliance staff job satisfaction, and in living our Shared Commitments. • Support Compliance course owners with regards to scoping, planning, creating, delivering, updating or retiring of mandatory compliance training segments owned by Compliance. • Support enterprise Learning &amp; Development Enterprise Mandatory Training Program in its delivery of content to Compliance learners or enterprise staff taking Compliance-owned trainings. Job Requirements: • University degree required: Post Graduate degree preferred • 10+ years of relevant industry and management experience • Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations • Highest personal and professional integrity and standards to advance TD's vision and protect the brand • Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills • Ability to work in a fast-paced environment and manage multiple priorities • People leadership and management experience focused on talent development and coaching to nurture a high performing team • Ability to operate in an evolving, sometimes ambiguous, matrixed environment. • Strategic thinker; has excellent judgment, achieves the right risk/reward balance • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships • Transparent communicator and respected TD representative, both internally and externally • Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams • Advances TD's leadership development, colleague experience &amp; diversity agenda • Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote • Demonstrates strong problem solving &amp; analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Head of Compliance Program Management

Compliance Manager, Compliance Advisory 22 Bishopsgate, London - Hybrid Permanent At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper. As a future Compliance Manager, you will report to our Senior Compliance Manager, and you will be part of AXA IM Global General Secretary. DISCOVER your opportunity To act as the UK Compliance Advisory specialist within AXA Investment Manager's UK regulated entities with a focus on Alternative (including Real Assets) and Prime expertise. Your role and responsibilities will include: <ul><li>Be the UK Compliance Advisory team representative for the Alternatives and Prime expertise in the UK covering Real Estate, Infrastructure debt, Infrastructure equity, private equity, private debt and hedge funds.</li><li>Provision of accurate and timely advice and training to the UK Regulated Entities to facilitate their adherence to UK Compliance policies and Global standards, focusing particularly on the front office investment management activities of the expertise.</li><li>Identify regulatory changes in relevant business area and effectively communicate these to the business.</li><li>Assist with the implementation of regulatory developments, working collaboratively with the business to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements.</li><li>Assist in projects to provide compliance analysis and review of new business initiatives and developments of AXA IM in the UK. </li><li>Build a close working relationship with Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.</li><li>Regularly attend expertise 1st line control committees, investment committees and produce and present relevant MI where required. </li><li>Preparation and completion of client reporting and regulatory reporting including filing a Form ADV with the SEC as AXA IM UK is registered with the SEC as an exempt reporting adviser.</li><li>Assist with the provision of information to clients, audit and / or regulators as need be.</li><li>Assist the Senior Compliance Advisory manager in leading the day-to-day activities of the Compliance Advisory Team including monitoring the advisory inbox, required sign-offs and approvals.</li><li>Assist and support the Senior Compliance Advisory manager in the maintenance, ongoing effectiveness and implementation of all compliance policies and procedures owned by the Compliance Advisory team.</li><li>As required, and in the absence of the Senior Compliance Manager participate in relevant governance committee meetings.</li><li>Provide management information to governance committees and senior management to demonstrate compliance with policies or to highlight issues and trends where appropriate.</li><li>Assist the Senior Compliance Advisory Manager in providing updates, assessments and escalation of issues as required to the UK Head of Compliance.</li></ul>SHARE your unique expertise We welcome different combinations of skills &amp; experiences. Your qualifications and experience: <ul><li>Relevant professional qualification would be preferable but not essential.</li><li>Significant proven Asset management experience largely gained in a Compliance function, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues.</li><li>Experience and knowledge of alternatives investment business including Real Assets, private equity, infrastructure, hedge funds, and private debt.</li></ul>Your knowledge and skills: <ul><li>Thorough understanding of the Investment Management business servicing both institutional and retail clients with a particular focus on alternative investments.</li><li>Technical regulatory expert (with previous experience) of Real Assets, Alternative and Private Equity Investment management regulation </li><li>The ability to build business relationships with senior stakeholders.</li><li>Effectively work with and challenge the business where required.</li><li>Excellent verbal and written communication skills with the ability to effectively communicate with all areas of the business.</li><li>Excellent problem-solving skills taking a collegial and collaborative approach. </li></ul>We would love to know more about you. Let's connect! Send us your resume. The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries. We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management. Our mission: To act for human progress by protecting what matter Our values: Customer first, Integrity, Courage and One AXA At AXA IM we are investing with a clear purpose - to make the world a better place. We act for human progress by investing for what matters. Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative and core asset classes. We are already entrusted by our clients with more than €887 billion in assets. AXA Investment Managers | Home | AXA IM Corporate (axa-im.com) AXA IM is an Equal Opportunity Employer, and we encourage candidates with disabilities or any other protected characteristic to apply. We are committed to providing reasonable accommodation to qualified applicants and employees with disabilities, when needed, to apply for a position or to perform essential job functions. Inclusion and Diversity | Careers | AXA IM Corporate (axa-im.com)

Compliance Manager, Compliance Advisory

EY Consulting is a fast-moving, high-growth area within EY, and this with a huge potential for you. It offers variety, challenge, responsibility and the opportunity to realize your leadership potential. Our competency teams are focused on helping our clients to improve their business performance and operational efficiency, whilst managing risk. We help clients by delivering assessment, transformation and assurance solutions in specialty areas, like finance, supply chain, strategic choices, risk management, cyber security and technology. The exceptional EY experience. It's yours to build. The Opportunity: Your Next Adventure Awaits? Do you have a broad interest in various, subjects, organizations and processes and a specific interest in the Public Sector? You want to learn more about identifying emerging risks through Artificial Intelligence, or how governance, risk &amp; compliance can enable organizations in their sustainability journey? Do not look any further! Enterprise Risk at EY is a fast-moving, high-growth area with huge potential. We help our clients managing risks throughout the full breadth of their operations by delivering Risk Management, Internal Controls, Internal Audit and Compliance solutions. We deliver assessment, transformation and process efficiency solutions in specialty areas like finance, supply chain, internal audit, regulatory compliance, (third party) risk management, IT risk, people and organizational change, strategic direction. As we have ambitious growth plans, we currently are seeking a Manager Enterprise Risk / Public Sector to support our growth, and help our clients with their ambitions in the field of Risk Management. Within EY Consulting, our Enterprise Risk team provides a variety of services to our clients. These services include (amongst others): <ul> <li>The identification, evaluation and management of risks with an increased focus on sustainability and AI</li> <li>The preparation, execution and reporting of Internal Audits by reviewing the design and operating effectiveness of internal controls (using data analytics) and developing recommendations to improve effectiveness and efficiency of internal controls.</li> <li>The development of Risk Based Internal Audit Plans.</li> <li>The development or improvement of Enterprise Risk Management (ERM) and Third Party Risk Management (TPRM) frameworks, including the set-up and preparation, execution and reporting of risk assessments.</li> <li>The implementation and review of Internal Control environments (e.g. COSO based)</li> <li>The review of compliance management frameworks and how they help being compliant to regulatory requirements</li></ul>Our aim is to deliver exceptional client services with the highest performing teams. As we have ambitious growth plans, we currently are seeking a Manager - Enterprise Risk Public Sector to support our growth by working on client engagement teams and to develop go to market initiatives. Your Key Responsibilities You will advise our public sector clients to achieve their objectives by supporting them to identify and manage their risks. Your tasks and responsibilities will include, amongst others, the following: <ul> <li>Co-develop go-to-market initiatives in the Public Sector in Belgium in the domains of internal control, internal audit and risk management</li> <li>Leverage on your network in that sector in Belgium</li> <li>Managing Internal Audits during which the design and operating effectiveness of internal controls (using data analytics) is reviewed recommendations are developed to improve effectiveness and efficiency of internal controls. These include operational, financial and sustainability controls.</li> <li>The development of Risk Based Internal Audit Plans.</li> <li>The development or improvement of Enterprise Risk Management (ERM) frameworks, including maturity assessments and the preparation, execution and reporting of risk assessments.</li> <li>The implementation of Internal Control environments (e.g. ESG, COSO, SOX).</li> <li>In your role as Manager , we expect you to manage execution of these tasks and responsibilities independently, with support of a Director or Partner. You will also coordinate and review work performed by more junior colleagues.</li></ul>Your Profile <ul> <li>You have a master degree </li> <li>You have minimum 5 years of professional experience with internal organization control, internal audit, risk management or process optimization.</li> <li>You have been working for several years in a public sector environment and you have an existing network within public sector and willing to invest in further broaden it</li> <li>You have strong project management skills to lead and manage engagements effectively.</li> <li>You have the ability to collaborate effectively with cross-functional teams.</li> <li>You have leadership skills to manage and mentor junior team members.</li> <li>You must have excellent interpersonal, communication and writing skills and strong analytical skills. Experience with data analytics is an asset.</li> <li>You are curious with a critical mindset and are a team player, but able to work autonomously.</li> <li>You are willing to travel occasionally.</li> <li>You are fluent in Dutch or French and English.</li></ul>What's In It For You <ul> <li>EY Family - you become part of the EY Family providing you with all the necessary skills, training and opportunities; enabling you to grow to your fullest potential. </li> <li>Attractive remuneration package - We offer an attractive remuneration package; including a company car and charging card[NQ1] , iPhone plus subscription, health insurance, pension plan, meal vouchers, and eco vouchers. Thanks to our flex plan it is possible to choose what you value most. </li> <li>Flexible working arrangements - We are proud of our flexible working arrangements. We will actively support you in building a successful career and delivering excellent client service without sacrificing your personal priorities. We offer flexible working hours and working from home multiple days per week is possible.</li> <li>Inspiring work environment - At EY we are dedicated to providing you with an inspiring work environment. A work environment that allows you to further develop your skills and enables you to fulfill your true potential.</li> <li>Learning &amp; personal growth - You will benefit from an onboarding program, receive extensive training and will be coached by a counselor. We offer a clear career path tailored to your unique skills with necessary guidance. </li> <li>Fun - By joining our EY- teams, you can participate in team activities, and companywide events and enjoy a drink during our monthly after-work drink. </li> <li>Sustainability - We have a fleet of hybrid and electric cars. Our flex plan makes it possible for you to choose the most sustainable option for you. You can also opt for a train subscription or lease a bike. </li> <li>Diversity &amp; Inclusion - At EY we are passionate about the inclusion and support of individuals of all groups; we do not discriminate on the basis of race, religion, gender, sexual orientation, or disability status. </li> <li>Location - All of our offices are easily accessible by public transport and/or by car and have parking space. They all have parking spaces and charging stations are provided. </li> <li>Best Workplace - You will be part of the 2023 number one rated Best Workplace (Great Place to Work).</li></ul>

Manager - Enterprise Risk - Public Sector - Industries

Job Description Contract Type: Fixed Term for 2 years Working Hours: 37 per week. 1 Post Available Worker Type: Hybrid Worker Salary: Starting Salary is £26,421 (Level One) - rising to £28,770 (Level Four) per annum (pro rata for part time) Location: Byron House, Maid Marion Way, Nottingham, NG1 6HS We've got an exciting opportunity available for talented individuals to join our workforce - perhaps this is the opportunity you've been looking for? Read on to find out more... Working for Nottingham City Council has great benefits. As well as competitive pay, great leave entitlement and access to a generous pension scheme, we strive to create an innovative, inclusive and progressive work culture where everyone is supported to do and be their very best. In return, we are looking for people like you - people who are innovative, driven and committed to serving and improving Nottingham. So, if you are passionate about making a difference to the lives of those who live and work in our city, we want to hear from you. * You can read more about the different benefits offered to colleagues working for Nottingham City Council here. About the Role The post holder will be part of the Migration Team supporting the Asylum Dispersal programme, Refugee Resettlement and the Homes for Ukraine scheme which are all funded by the Home Office. Each week the post holder will spend 3 days working with the Resettlement and Asylum Team and 2 days with Homes for Ukraine Team. They will undertake office administration and finance duties such as: minute taking, diary management, room bookings, making payments, keeping accurate records, monitoring inboxes, and answering queries from service users and partners. About You The ideal candidate will have: <ul> <li>Ability to undertake office, administration duties including minute taking, with good knowledge and application of office workflow practices and systems</li> <li>Understanding of financial regulations, processes, and systems</li> <li>Broad experience of communicating effectively with people at various levels (internally and externally) via telephone, face to face and in writing, including progress chasing and problem resolution where required</li></ul>A DBS enhanced check for a regulated activity is required for this post. You can find the job description for this post here At Nottingham City Council we believe that work is what you do, not where you do it. We offer different working arrangements, depending on the role, including hybrid working. Further information on Worker Types and what these mean in terms of how and where you work can be found on the additional information for applicants page. For informal enquiries please contact Mandy Pride, Asylum and Resettlement Manager by telephone on 07508 180557 or by email at <a href="mailto:mandy.pride@nottinghamcity.gov.uk" target="_blank">mandy.pride@nottinghamcity.gov.uk</a> Closing Date: 27th October 2024 Interviews will be held: 14th November 2024 Please note there may be occasions where we close the advert before the closing date and we encourage you to apply as soon as possible. Interviews will be held on a date tbc. If you have any technical issues when completing your application, please contact our Employee Service Centre: <a href="https://emss.freshdesk.com/support/home" target="_blank">https://emss.freshdesk.com/support/home</a> By applying to this job, you agree to our Terms &amp; Conditions. About Us Thank you for your interest in working for Nottingham City Council. As one of the largest employers in Nottingham we offer a wide range of roles across a range of services. In return for your skill, drive and commitment to serving the people of Nottingham, we can help you to develop an exciting and rewarding career, with access to the following benefits. In addition to working within a great team and a competitive salary you will have access to: <ul> <li>26 days annual leave (rising to 33 days after 5 years' service) + bank holidays with the ability to buy additional leave annually </li> <li>Access to a generous, defined benefit pension scheme offering 17.9%</li> <li>Smart Working - to support your work life balance </li> <li>Health and wellbeing benefits including access to our Employee Assistance Programme</li> <li>Discounted membership at selected local sports and fitness centres, cinema, shopping and much more!</li></ul>Nottingham City Council is committed to recruiting a talented workforce that reflects the communities we serve. We are a fair and inclusive employer and welcome applications from people from all backgrounds and with different abilities. We recruit for diversity and value difference. We particularly want to hear from you if you are from the Black, Asian and Minority Ethnic community, identify within the Lesbian, Gay, Bisexual and Transgender community (LGBT) and if you are Disabled - these groups of people are underrepresented in our workforce, and we'd like to reflect our local population more through our recruitment processes. We are supportive of flexible working arrangements wherever possible and we would encourage you to discuss this with us during the selection process, should this be something you are interested in.

Assistant Compliance Officer

About the role This role is responsible for supporting the department of Estates &amp; Facilities in delivering a high quality, responsive service that supports the college in providing learners with the best possible experience by building on the vision of "empowering others" to effectively discharge their health and safety responsibilities. About you You will be a motivated and committed individual who embraces change and has the ability to respond proactively in range of situations. You will have experience and understanding of good health and safety working practices. You will have excellent communication skills both oral and written, including an ability to write workplace inspection reports. For more information regarding the main responsibilities of the role, please refer to the Job Description. About Us: Capital City College Group is London's largest further education college group. We comprise three of London's largest most popular colleges - City and Islington College, Westminster Kingsway College and the College of Haringey, Enfield and North East London - and we are committed to success through equality and diversity. Closing date: 13 th October 2024 Interview date: TBC We reserve the right to close this vacancy early if we receive sufficient applications for the role. Therefore, if you are interested, please submit your application as early as possible. We are committed to the safeguarding and protection of young people and adults and follow Safer Recruitment processes. All successful candidates will need to complete a DBS check, with some roles requiring an Enhanced check. A criminal record will not necessarily bar you from working for us; this will depend on the circumstances of any offences. We are committed to equality, diversity and inclusion in all our activities for everyone who learns and works here. We respect and value differences and welcome applications from candidates from all backgrounds.

Neuberger Berman is a leading global asset management firm, headquartered in the U.S., with a significant presence in Europe. Within Europe, we operate as a Central Bank of Ireland-regulated UCITS Management Company and Alternative Investment Fund Manager, with an established global distribution model delivering collective and individual portfolio management solutions through institutional and financial intermediary channels. What You Will Do <ul><li>Serve as a key liaison across local and global business functions on risk matters.</li><li>Execute the operational risk and resilience frameworks in line with best practices and regulatory requirements.</li><li>Identify and manage operational and resilience risks, developing solutions and re-engineering processes.</li><li>Perform root cause analysis and control assessments on operational risk events.</li><li>Conduct 'deep dive' reviews of significant events and provide recommendations to enhance control environments.</li><li>Maintain the operational risk framework for new and existing product strategies.</li><li>Lead role in the update of the ICAAP and maintain the operational risk register.</li><li>Administer and support group-wide operational risk tools, including configuration and system support.</li></ul>What We Are Looking For <ul><li>Experience in an asset/investment management firm within operational risk or internal audit (minimum 7 years required).</li><li>Deep understanding of UCITS and AIFs.</li><li>Ability to manage resilience processes such as Third-Party Risk Management, IT and Cyber Risk Management, and Business Impact Analysis.</li><li>Comfortable in risk identification and collaboration for risk solutions.</li><li>Ability to interact with senior management and assert influence across organisational levels.</li></ul>Skills Required <ul><li>University degree in a related subject.</li><li>Excellent analytical, critical thinking, and problem-solving skills.</li><li>Familiarity with Wolters Kluwer - OneSumX GRC or other risk applications (a plus).</li><li>High degree of initiative and excellent communication skills.</li><li>Demonstrated experience in operational risk management</li></ul>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.

Operational Risk and Resilience Manager

$1,000 First-Year Bonus* Fairfield is looking for an experienced Community Compliance Manager to join their team in San Diego. Job Summary The Community Compliance Manager oversees the compliance operations of Leasing Associates and Community Compliance Specialists, ensuring the timely processing and accuracy of files and corrections. This role involves managing communications with monitoring agencies, residents, and Housing Authorities, auditing move-in and recertification files, and ensuring compliance with HUD and affordable housing regulations. Education/Certificates <ul><li>High school diploma or equivalent required.</li><li>LIHTC or HUD certifications</li></ul>Experience <ul><li>Minimum of 3-5 years Tax Credit, Housing Assistance Programs (HAP, Rental Assistance Programs (RAP and/or Section 8 compliance experience</li><li>1-3 years in on-site property management role</li></ul>Skills, Knowledge &amp; Abilities <ul><li>Complete knowledge and understanding of affordable property management</li><li>Detailed understanding of LIHTC and HUD compliance</li><li>Proficient in Microsoft Office applications</li><li>Communicate effectively and possess strong business writing skills</li><li>Experienced in MOR and NSPIRE (REAC) inspections</li><li>Yardi, Yardi Affordable or other similar programs</li><li>EIV system experience</li><li>Basic bookkeeping/accounting principle knowledge</li><li>Effective organization and time management skills</li><li>Ability to work independently with minimal supervision</li></ul>Essential Duties <ul><li>Supervise the compliance operations of the Leasing Associates and Community Compliance Specialists to include but not limited to processing of files and corrections in a timely manner</li><li>Ensure appropriate workload distribution between the Leasing Associates and Community Compliance Specialists</li><li>Handle inbound and outbound calls and written correspondence to/from monitoring agencies and residents with compliance needs</li><li>Process files for move-in or recertification</li><li>Complete outstanding corrections as a result of file audit or reviews</li><li>Ensure monthly recertification files are completed in a timely fashion</li><li>Audit move-in and recertification files from Leasing Associates and Community Compliance Specialists to ensure accuracy before uploading</li><li>Maintain, prepare and submit required reporting to monitoring agencies</li><li>Ensure strong performance on MOR and NSPIRE inspections</li><li>Ensure strong performance on TCAC internal and external inspections</li><li>Maintain and monitor HUD waitlist for accuracy and utilization</li><li>Schedule and conduct Intake Interviews with applicants from HUD Waitlist</li><li>Maintain landlord relationships with Housing Authorities to ensure timely receipt of subsidy payments and resident compliance with programs</li><li>Manage various Affordable Housing projects as needed</li><li>Maintain EIV coordinator access and validate authorized users</li><li>Up to 50% travel may be required if overseeing multiple sites</li><li>Completes company required training by established deadline.</li><li>Complies with all Fairfield standards, applicable health and safety rules and regulations, as well as applicable local, state and federal laws.</li><li>Any other duties or responsibilities that may be assigned.</li></ul>*The First-Year Bonus, less usual deductions, will be divided into two equal payments: the first payment following the completion of 90 days of employment, and the second payment following the completion of 1 year of employment. #LI-CAROLYN Estimated Rate of Pay: $72,000.00 - $80,000.00 This position is exempt; the range above reflects annual salary. The pay range displayed for this position is determined by skills and experience required, location and job complexity*. Potential job offers may vary based on the skills, education, and experience an individual candidate holds. This range reflects base rate only, and does not include allowances, perks, commissions or bonuses applicable to this position (if any). In addition to base salary, Fairfield offers all full time associates the following, upon meeting eligibility requirements: <ul><li>Paid time off, paid holidays and sick days, paid time off for volunteering activities (optional) </li><li>Matched 401(k) </li><li>Medical, dental &amp; vision insurance </li><li>Flexible spending account </li><li>Life insurance </li></ul>* Pay range is a calculation based on a midpoint price. Fairfield complies with all wage and hour laws, including minimum wage and salary exempt requirements. Fairfield will consider for employment all qualified applicants, including those with arrest or conviction records, in a manner consistent with the requirements of applicable state and local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act.

Community Compliance Manager

Work Location: United States of America Hours: 40 Pay Details: $110,760 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Financial Crime Risk Management Job Description: The Senior Manager, AML Financial Crime Risk Investigation (US) oversees/manages a team of specialized professionals in the analysis and/or investigation of TDBG AML, ATF, ABAC and Sanctions cases to minimize overall risks to the Bank, its customers and its employees. The Senior Manager, AML Financial Crimes Risk Investigation (US), will oversee the Financial Crimes Name Screening Operations teams in the US and CA, which conduct name screening level 1 reviews across enterprise feeds and streams. They will ensure the quality of work conducted, trainings and resourcing levels are appropriate, own and update procedures and processes, respond to inquiries from testing engagements, monitor SLAs. Depth &amp; Scope: <ul><li>Provides people management leadership by hiring the best talent, setting goals, developing employees, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required</li><li>Oversees group of investigative professionals that cover broad, thematic and/or complex business lines</li><li>Generally considered a Practice Leader - internal expert and/or industry expert and represents the Bank on AML/ATF and Financial Crime, Corporate Security/fraud management committees and/or organizations pertaining to own field of specialization</li><li>Scope of investigations may involve international borders, AML/ATF and financial crime, employee misconduct, etc.</li><li>Generally, deals with executive management on key regulatory and/or security issues and provides guidance/advice accordingly </li><li>Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise</li><li>Manages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practices</li><li>Strategic partner to leadership team on the management of the portfolio and financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management/enterprise areas </li><li>Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals etc.)</li><li>Sets operational team direction and collaborates with others to execute on common goals</li><li>Focuses on longer-range planning for functional area (e.g.,12 months or greater)</li></ul>Education &amp; Experience: <ul><li>Undergraduate degree or equivalent work experience</li><li>10+ years of experience</li></ul>Preferred Qualifications: <ul><li>Experience in operational settings with a focus on process improvement and efficiency gains.</li><li>Experience at major consulting firm or within Financial institutions AML operations teams.</li><li>Strong understanding of KPI development, SLA management, and reporting.</li><li>Strong people leader with excellent communication skills (written and verbal).</li><li>Strong presentation development and execution skills. </li></ul>Customer Accountabilities: <ul><li>Leads a team of specialized professionals and managers ensuring key elements of financial crime risk management such as prevention, detection, investigation, and remediation are effectively managed</li><li>Oversees and/or leads complex investigations by conducting thorough analysis </li><li>Ensures investigations comply with all aspects of applicable regulatory requirements </li><li>Ensures escalated cases/files are properly reviewed and appropriately assigned and that all stakeholders are notified as applicable</li><li>Identifies key control weaknesses and works with business partners to agree on action items and next steps</li><li>Develops supporting internal/external communications, including court briefs, as well as investigative reports to appropriate internal stakeholders</li><li>Provides guidance, education and/or oversight to relevant businesses/stakeholders and determine root cause of breaches for prevention purposes</li><li>Keeps abreast of emerging trends or new techniques for own area of specialty</li><li>Maintains strong understanding of legislation and/or regulations as they relate to own area and ensures investigative processes adhere to established guidelines</li><li>Maintains and develops reliable information sources/contacts and liaises with law enforcement, regulators, and internal business areas for the purpose of gathering intelligence and establishing effective partnerships</li><li>Provides expert counsel, guidance, and assistance to executive management, domestic and/or international business lines on all known or suspected internal/external crime where applicable</li><li>Represents TDBG on internal and/or external committees or associations</li></ul>Shareholder Accountabilities: <ul><li>Works closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness, and scale</li><li>Plans and executes on strategic activities, reviews, and communicates results, and adjusts tactics accordingly</li><li>Executes on the annual business plan to deliver results aligned with business strategies </li><li>Manages overall budget, revenue, and expenditures, meets business objectives while increasing efficiency and effectiveness</li><li>Proactively identifies key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement</li><li>Improves or creates new processes for the organization, with a medium to longer term impact</li><li>Monitors and communicates the effectiveness of strategies, programs, and practices related to own area of expertise</li><li>Protects the interests of the organization - identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite</li><li>Ensures employees are knowledgeable; and assumes responsibility to minimize operational and regulatory risk by complying with Bank and industry Code of Conduct</li><li>Manages the operational efficiency and effectiveness of the unit by working with internal and external partners to identify opportunities to automate processes and/or enhance existing processes</li></ul>Employee/Team Accountabilities: <ul><li>Contributes to the development of business segment and/or enterprise functional strategic priorities within their operational area or field of specialty</li><li>Develops annual and/or long-term plans for own area and influences plans well beyond area managed </li><li>Develops a team of professionals in all aspects of related competencies and acts as resource and mentor to others</li><li>Responsible for management of the overall team providing both leadership and guidance</li><li>Sets targets and objectives for the team, and delivers results</li><li>Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered</li><li>Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and provides regular input into employee assessments and development plans</li><li>Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner</li><li>Manages employees in compliance with all human resources policies, procedures and guidelines of conduct</li><li>Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams</li><li>Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes </li><li>Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives</li><li>Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives </li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally</li></ul>Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Senior Manager, AML Financial Crime Risk Investigation - Financial Crimes , Screening Operations (US)

Work Location: United States of America Hours: 40 Pay Details: $250,000 - $370,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Compliance Job Description: The Head of Compliance Business Oversight leads a large, diverse and talented team of compliance professionals providing independent compliance risk oversight and in partnership with colleagues leading key enterprise-wide compliance functions and is responsible for the development, maintenance and enhancement of a Compliance program designed to achieve effective management and oversight of regulatory compliance activities of the assigned lines of business for the Company and its applicable subsidiaries. Depth &amp; Scope: <ul><li>Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required</li><li>Responsible for the development, maintenance and continuous enhancement of programs designed to provide effective, independent regulatory compliance risk management and oversight of business line(s) supported</li><li>Maintains accountability for anticipating, managing, and directing the response to regulatory and corporate-related compliance issues impacting the bank across a wide range of business lines, financial services products and applicable laws, regulations, and standards of ethical business conduct</li><li>Develops a program that promotes a culture of compliance utilizing a consultative approach to educate and interpret various inaugural laws and rules</li><li>Provides expert advice and counsel for executive business partners as they pertain to compliance for new business initiatives and compliance issue resolution</li><li>Develops and enhances a scalable compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk appetite and growth of the Bank and its relevant subsidiaries</li><li>Acts as a Compliance executive lead on various projects, overseeing and/or coordinating a diverse group of compliance professionals, project managers, analysts, business and corporate function specialists, risk and control partners, and other stakeholders</li><li>Coordinates with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance</li><li>Provides expert objective advice and independent challenge for business leaders, including interpreting and applying laws and regulations to business operations</li><li>Develops and enhances scalable compliance programs designed to support the Bank in achieving and maintaining compliance with laws and regulations and operating within the Bank's Risk Appetite</li><li>Structures programs to support all elements of an effective Bank-wide Compliance Management System</li><li>Develops processes to report and escalate material compliance issues, breaches and other events to senior management and regulators and delivers extensive management reporting summarizing group activity and regulatory compliance issues and events</li><li>Develops and implements remediation strategies to correct identified issues</li><li>Maintains comprehensive understanding of regulatory trends, changes and emerging risk areas, existing regulations and guidelines and the full range of Company products and services; possesses experience and understanding to respond to complex regulatory issues</li><li>Reviews and interprets new or pending laws and regulations which potentially affect existing business practices</li><li>Shares important industry trends and changes in regulations with staff</li><li>Develops and maintains strong business relationships with other related Company departments, including parent company, executive management, legal, audit, loan review, other risk departments and others to ensure productive partnerships and coordinate efforts</li><li>Serves on executive committees to provide guidance, oversight, and formal approval for regulatory related projects</li><li>Maintains external engagement with industry forums and promotes a positive brand for TD Bank</li></ul>Education &amp; Experience: <ul><li>Bachelor's degree or progressive work experience in addition to experience below</li><li>20+ years related experience required</li><li>Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk management experience a plus</li><li>Extensive Operational knowledge as pertains to implementation of regulatory requirements</li><li>In-depth knowledge of financial services regulatory industry practices</li><li>Strong management experience leading regulatory compliance activities</li><li>Strong Management skills in the development and mentoring of employees</li><li>Experience establishing and implementing effective regulatory strategies, policies and plans that support ongoing Company business</li><li>Strong management, organizational and evaluative process skills. Ability to analyze complex organizational and process issues to isolate regulatory risk exposure.</li><li>Demonstrated ability to develop and maintain productive business relationships with internal partners and external regulators</li><li>Solid understanding of technology's role in the business and compliance controls</li><li>Effective negotiation and influencing skills with experience in conveying complex information to general audiences through training materials, written communications, and other means</li><li>Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions</li><li>Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams</li><li>Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels</li></ul>Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Head of Compliance, Corporate Functions Compliance (US)

Work Location: United States of America Hours: 40 Pay Details: $160,000 - $220,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Compliance Job Description: Department Overview: The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Job Details: The Head of Compliance Program, Strategy, &amp; Operations reports to the TDBG VP, Compliance Programs. Individual Accountabilities: • Manages and executes against the Compliance Strategic Priorities, including driving the continuous improvement program to support the Enterprise Compliance Program. • Responsible for the coordination for cross business or across second line partner initiatives that require input from Compliance. • Own and coordinate of the remediation activities associated with the key Compliance Program elements: including root cause/remediation of root cause, identification of themes across teams, holistic process improvement, and timely reporting to CCO on finding management • Responsible for change management and communication strategy for initiatives that impact broad first and second stakeholders. • Partner with second line colleagues to support the harmonization of risk frameworks (risk assessments, controls, monitoring and testing, etc.). • Own Compliance Governance processes and documentation on the monitoring and escalation of compliance risks. Close partner to Strategic Insights and Reporting. • Owns FTE management - identification of themes and insights to address; including oversight of vacancy rates/root cause analysis by Compliance team to identify emerging risk; identifies opportunities to manage headcount and remove obstacles to timely recruiting • Leads audit and exam engagement and management support for compliance programs. • Lead the business requirements for Compliance Program Team (BCM lead, represent compliance program on ad hoc committees, etc.) • Own and lead meeting agenda for Compliance Program Leadership meetings and support the Reward and Recognition program. • Provide general support to the Vice President of Compliance Programs. Job Requirements: • University degree required: Post Graduate degree preferred • 10+ years of relevant industry and management experience • Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations • Highest personal and professional integrity and standards to advance TD's vision and protect the brand • Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills • Ability to work in a fast-paced environment and manage multiple priorities • People leadership and management experience focused on talent development and coaching to nurture a high performing team • Ability to operate in an evolving, sometimes ambiguous, matrixed environment. • Strategic thinker; has excellent judgment, achieves the right risk/reward balance • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships • Transparent communicator and respected TD representative, both internally and externally • Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams • Advances TD's leadership development, colleague experience &amp; diversity agenda • Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote • Demonstrates strong problem solving &amp; analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Head of Compliance Programs, Strategy, and Operations (US)

Work Location: United States of America Hours: 40 Pay Details: $110,760 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Financial Crime Risk Management Job Description: The Senior Manager, AML Financial Crime Risk Management role leads, develops and oversees the work of a dynamic team of professionals who develop FCRM frameworks, policies, standards and provides oversight, expert policy / regulatory guidance and advice related to specialized domains of TD's AML/ATF/Sanctions /ABAC programs. This role provides specialized project support or services. This role provides strategic and day to day direction on a broad and diverse range of complex FCRM program activities, including assigning workflow, providing governance and support, and addressing and escalating issues. This role also oversees the timely execution of periodic and/or event driven reviews using a risk-based approach to align with policy and regulatory requirements. This role serve as primary escalation point for significant matters/ exceptions. This role identifies and implements risk mitigation strategies for findings from risk assessment, audit findings, regulatory exams, potential violations of law, etc. Additionally, this role coordinates with internal and external stakeholders (e.g., auditors, regulators) to provide necessary documentation and support during audits and examinations. FinCEN advises in the BSA/AML Manual that "suspicious activity reporting forms the cornerstone of the BSA reporting system. It is critical to the United States' ability to utilize financial information to combat terrorism, terrorist financing, money laundering, and other financial crimes. Banks should recognize that the quality of SAR content is critical to the adequacy and effectiveness of the suspicious activity reporting system." TD Bank, in consideration of this, has established a pre-filing SAR and CTR review quality control function to ensure that work completed by TD Bank FCRM AML &amp; GSI investigations meets the highest quality standard. In furtherance of SAR and CTR quality, the SAR QC function will provide SAR filing guidance, perform a pre-filing quality review for all SARs, and provide SAR insights on SAR trends to support the TD Global Anti-Money Laundering program. Depth &amp; Scope: <ul><li>Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required</li><li>Oversees and leads a highly complex, and/or diverse function for an area of significant risk, or scope </li><li>Strategic partner to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizes and anticipates emerging trends and identifies operational efficiencies and opportunities with other business management / enterprise areas </li><li>Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/ frameworks/ short to long term goals etc.)</li><li>Sets operational team direction and collaborates with others to execute on common goals</li><li>Focuses on longer-range planning for functional area </li></ul>Education &amp; Experience: <ul><li>Undergraduate Degree or equivalent professional work experience</li><li>10+ years of experience</li></ul>Preferred Skills: <ul><li>Quality Control</li><li>SARS </li></ul>Customer Accountabilities: <ul><li>Oversees a function of enterprise AML Program professionals providing oversight and control related advisory services to GAML partners</li><li>Provides strategic direction on a broad and diverse range of complex global AML program activities</li><li>Develops GAML enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's AML Program</li><li>Works with executive team, senior business management / partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues</li><li>Contributes to the development and implementation of enterprise AML programs related to all aspects of AML legislation</li><li>Meets with business (GAML) partners and leaders to determine AML strategies and compliance culture</li><li>Takes corrective action and recommends or implements changes to procedures, as required</li><li>Leads role in managing and in responding to periodic exams/ audits and various regulatory bodies related to accountabilities</li><li>Participates in / leads enterprise-wide or GAML-focused special projects</li><li>Oversees research, development and implementation of new processes, technologies or operating models</li><li>Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal AML policies, procedures, standards and guidelines, in addition to those federally mandated</li><li>Provides guidance, leadership, coaching and development to ensure operational results and professional / personal development objectives are achieved</li></ul>Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Senior Manager, AML Financial Crime Risk Management - Quality Control (US)

Fixed Term Contract Duration - 11 Months What the Hiring Manager says This is a key role at an exciting time in working in a busy Financial Crime team which is part of a larger Risk team. The role will report into the Specialist, Financial Crime Investigations and will operate flexibly depending on financial crime plan and resourcing requirements. You will work alongside our Risk and Compliance colleagues across the Risk function so you will be a part of a wider Risk and Compliance community. Money Laundering Reporting Officer (MLRO) About the Role Level: Level 3 Department: Risk Location: Southampton | London Contract type: 12 Month FTC The key tasks involve, but are not limited to the following: <ul><li>Conducting Enhanced Due Diligence Activity</li><li>Assisting with regular financial crime monitoring and thematic reviews.</li><li>Carrying out Politically Exposed Persons (PEPs), sanctions and adverse media screening and alert elimination.</li><li>Assisting with financial crime management information, reporting and data where required.</li><li>Assisting with Fraud investigations where required.</li><li>Assisting with reviewing, drafting and escalating suspicious activity reports where required.</li><li>Assisting with Law Enforcement enquiries where required.</li><li>Assisting with transaction monitoring where required.</li><li>Assisting with administrative requirements for the Investigations team where required.</li><li>Identifying opportunities for improvement to financial crime prevention practices and making recommendations for change to the Group MLRO and Head of Financial Crime Investigations.</li><li>Embedding a positive culture of confident and proactive customer considerations, leading to informed risk taking through training and communication of the agreed financial crime risk framework.</li><li>Promoting the importance of robust financial crime controls, in order to meet legal and regulatory obligations.</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>a good level of understanding and experience of Financial Crime legislation and regulation: AML/CTF; Sanctions; Anti-Bribery and Corruption; and Fraud, from a financial services company</li><li>strong attention to detail, and the ability to see the bigger picture.</li><li>high energy and drive and be delivery focused, with the ability to work well on your own or within a team.</li></ul>The ideal candidate would have relevant qualifications in financial crime. 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. #Quilter #LI-VS1 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.

Financial Crime Analyst Investigations

Ontic, a leading licensor and manufacturer of complex engineering parts for the global aerospace and defence industries, are now recruiting for a Supplier Quality Compliance Manager to lead a team of Supplier Quality Engineers and Technicians here at our Staverton site. This role will require both UK and International travel to supplier facilities. Ontic is a more than just a business, we're a community of innovators who pride ourselves on fostering a culture where talent thrives, ideas flourish, and careers are built. We're committed to excellence, driving us to continuously improve and adapt, ensuring that we remain at the forefront of our industry. The role: Reporting directly in to the Director of Quality, you will be responsible for the day to day leadership and success of our Supplier Quality function. This will include effective management of a team of Supplier Quality Engineers (both onsite and remote) and a Supplier Quality Technician. You will have accountability for all quality matters concerning the compliance of suppliers to regulatory requirements and Ontic's Supplier Quality Assurance Requirements as well as approval, monitoring and revoking of a Supplier, which will be based on a supplier's performance to regulatory and Ontic requirements. You will develop and maintain supplier selection and review strategies in concert with Supply Chain and Engineering where required whilst conducting visits/quality audits to assess technical/process capabilities for potential and existing suppliers. About you: You will be an expert in Quality Engineering principles and regulations such as UK CAA Part 21, Part 21G, 145 FAA and AS9100. You'll be a strong leader able to direct and organise effectively with solid communication skills at all levels. You'll also be confident with Root Cause Investigation techniques such as 8D, 5Whys, PDCA etc. A background in Aerospace is highly desirable for this role but strong experience in manufatcuring and assembly environments is essential. Benefits: We are more than the sum of our parts. And we've been recognised internally and externally for being so: <ul><li>We were ranked #9 in Best Companies' Q3 leaderboard for Best Manufacturing Company based on our employee feedback</li><li>72.5% of employees who took part in our 2023 employee satisfaction survey said they are proud to work at Ontic</li></ul>No day is the same at Ontic; we have doubled in size over the last couple of years and are still in rapid growth. We attribute our success to empowering colleagues to create the opportunity, fostering an environment of autonomy where we ask for forgiveness, not permission. Our values Our values are intrinsic to everything we do: <ul><li>We share a common sense - we're a global family of specialists with a shared passion for precision.</li><li>We have the freedom to choose - we're challengers and innovators with the freedom to think differently and challenge the status quo.</li><li>We create the opportunity - we're change-makers with a clear direction and can-do spirit.</li></ul>We are a fast-paced business with ambitious growth plans; so if you are dedicated, enthusiastic and always seeking ways to improve, you'll enjoy a career with us!

Supplier Quality Compliance Manager

Oaktree is a leader among global investment managers specializing in alternative investments, with $193 billion in assets under management as of June 30, 2024. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, private equity, real assets, and listed equities. The firm has over 1,200 employees and offices in 22 cities worldwide. We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. Providing training and career development opportunities and emphasizing strong support for our local communities through philanthropic initiatives are essential to our culture. For additional information please visit our website at <a href="http://www.oaktreecapital.com" target="_blank">www.oaktreecapital.com</a> Scope and responsibilities The Operational Risk Management (ORM) team helps to identify non-investment risk across Oaktree globally, contributing to continuous operational improvement. ORM partners with Oaktree professionals globally to continually assess and enhance the risk and control environment. Oaktree is seeking a Vice President to work closely with the Senior Vice President in ORM, and be responsible for aiding in the implementation, coordination, execution and continued enhancement to Oaktree's global Operational Risk Management framework, with a specific focus on Oaktree's international offices. The individual will work directly with all major businesses, operational functions and investment teams to help identify, assess, and mitigate operational risks across Oaktree's business. The individual may also have limited client and regulatory contact in cases where Oaktree is asked to provide information on the Operational Risk framework. Candidates should be comfortable challenging the assumptions and conclusions of senior individuals while maintaining constructive relationships with management. Key responsibilities include, but are not limited to: <ul><li>Risk and Control Assessment: Facilitate risk and control assessments to identify potential risks and implement effective controls, validating remediation of operational risk exposure and related control gaps.</li><li>Root Cause Analysis: Conduct root cause analysis of operational events and develop strategies to mitigate future risks.</li><li>Governance: Lead risk management presence and content in governance forums, ensuring comprehensive oversight and identification of operational risk trends.</li><li>Risk Reporting: Preparing and presenting detailed risk reports / dashboards / metrics to senior management and stakeholders, highlighting key risk areas and recommended actions.</li><li>Trend Analysis: Identify and analyze operational risk trends to inform strategic decision-making.</li><li>Continuous Improvement: Providing thoughtful and collaborative leadership promoting risk transparency and business unit-level ownership and accountability over operational risk and control environments, fostering continuous improvement.</li><li>Risk Aware Culture: Promoting Oaktree's risk aware culture, serving as the subject matter expert on operational risk initiatives. Identifying, initiating, and fostering relationships with business and operational partners to promote a culture of continuous improvement, driving constructive communication with the ORM team.</li><li>Regulatory Compliance: Ensuring compliance with relevant jurisdictional regulatory requirements, expectations and industry standards related to risk management e.g., risk appetite statements, ICARA, ICAAP, IRAP.</li></ul>Experience required <ul><li>6+ years of operational risk management, enterprise risk management and/or related experience required; experience in the investment management industry preferred.</li><li>Experience facilitating top-down and bottom-up risk assessments, focused on existing and emerging risk areas.</li><li>Practical experience with Basel, COSO, ERM, risk and control self-assessment tools, methodologies and concepts.</li><li>Outstanding verbal and written communication skills to work cross-functionally and at all levels internally.</li><li>Proven capability in collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions.</li><li>Track record in planning and project management and in maintaining composure under pressure while meeting deadlines.</li><li>Strong skills in resolving problems and negotiating issues.</li><li>Highly organized and able to manage multiple projects with differing priorities to meet deadlines.</li><li>Team-oriented, possessing strong integrity and professionalism and sharing in Oaktree's common goal of excellence.</li><li>Demonstrated ability in:</li><li>Applying sound judgment in the evaluation of risks and controls;</li><li>Challenging the assumptions and conclusions of more experienced staff members;</li><li>Facilitating insightful conversations to ensure appropriate consideration and evaluation of risks;</li><li>Performing effective root cause analysis to identify control gaps and weaknesses and recommending appropriate corrective course of action;</li><li>Collaborating with business managers to promote an effective risk management culture by proactively identifying areas of operational risk;</li><li>Proficient in Microsoft Office products including, Word, Excel, PowerPoint, Visio, Outlook and other business software to prepare reports, memos and summaries. Experience with GRC tools and PowerBI a plus.</li></ul>Personal attributes <ul><li>Excellent interpersonal, verbal and written communication skills, with the ability to leverage firm wide resources in an effective and judicious manner.</li><li>Self-initiated with a proven ability to work independently and a strong work ethic.</li><li>Ability to operate independently on short and long-term goals.</li><li>Flexible and team-oriented with strong integrity and professionalism.</li><li>Ability to take on a task/project and "run with it" to conclusion.</li><li>Passion for improving systems and processes, ability to act as a change agent with a focus on innovation.</li><li>Detail-oriented and a natural problem solver; have the resolve to independently research problems and offer solutions.</li><li>Thrives in roles that require outside of the box thinking, solving problems and navigating through ambiguous and /or complex issues.</li><li>Critical thinker, interested in playing a key role in driving the strategic vision for the ORM function within the firm and collaborating effectively with firmwide business, risk and control partners.</li><li>Self-starter with a natural inclination to interpret guidance, improve upon proposed ideas, organize and deliver recommendations, and deliver agreed upon solutions.</li><li>Intellectual curiosity and a quick learner.</li><li>Desire to travel.</li></ul>Education Bachelor's degree is required. Professional certifications (e.g., Operational Risk Manager certificate from PRMIA or similar, CFA, FRM) a plus. Oaktree Capital Management, L.P. is an equal opportunity employer Equal Opportunity Employment Policy Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources.

Vice President, Operational Risk Management

Information Governance and Compliance Officer Location Nottinghamshire Vicinity of Jnc 27 (of M1) Business Area EMSOU Department XS - EMSOU-Digi Intel &amp; Investigation Rank N/A Grade 6 Salary £36,996 - £40,950 Part/Full Time Full Time Hours per Week 37 Additional Working Conditions Not Applicable Type of Contract Permanent Vetting Level Required MV, SC Description Do you enjoy the complex world of policies, procedures, and data protection? EMSOU is seeking to recruit two full time Information Governance and Compliance Officer's into a permanent role located in the vicinity of junction 27. Please note that this role will require regional travel. As an Information Governance and Compliance Officer you will liaise with senior staff, officers, legal services and commercial suppliers providing proactive Information Governance support, offering specialist technical advice and ensuring that relevant strategies and policies are fit for purposes, effective, and implemented across the organisation. Key Responsibilities <ul><li>Assisting with the implementation, maintenance and continual improvement of our organisational Information Governance framework.</li><li>Supporting the Information Manager and Operational Security Officer in investigating and responding to information incidents.</li><li>Report on the findings audits and inspections in a clear and concise manner and make effective recommendations so that appropriate prioritisation and actions are taken.</li></ul>The must haves <ul><li>To be educated to degree level in a numerate or literate discipline or demonstrate experience of working at a similar level.</li><li>Hold relevant professional qualifications in information management, governance and / or data sharing such as BCS Practitioners Certificate in Data Protection, BCS Practitioner Certification in Information Risk Management; or demonstrate experience of working to a similar standard.</li><li>Demonstrate a working experience of the Data Protection Act, Information Security and Risk Management principles as they pertain to the collection, use, processing, storage, sharing and disposal of data and information.</li></ul>What's in it for you? At Leicestershire Police, we aim to create an environment that puts people first. We want you to feel supported in everything you do, so you can give your very best. What's more, we have a range of reward and benefits such as yearly salary increments, Bluelight Card (discounts), flexi scheme, pension contribution scheme, cycle to work scheme and so much more. <ul><li>For part time hours the salary will be calculated on a pro-rata basis, this is based on the number of hours for the vacancy.</li><li>Salary: £36,996 - £40,950</li><li>Due to MV/SC vetting requirements, you must have 5 years continuous residency within the UK at the time of application.</li></ul>What's next If we feel like a place where you can belong, we'd love to learn more about you. Please click apply to complete your application, stating how you meet the essential/desirable criteria as listed within the job description. To support you with your application we've provided some application <ul><li>Vacancy closes on Thursday 31st October 2024 at 23:55.</li></ul>Who we are Here at Leicestershire Police doesn't have to mean patrolling the streets. Just as important as our uniformed officers is our capable team of professional and support staff working behind the scenes. Its these skilled people, people like you who contribute to the policing of Leicestershire. To find out more about Leicestershire Police - EMSOU and understand how you can make a difference visit our and . EMSOU's commitment to inclusion, diversity, and equality At EMSOU we celebrate difference, encourage diversity of thought, and continually review our processes to maintain fairness, equality, and transparency. We aim to attract and retain the most talented people and we actively encourage applications from under-represented groups. Encouraging a healthy work-life balance and flexibility is central to our success and wherever possible we will consider job-share, part-time, agile working, and flexible working arrangements. We want to create an environment where everyone can achieve their full potential, and this applies equally during our recruitment process. EMSOU are Disability Confident Committed and are proud to be part of the movement of change encouraging organisations to think differently about disability and neurodiversity in the workplace. Those interested in applying are welcome to have an informal conversation with EMSOU HR to discuss any adjustments that may help either during the recruitment process or whilst carrying out the role to see if these can be accommodated. The force is undertaking Hays Job Evaluation scheme; therefore the advertised grade may be subject to change. To be completed by April 2024 and if there are any changes to the grade, they will take effect from this date. Document Attachment

Information Governance and Compliance Officer

Circa £50k salary depending on skills and experience Full time/37 hrs a week/permanent Location: Huntingdon or Lincoln Office with home working Benefits: 26 Days Annual Leave, Double Match pension (up to 6%), Bonus and private healthcare Anglian Water offers a flexible approach, the role provides you the flexibility to work from home and from an Anglian Water office. Your base location will either be in Huntingdon or Lincoln, with occasional travel across the Anglian Water Region. Make every drop of your potential count. Join our team! We currently have an exciting opportunity for a Compliance Analyst to join our Cyber team. The Compliance Analyst will ensure that the Anglian Water Group meets regulatory compliance requirements associated with the Payment Card Industry Data Security Standard (PCI-DSS). In the role you can expect a great deal of variety, as you'll be working with business stakeholders, but also with internal technology teams, external technology service providers, supply chain management teams, as well as building relationships with our PCI-DSS auditors. And that variety will carry over to your everyday activities, as you may be diving deep into the detail of how an area of our business processes cardholder information one minute, performing a scan of a payment website, writing supporting papers, then delivering a high-level overview to a business leader the next. This varied role conducts activities across all areas of PCI-DSS compliance. It will require close working with both technical and business functions to ensure on-going compliance with all in-scope PCI-DSS controls. You may be required to provide advice and guidance about the implementation and management of PCI controls, as well as being responsible for the continued auditing requirements for PCI-DSS, ensuring on-going compliance. The role holder will be expected to have a good understanding of a broad range of IT operations activities and technologies alongside detailed technical, and process controls necessary for PCI-DSS 4.0. What will you be doing? <ul><li>Work with the business to ensure that compliance requirements for PCI-DSS and its associated privacy requirements are met.</li><li>Own the Anglian Water PCI-DSS compliance processes to ensure adherence to defined PCI standards and Anglian policy</li><li>Maintain compliance metrics and assist with internal and external reporting.</li><li>Engage and build relationships with stakeholders, technical, operational, internal and external.</li><li>Be familiar and stay up to date with the payment industry and wider Info Sec risks and threats.</li><li>Interface with IT Teams to remediate or mitigate areas of risk, as needed.</li><li>Develop training and awareness programs and materials, and conduct required training around regulations affecting IT and the business.</li><li>Promote awareness and help educate employees on the need to comply with regulatory requirements.</li><li>Conduct compliance reviews and assessments.</li><li>Using a PCI-approved scanning toolset to ensure external sites adhere to PCI-DSS requirements</li><li>Identify any control gaps for PCI-DSS, progress with any programmes of work needed to remain compliant as new versions of the standard enforce new requirements.</li><li>Gain and maintain a formal Internal Security Assessor (ISA) qualification.</li></ul>As a valued employee you'll be entitled to: <ul><li>Competitive pension scheme - Anglian Water double-matches your contributions up to 6%</li><li>Personal private health care</li><li>Annual bonus scheme</li><li>26 days leave, rising with service + Bank Holidays, with the option to swap Christmas and Easter holidays for those celebrated by your religion</li><li>Life Cover at 8x your salary</li><li>Flexible benefits to support your wellbeing and lifestyle</li></ul>What does it take to be successful? <ul><li>A creative and analytical mind with good customer interfacing and excellent communications skills.</li><li>An understanding of PCI DSS and achieving PCI DSS compliance.</li><li>Comfortable around technology and technically minded people.</li><li>The ability to establish and operate a proactive and continual compliance approach.</li><li>Have good technical knowledge of PCI-DSS related services (desirable)</li><li>Have experience of auditing practices, such as but not limited to ISO27001.</li><li>Confident in their own abilities and credible with both senior leaders and other technical experts.</li><li>Organised and structured in their approach with tenacity and resilience to drive changes</li><li>Highly analytical approach with a strong attention to detail</li><li>Planning / delivery focussed / completer-finisher.</li></ul>You will need to hold a full driving licence as the role will involve occasional travel between sites. Inclusion at Anglian Water: Join us and make a difference. Our customers come from a wide range of backgrounds, and we think our workplace should reflect that. We are committed to making sure all our colleagues feel they belong and are supported to succeed. Together with our fellow water companies, we are committed to the Social Mobility Pledge; we are also a signatory to Business in the Community's Race at Work charter; we hold the Armed Forces Gold Covenant for Employers; we are an accredited Disability Confident employer and we play a leading part in the Women's Utility Network. Closing date: 20th October 2024 Interviews: Week Commencing 28th October #loveeverydrop

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