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Job Description We are seeking an experienced Market Risk Manager to join the London Market Risk team in Solutions business. The Market Risk Manager will be responsible for managing the market risk of the trading activities across a range of asset classes, including equities, fixed income, FX, credit and commodities. The successful candidate will have 5-10 years of experience in market risk management, including knowledge of risk management principles and methodologies. Key Responsibilities: • Monitor and analyse market risk exposure across multiple asset classes. • Identify potential risk issues and work with traders and other stakeholders to implement effective risk management strategies. • Review new business / product initiatives and make recommendations to Head of Market Risk. • Develop and implement risk policies and procedures, including risk limits and stress testing methodologies. • Conduct regular risk assessments and provide timely and accurate risk reports to senior management. • Work closely with other risk managers and control functions to ensure a consistent approach to risk management. • Stay up-to-date with regulatory developments and ensure compliance with relevant regulations. Requirements: • Bachelor's degree in finance, economics, or related field. • Minimum of 5 years of experience in market risk management, with exposure to both cash trading and derivatives across a number of asset classes. • Strong analytical and quantitative skills, with the ability to identify and analyse complex risk issues. • Excellent communication and interpersonal skills, with the ability to work collaboratively with traders and other stakeholders. • Strong understanding of financial markets, products, and instruments. • Knowledge of regulatory requirements related to market risk management. • Ability to work independently and manage multiple tasks simultaneously. • Ambitious, proactive with strong desire to achieve including going beyond what's required. • Computer programming skills. Coding in Python and SQL a strong advantage. Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative. Morgan McKinley encourages applications from all qualified candidates who represent the full diversity of communities in the UK. Accommodations are available on request for candidates taking part in all aspects of the selection process. BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

Structured Products Market Risk Manager - Brokerage

Job Description About the team and role We are seeking a highly motivated and experienced IT Audit Manager to join our dynamic, innovative, and collaborative Internal Audit team (14 people across the UK and the US). We provide forward-looking assurance, insight, and advice to enable Pearson to achieve its strategic objectives. As IT Audit Manager, you will be responsible for leading the planning, execution and reporting of varied IT and cybersecurity audit projects to time and quality in a professional, engaged, and responsible manner. You will take the lead in communicating results to Senior Management and be key to the Internal Audit team building strong relationships with stakeholders across the business. You will report to one of the Audit Directors and support the Internal Audit Leadership team with annual audit planning, audit committee reporting, and improvement activities as needed. This role offers a good opportunity for someone who would relish being part of a supportive team, working in an international environment, auditing across a diverse and fast changing technology and digital environment, and developing relationships with Senior Management. Location: The work will involve up to 20% international travel. Our key IT audit stakeholders are based in UK and US so occasionally flexibility may be required to work across these time zones. To facilitate this working from home is an option, but candidates will need to travel to their hub office (London, 80 Strand or Belfast, Clockwise River House) once a week for team/stakeholder meetings and other events. Main activities/responsibilities: <ul> <li>Leading the delivery of complex technology, application, infrastructure, and security audits, project / programme audits and integrated audits. Typical audit topics are wide ranging and may include Cloud, AI, IT governance and cybersecurity amongst others. </li> <li>Audit Managers are responsible for all aspects of the audit delivery including determining the risk-based audit scope, designing the approach/work programme, planning and project managing the audit delivery, conducting fieldwork activities and testing, proactive discussions with business and IT management to validate audit observations, through to report issue and file closure.</li> <li>Discussing audit findings with management and ensuring appropriate actions are agreed to mitigate risks identified.</li> <li>Preparing clear and concise reports, with commercially relevant recommendations to improve the internal control system and address weaknesses and process inefficiencies.</li> <li>Following up on the effective implementation of agreed actions, liaising closely with actions owners and business management.</li> <li>Building and sustaining positive working relationships with colleagues in Internal Audit and stakeholders in technology and the wider business. </li> <li>Supporting and coaching members of the team. </li> <li>Completing ad-hoc projects and supporting investigations as required.</li> <li>Being aware of developments in audit techniques and adapting and championing these to support continuous improvement in the way we work. </li></ul>Qualifications required: <ul> <li>Degree or equivalent level (in Information Security, Computer Science, or similar)</li> <li>Recognised IT audit or information security qualification (e.g. CISA, QICA, CISSP, CRISC, ISO27001 Lead Auditor, SSCP) </li> <li>Demonstrable practical experience of cybersecurity and IT auditing across IT processes, applications, infrastructure, IT security, cloud services and emerging technologies, able to understand processes and controls and identify potential risks to the business.</li></ul>Required skills: <ul> <li>Strong knowledge of IT risk management, security and control and a clear understanding of the relationship between technology and business risk.</li> <li>Solid knowledge of cybersecurity controls, network architecture, website platform development, secure coding, and virtual computing. </li> <li>Able to grasp complex technology issues and develop practical solutions.</li> <li>Good organisational and project management skills, able to handle multiple assignments simultaneously, resolve problems, and deliver to deadlines.</li> <li>Strong communication, relationship building and influencing skills - both written and verbal - able to communicate technical issues and recommendations to both technical and non-technical audiences at different levels in the organization.</li> <li>Collaborative approach to working within a team and with colleagues across the business.</li> <li>Digital and commercial focus.</li> <li>Flexible, innovative, self-motivated, critical thinker with the ability to leverage skills in new situations. </li> <li>Comfortable working independently in a relatively unstructured environment without the need for constant direction.</li></ul>Experience required: <ul> <li>Experience of auditing web applications / services, network, operating system, database security, cloud and AI.</li> <li>Experience of using cybersecurity and industry frameworks and standards such as NIST CSF, ISO 27001/2, PCI DSS, COBIT, and ITIL.</li> <li>Experience of auditing Agile software development methods.</li> <li>Experience of data analysis tools (e.g. IDEA, Tableau, Alteryx) and ability to support complex data extraction and analysis requirements.</li> <li>Exposure to major ERP systems, preferably Oracle.</li></ul>Your Reward &amp; Benefits We know you'll do great work, so we give a lot back with some of the best benefits in the business. We understand that one size doesn't fit all, so our workplace programs meet the different needs of our diverse teams and their families too. There are a range of options, too many to list here, but when you join our Pearson family you can look forward to: <ul> <li>Starting holiday of 25 days plus UK public holidays and you'll earn 1 additional day's holiday per year you work with us up to 30 days;</li> <li>A generous pension scheme where we match and double what you contribute; </li> <li>Maternity, paternity, and family care leave as well as flexible work policies; </li> <li>Stock/share purchase options; </li> <li>Healthcare and dental plans, and an employee well-being assistance program for you and your family to help balance work, family, and personal life; </li> <li>Cycle to Work Scheme, gym membership concessions in selected office locations, along with retail and leisure discounts. </li> </ul>About Us What to expect from Pearson Did you know Pearson is one of the 10 most innovative education companies of 2022? At Pearson, we add life to a lifetime of learning so everyone can realize the life they imagine. We do this by creating vibrant and enriching learning experiences designed for real-life impact. We are on a journey to be 100 percent digital to meet the changing needs of the global population by developing a new strategy with ambitious targets. To deliver on our strategic vision, we have five business divisions that are the foundation for the long-term growth of the company: Assessment &amp; Qualifications, Virtual Learning, English Language Learning, Workforce Skills and Higher Education. Alongside these, we also have our corporate divisions: Digital &amp; Technology, Finance, Global Corporate Marketing &amp; Communications, Human Resources, Legal, Strategy and Direct to Consumer. Learn more at We are Pearson. We value the power of an inclusive culture and a strong sense of belonging. We promote a culture where differences are embraced, opportunities are accessible, consideration and respect are the norm and all individuals are supported in reaching their full potential. Through our talent, we believe that diversity, equity and inclusion make us a more innovative and vibrant place to work. People are at the center, and we are committed to creating a workplace where talent can learn, grow and thrive. Pearson is an Affirmative Action and Equal Opportunity Employer and a member of E-Verify. All employment is decided based on qualifications, merit and business need. All qualified applicants will receive consideration for employment without regard to race, ethnicity, color, religion, sex, sexual orientation, gender identity, gender expression, age, national origin, protected veteran status, disability status or any other group protected by law. We strive for a workforce that reflects the diversity of our communities. If you are an individual with a disability and are unable or limited in your ability to use or access our career site as a result of your disability, you may request reasonable accommodations by emailing <a href="mailto:TalentExperienceGlobalTeam@grp.pearson.com" target="_blank">TalentExperienceGlobalTeam@grp.pearson.com</a>. To learn more about Pearson's commitment to a diverse and inclusive workforce, navigate to: <a href="http://www.pearson.com/careers/diversity-and-inclusion.html" target="_blank">http://www.pearson.com/careers/diversity-and-inclusion.html</a>. Note that the information you provide will stay confidential and will be stored securely. It will not be seen by those involved in making decisions as part of the recruitment process.

Internal Audit Manager - Technology

Qube Research &amp; Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative mindset, which enables us to solve the most complex challenges. QRT's culture of innovation continuously drives our ambition to deliver high quality returns for our investors. We are looking for a candidate that can act as the primary contact for any US Compliance regulatory matters, this position, which reports into the Director of Central and Operational Compliance, plays a crucial part in providing guidance and ensuring adherence to applicable regulatory requirements, leading the US/UK periodic regulatory filing framework and the running of daily central and operational compliance activities. Your future role within QRT: <ul><li>Undertake all Central and Operations Compliance related activities</li><li>Manage US regulatory framework</li><li>Support External investment programme and Operational Due Dilligence processes, including AML compliance</li><li>Ensure relevant Compliance legal and regulatory obligations have been adhered to</li><li>Operate Core Compliance programme on daily basis (PAD, OBI, Conflicts, Gifts and Entertaintment)</li><li>Providing advice, guidance and support to QRT Employees in relation to any central and ops compliance related queries</li><li>Organise and present Compliance Induction training</li><li>Advising Senior Management, Employees and the Compliance team with identifying and responding to Compliance arrangements, policies and procedures in a timely manner.</li><li>Manage weekly New Joiner and Leaver processes, including but not limited to monitoring completion of employee certifications for new joiners and existing staff annually.</li><li>Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA and other international regulatory bodies, in partnerships with Finance, Operations and Investor Relations teams</li><li>Monitor regulatory developments, Implement and enhance internal Central and Operational compliance policies and procedures as required</li><li>Administration of the NFA Associated Person training and NFA Principal registration processes</li><li>Co-ordination and production of the monthly management information, including but not limited to providing data to the various committees in the governance structure and Board committees</li><li>Delivery of mandated initiatives by partnering with internal and external stakeholders.</li><li>Assist with SMF applications to the FCA and updating the FCA Directory with changes to the Certified Persons population</li></ul>Your present skillset: <ul><li>Bachelor's degree or equivalent Compliance qualification</li><li>MS Office and databases</li><li>Prior Central and/or Ops Compliance experience is essential</li><li>Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules</li><li>Previous experience in a Compliance role at a buy-side firm is desirable</li><li>Excellent verbal, interpersonal, and written communication skills are essential</li><li>Strong administrative skills</li><li>Confident and adaptable, and possess an eye for detail</li><li>Some team leadership experience is desirable but not essential</li><li>Demonstrate ability to collaborate and partner effectively with global teams</li><li>Promote and foster good conduct, culture, and employee engagement</li><li>Experience of liaising with external clients/counterparties would be beneficial</li></ul>QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.

Compliance Specialist

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

Regulatory Compliance Senior Manager | Commodities and Global Markets

Why work for us? A career at Janus Henderson is more than a job, it's about investing in a brighter future together. Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class service. We will do this by protecting and growing our core business, amplifying our strengths and diversifying where we have the right. Our Values are key to driving our success, and are at the heart of everything we do: Clients Come First - Always | Execution Supersedes Intention | Together We Win | Diversity Improves Results | Truth Builds Trust If our mission, values, and purpose align with your own, we would love to hear from you! Your opportunity <ul> <li>Collaborate and consult with internal stakeholders including Investment, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within Charles River, and establish new processes as needed.</li> <li>Contribute to the review of legal documents and subsequent coding of logic-based investment guideline rules into Charles River for automated testing.</li> <li>Anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner.</li> <li>Work to improve the daily guideline oversight monitoring process within CRD to reduce manual testing and increase efficiency.</li> <li>Ensure timely and accurate completion of assigned and delegated workloads.</li> <li>Carry out additional duties as assigned. </li></ul>What to expect when you join our firm <ul> <li>Hybrid working and reasonable accommodations</li> <li>Generous Holiday policies</li> <li>Excellent Health and Wellbeing benefits including corporate membership to ClassPass</li> <li>Paid volunteer time to step away from your desk and into the community</li> <li>Support to grow through professional development courses, tuition/qualification reimbursement and more</li> <li>All-inclusive approach to Diversity, Equity and Inclusion</li> <li>Maternal/paternal leave benefits and family services</li> <li>Complimentary subscription to Headspace - the mindfulness app</li> <li>All employee events including networking opportunities and social activities</li> <li>Lunch allowance for use within our subsidized onsite canteen</li></ul>Must have skills <ul> <li>Charles River experience is preferred. Practical knowledge of coding investment restrictions within an order management system, such as Charles River, Aladdin, Bloomberg AIM, or ThinkFolio. </li> <li>At least 2 years' experience in guideline management compliance, with a specific focus on fund management and dealing functions. </li> <li>An understanding of the key regulatory frameworks and rule areas affecting JHI, including, but not limited to, regulations under UCITS, AIFMD, and the 40 Act rules.</li> <li>Familiarity with Microsoft SQL and Excel would be beneficial.</li> <li>The IMC or IAQ qualification is desirable although not essential.</li></ul>Nice to have skills In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include: <ul> <li>Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making.</li> <li>Solid understanding of equity and fixed income securities and derivatives products required.</li> <li>High energy, positive demeanor, enthusiastic, professional, with a strong work ethic.</li> <li>Pro-active and self-sufficient with ability to escalate where appropriate. </li> <li>Strong interpersonal and customer service skills </li> <li>Solid knowledge of fund management processes, instruments, products and funds.</li> <li>Understanding of current and proposed regulatory requirements impacting the Funds Management industry a plus.</li> <li>Good planning, prioritization, problem solving, and organizational skills are essential.</li> <li>Ability to work effectively under pressure and meet tight deadlines.</li></ul>Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by: <ul> <li>Annual performance appraisal</li> <li>Completion of all assigned compliance training</li></ul>Potential for growth <ul> <li>Mentoring</li> <li>Leadership development programs</li> <li>Regular training</li> <li>Career development services</li> <li>Continuing education courses</li></ul>You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role. At Janus Henderson Investors we're committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from all backgrounds. Don't worry if you don't think you tick every box, we still want to hear from you! We understand everyone has different commitments and while we can't accommodate every flexible working request we're happy to be asked about work flexibility and our hybrid working environment. If you need any reasonable accommodations during our recruitment process, please get in touch and let us know at <a href="mailto:recruiter@janushenderson.com" target="_blank">recruiter@janushenderson.com</a>. #LI-BM1, #LI-Hybrid #LI-DNI Janus Henderson (including its subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee's job functions (as determined by Janus Henderson at its sole discretion). All applicants must be willing to comply with the provisions of Janus Henderson Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. Janus Henderson is an equal opportunity /Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. All applications are subject to background checks.

Compliance Analyst Junior Coder

At Amazon, we're not just building the world's most customer-centric company - we're also pioneering new frontiers across industries. As a Senior Compliance Manager on our growing Amazon Payments UK (APUK) team, you'll be at the forefront of this transformation, ensuring our payments propositions adhere to the highest standards of regulatory compliance. Imagine a workplace where the pace is fast, the challenges are complex, and the impact is global. That's the world of Amazon. Here, you'll be responsible for providing expert regulatory oversight and guidance on new and existing products, services, and initiatives. You'll work closely with cross-functional stakeholders to develop sustainable, compliant solutions that delight our customers. Whether you're analyzing emerging regulations, designing robust control frameworks, or training the business on compliance best practices, your work will play a crucial role in maintaining the trust and integrity of the Amazon brand. You'll be empowered to think creatively, challenge the status quo, and implement cutting-edge compliance strategies. Sound like your kind of mission? Then we want you on our team. As a Senior Compliance Manager, you'll enjoy a collaborative, fast-paced culture that celebrates intellectual curiosity, rewards innovative thinking, and provides opportunity for growth. You'll report to the APUK Chief Compliance Officer, champion good customer outcomes and work alongside compliance experts and business pioneers, learning from the best and shaping the future of the industry. So if you're a compliance professional who's ready to make a real impact, we want to hear from you. Apply today and let's build the future together. Key job responsibilities - Ensure APUK's payment activities comply with all legal and regulatory requirements by monitoring business activities and regulatory change - Advise on regulatory requirements and develop compliance plans for new business initiatives - Develop, document, and maintain compliance policies and procedures - Deliver compliance awareness and training to the business - Prepare reports for internal governance committees - Review, challenge and approve risk records, policy breaches, and escalation items - Collaborate with business leads to respond to auditor and regulator inquiries BASIC QUALIFICATIONS - Experience in compliance, audit or risk management - Bachelor's degree or equivalent - Experience developing and implementing of standards, policies and programs or equivalent PREFERRED QUALIFICATIONS - Significant regulatory compliance experience in financial services or payments - Deep understanding of Payment Services Regulations and related FCA compliance areas like Consumer Duty, Complaints Handling and Safeguarding - Proven ability to lead compliance strategy and regulatory engagement - Experience of delivering results through collaboration - Excellent communication, influencing, and presentation skills - Strong analytical and problem-solving - Resilience and adaptability to thrive in a fast-paced, entrepreneurial environment Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. For individuals with disabilities who would like to request an accommodation, please visit <a href="https://www.amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://www.amazon.jobs/content/en/how-we-hire/accommodations</a>.

APUK Sr. Compliance Manager, APUK Compliance Office

Why work for us? A career at Janus Henderson is more than a job, it's about investing in a brighter future together. Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class service. We will do this by protecting and growing our core business, amplifying our strengths and diversifying where we have the right. Our Values are key to driving our success, and are at the heart of everything we do: Clients Come First - Always | Execution Supersedes Intention | Together We Win | Diversity Improves Results | Truth Builds Trust If our mission, values, and purpose align with your own, we would love to hear from you! Your opportunity <ul> <li>Conducting detailed investigations, as well as preparing and issuing notifications for long, short, and takeover panel threshold crossings.</li> <li>Proactively scanning for and assessing regulatory changes related to Thresholds across various jurisdictions where Janus Henderson funds are invested and working with the vendor to update coded monitoring rules in the Charles River Development GSD Module (CRD GSD).</li> <li>Undertaking additional investigations and manual controls to augment CRD GSD based processes.</li> <li>Assessing the Threshold reporting requirements for new markets and facilitating the implementation of coded rules within CRD GSD for new jurisdictions.</li> <li>Supporting Threshold-related sections JHI level projects and initiatives aimed at enhancing the Thresholds team's processes through improvements and automation.</li> <li>Developing and sustaining a positive and effective relationship with the CRD GSD coding team.</li> <li>Responding to external requests for positional data (Companies Act 2006 Section 793 and equivalent)</li> <li>Carry out other duties as assigned</li></ul>What to expect when you join our firm <ul> <li>Hybrid working and reasonable accommodations</li> <li>Generous Holiday policies</li> <li>Excellent Health and Wellbeing benefits including corporate membership to ClassPass</li> <li>Paid volunteer time to step away from your desk and into the community</li> <li>Support to grow through professional development courses, tuition/qualification reimbursement and more</li> <li>All-inclusive approach to Diversity, Equity and Inclusion</li> <li>Maternal/paternal leave benefits and family services</li> <li>Complimentary subscription to Headspace - the mindfulness app</li> <li>All employee events including networking opportunities and social activities</li> <li>Lunch allowance for use within our subsidized onsite canteen</li></ul>Must have skills <ul> <li>The IMC or IAQ qualification is desirable although not essential.</li> <li>Familiarity with the European Transparency Directive and previous experience in issuing market disclosures for threshold crossings.</li> <li>Systems: Experience with a Regulatory Disclosures system (Charles River, STAR, FundApps) experience is preferred.</li> <li>Technical Knowledge: Working experience in the key regulatory issues and rule areas impacting long, short and takeover threshold crossing disclosures.</li> <li>Products: Ideally experience across a range of product, instrument and fund types.</li></ul>Nice to have skills <ul> <li>Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making.</li> <li>Solid understanding of equity and fixed income securities and derivatives products required.</li> <li>High energy, positive demeanor, enthusiastic, professional, with a strong work ethic.</li> <li>Pro-active and self-sufficient with ability to escalate where appropriate. Highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels, influence and build relationships, and manage client expectations and competing priorities.</li> <li>Solid knowledge of fund management processes, instruments, products and funds.</li> <li>Understanding of current and proposed regulatory requirements impacting the Funds Management industry a plus.</li> <li>Good planning, prioritization, problem solving, and organizational skills are essential.</li> <li>Ability to work effectively under pressure and meet tight deadlines.</li></ul>Potential for growth <ul> <li>Mentoring</li> <li>Leadership development programs</li> <li>Regular training</li> <li>Career development services</li> <li>Continuing education courses</li></ul>You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role. At Janus Henderson Investors we're committed to an inclusive and supportive environment. We believe diversity improves results and we welcome applications from all backgrounds. Don't worry if you don't think you tick every box, we still want to hear from you! We understand everyone has different commitments and while we can't accommodate every flexible working request we're happy to be asked about work flexibility and our hybrid working environment. If you need any reasonable accommodations during our recruitment process, please get in touch and let us know at <a href="mailto:recruiter@janushenderson.com" target="_blank">recruiter@janushenderson.com</a>. #LI-BM1, #LI-Hybrid #LI-DNI Janus Henderson (including its subsidiaries) will not maintain existing or sponsor new industry registrations or licenses where not supported by an employee's job functions (as determined by Janus Henderson at its sole discretion). All applicants must be willing to comply with the provisions of Janus Henderson Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. Janus Henderson is an equal opportunity /Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. All applications are subject to background checks.

Compliance Analyst Threshold Disclosures

In good company. We're a global specialty insurance and reinsurance company enhanced by data and technology, focused on producing sustainable underwriting profitability and delivering significant shareholder value. Headquartered in Bermuda, we operate on a global basis, with over 500 employees and key underwriting operations in London, Bermuda, the US and Dublin. We work collaboratively, we share a passion for the service and results we deliver, and we know that what we do each day is meaningful - to our customers and our business. We're looking for a Compliance Analyst, Monitoring Based in London reporting to the Compliance Manager, Monitoring, the Compliance Analyst will use their skills, knowledge and experience to assist the Compliance Manager in the provision of timely, top-quality compliance advice to a range of business stakeholders and to the firm's governing bodies. In doing so, the capability to 'see the big picture beyond the task at hand', as well as a strong detail orientation, will be crucial to success. This role will also support the culture of compliance and good governance for our Lloyd's Managing Agency platform. What you will do Assist the Compliance Manager (Monitoring) with the following: <ul><li> Develop and continuously improve the methods for monitoring compliance (for all in-scope subject areas)</li><li> Prepare the annual Compliance Monitoring Plan</li><li> Conduct compliance monitoring in accordance with the Plan and agreed methodologies</li><li> Assist business stakeholders with the design of controls, where compliance monitoring identifies control weaknesses</li><li> Prepare compliance monitoring status reports, for submission to the quarterly Board and Committee meetings (detailing the level of compliance and control adequacy)</li><li> Track and report progress regarding agreed remedial actions (e.g. matters identified in compliance monitoring)</li><li> Conduct thematic and other reviews as required</li><li> Work closely with the other assurance functions to ensure a joined-up approach to oversight and reporting</li><li> Assist with the preparatory work in the event of regulatory inspections and information requests</li></ul>What you require for the role <ul><li> A working knowledge of relevant Lloyd's, FCA and PRA requirements </li><li> Relevant experience in a Managing Agent or general insurer</li><li> An understanding of Compliance Monitoring (purpose and practice)</li><li> Report writing skills</li><li> Good interpersonal and communication skills, with the ability to build effective working relationships at all levels</li><li> Ability to think critically, identify and analyse problems, and develop effective solutions</li><li> Proven track record of delivering assignments on time and to the required standard</li><li> Adaptability and a willingness to learn and improve processes</li><li> Self-motivated, proactive, collaborative and helpful to colleagues; following up tasks appropriately and keeping the team up to date on activities and progress</li><li> Open, innovative and inclusive mindset</li><li> Collaborative spirit</li></ul>Conduct Standards <ul><li> You must act with integrity</li><li> You must act with due skill, care and diligence</li><li> You must be open and cooperative with the CBI, FCA, the PRA and other regulators</li><li> You must pay due regard to the interests of customers and treat them fairly</li><li> You must observe proper standards of market conduct</li><li> You must act to deliver good outcomes for retail customers</li></ul>What you can expect from us We offer a vibrant, entrepreneurial, and collaborative culture guided by our values: Be Smart, Be Sensible, Be Open and Be More. We know if we welcome and respect differences, we'll attract and retain talent that brings a valuable diversity of perspectives and experience. We want all our colleagues to feel that they can bring their whole selves to work at Hamilton and know that they can be part of building a great company.

Compliance Analyst, Monitoring (12 Month Contract)

Who we are About Stripe Stripe is a financial infrastructure platform for businesses. Millions of companies - from the world's largest enterprises to the most ambitious startups - use Stripe to accept payments, grow their revenue, and accelerate new business opportunities. Our mission is to increase the GDP of the internet, and we have a staggering amount of work ahead. That means you have an unprecedented opportunity to put the global economy within everyone's reach while doing the most important work of your career. About the team At its core, Stripe is a treasury company. We fulfill our mission of growing the online economy by empowering our users to move money to and from their own user constituents, and to understand and optimize these flows. In this way, our treasury is inextricably intertwined with our products. In order to continue to build novel and powerful products for our users, our own treasury capabilities, including financial risk management capabilities, must be excellent. The Capital and Financial Risk Management team sets Stripe's financial risk strategy and develops analytical tools to promote risk-aware allocation of our resources ensuring that Stripe has sufficient capital and liquidity to support our users in all operating conditions. Within CFRM, Financial Risk Management also works closely with product and other finance teams to shape our understanding of how Stripe is performing as a business and what our best opportunities are for continued growth. We are looking for someone to join us to work alongside our business partners and our world-class engineers. What you'll do To support Stripe's growth, we're looking for a stellar candidate to join our EMEA-based team. The FRM Associate will help shape Stripe's risk management governance in the EMEA region, building deep knowledge of Stripe's liquidity, funding, and market risk systems and processes, as well as representing Treasury in key risk oversight forums. The ideal candidate will have strong technical and interpersonal skills combined with the ability to work across product, sales, data science, and engineering to drive user-centered product solutions that incorporate sound financial discipline. If you are passionate about risk-centered product management, data analytics, and driving financial discipline in company-wide decision making and strategy, we want to hear from you! Responsibilities <ul><li>Represent Treasury CFRM in interactions with EMEA 2nd Line of Defense teams and share responsibility for both board communications and responses to regulatory inquiries </li><li>Drive Stripe's approach to pricing the cost of financial resources/risk factors, predominantly capital, liquidity, and FX, at both the product and user level</li><li>Partner with product teams to design solutions that optimize across user needs, commercial objectives, and financial discipline</li><li>Collaborate with TFIN colleagues to define target business and risk metrics to ensure product performance while remaining within our financial risk appetite </li><li>Partner with data science and engineering teams to develop tooling, observability, and analytics to support this work</li><li>Further build out our financial risk governance framework, including board, management and team level key risk indicators and early warning indicators</li></ul>Who you are We're looking for someone who meets the minimum requirements to be considered for the role. If you meet these requirements, you are encouraged to apply. The preferred qualifications are a bonus, not a requirement. Minimum requirements <ul><li>5+ years of experience in one or more of: Treasury, financial risk management, deal pricing, and market risk (FX and interest rate risk)</li><li>A proven ability to work with and synthesize large-scale, complex data sets to develop observability and actionable insights to underpin both day-to-day and event-driven decision-making </li><li>Track record of strong self-management and ability to handle both high-velocity, short-term deliverables while also progressing longer-term strategic objectives </li><li>Demonstrated curiosity, resilience, problem-solving skills, and desire to contribute to a high-functioning team operating in a dynamic and fast-paced environment </li><li>Excellent verbal and written communication skills</li></ul>Preferred qualifications <ul><li>An enthusiastic "roll up your sleeves" and get things done mindset</li><li>The ability to deal effectively with ambiguity and thrive in an unstructured, fast-moving environment</li><li>An inclination to solve problems systematically via infrastructure, automation, and repeatable frameworks</li><li>A builder's mindset with a willingness to question assumptions and conventional wisdom</li><li>Experience with SQL or a willingness to learn is a strong plus</li></ul>

Financial Risk Management Associate, EMEA

Deputy Risk and Regulatory Compliance Officer Office based role - London or Milton Keynes Are you ready to make a significant impact in the world of digital payments with one of Europe's most innovative payments companies? Join viva.com as a Deputy Risk and Regulatory Compliance Officer, where your expertise will drive innovation and strengthen our risk management framework. This is a unique opportunity to work in a dynamic environment, collaborating with top-tier professionals, and contributing to a sustainable cashless economy. Apply now to become a pivotal part of our team and help shape the future of payments. Why viva.com viva.com is a leading European cloud-based neobank, delivering the future of payments, now. With presence in 24 markets, it is the payment institution with the largest footprint in Europe. viva.com's mission is to change the way businesses pay and get paid, offering truly unifying, yet localized, end-to-end advanced digital payments solutions and embedded banking services tailored to their needs. An advocate for a sustainable cashless economy, the Organisation delivers digital payments services across three different time zones, in 17 languages and 9 currencies, featuring over 30 payment methods. Harnessing the power of revolutionary technologies, such as the viva.com Terminal app and Smart Checkout payment gateway, viva.com provides an omnichannel solution, that offers seamless, conversion-boosting and secure ways to process online and in-person transactions, streamlining business operations and enhancing the customer experience. Learn more at viva.com About the role: We are currently seeking an experienced, skilled, and detail-orientated Deputy Risk and Regulatory Compliance Officer to join our Risk and Compliance Team. In this role, you will be instrumental in developing, maintaining, and continuously enhancing our compliance and risk management framework. You will be expected to foster a strong risk culture throughout the organization by promoting awareness, knowledge, and training in collaboration with the Chief Risk Officer and Head of Regulatory Compliance. As a Deputy Risk and Regulatory Compliance Officer, you will <ul><li>Work closely with the Chief Risk Officer and Head of Regulatory Compliance and deputize when required. </li></ul><ul><li>Lead the development and execution of a comprehensive compliance monitoring plan. </li></ul><ul><li>Support the monitoring of business activities for compliance with internal policies and external regulations. </li></ul><ul><li>Manage direct reports, providing mentorship and coaching to foster their professional growth and enhance their skills. Cultivate a supportive environment that encourages knowledge sharing and continuous improvement among team members. </li></ul><ul><li>Proactively consider changes to laws and regulatory requirements and ensure that the organization is informed, and also to lead on the implementation of any required business changes. </li></ul><ul><li>Facilitate training sessions for employees on compliance policies and risk management practices. </li></ul><ul><li>Work closely with various departments to advise on risk and compliance matters, ensuring that business strategies align with regulatory and ethical standards. This includes managing senior stakeholders within the business to influence any desired changes. </li></ul><ul><li>Lead on scoping and execution of internal and external audits related to risk and compliance. Implement corrective actions and enhancements based on audit findings. </li></ul><ul><li>Participate in the investigation of compliance issues and risk incidents. Prepare reports and documentation for internal and external stakeholders, including regulatory bodies. </li></ul><ul><li>Take an active role in the development and coaching of team members. Foster a culture of continuous improvement and learning by identifying training needs, providing constructive feedback, and supporting career growth opportunities for team members in the risk and compliance function. </li></ul><ul><li>Execute and embed a comprehensive risk management strategy aligned with the company's objectives, regulatory requirements, and industry best practices. This will include ownership of the Enterprise-Wide Risk Management Framework, the risk appetite, and risk thresholds. </li></ul><ul><li>Ensure that the UK business tracks all of its Key Risk Indicators (KRI's) on a regular basis, and monitor on and report breaches to the ERC </li></ul><ul><li>Chair (when necessary) and ensure ownership of the ERC Committee to provide the SLT with a mechanism to oversee all key risks to the UK business </li></ul><ul><li>Report all material risks to the Board of Directors, and ensure that all key risks are adequately monitored. </li></ul><ul><li>Lead the development and enhancement of compliance and risk management information (M.I.) and use this information to develop business-wide compliance and risk strategies. </li></ul><ul><li>Project manage regulatory change initiatives and ensure good governance and delivery of key projects (e.g. APP scams) </li></ul><ul><li>Help to deal with ad hoc inquiries either from the business and/or the Group </li></ul><ul><li>Help to deal with and manage the flow of information requests and the overall relationship with our key regulator (FCA). </li></ul><ul><li>Manage and support the ongoing implementation of Consumer Duty work across the organization, ensuring it is continually aligned with the expectations set out by the FCA </li></ul>Requirements Essentials: <ul><li>Bachelor's degree in Law, Finance/Economics, Business Administration, or related field from a top institution. </li></ul><ul><li>Minimum of 7 years of experience in: </li></ul><ul><li>Risk management, </li></ul><ul><li>Regulatory Compliance, </li></ul><ul><li>Regulatory or related field, </li></ul><ul><li>Excellent understanding of payment industry standards and regulatory requirements (PSD2, E-money regulations, Consumer Duty, Operational resilience etc) </li></ul><ul><li>Excellent understanding of risk assessment methodologies, risk appetite, enterprise wide risk frameworks and compliance frameworks. </li></ul><ul><li>Excellent analytical, organizational, and decision-making skills. Proficient in Microsoft Office Suite, with a strong emphasis on Excel and PowerPoint. </li></ul><ul><li>Ability to communicate effectively across all levels of the organization and with external stakeholders. </li></ul><ul><li>Strong ethical judgment and the ability to handle confidential information with discretion. </li></ul><ul><li>A proactive, detail-oriented individual who can work independently and as part of a team. </li></ul><ul><li>Fluent English language skills, both written and verbal. </li></ul>Of advantage, although not essential: <ul><li>A master's degree or professional certifications (e.g., CRCM, CRISC). </li></ul><ul><li>Experience of working with Payments, Finance, and/or E-Money Institutions. </li></ul>Personal Profile: <ul><li>Demonstrates superior written and verbal communication skills coupled with sharp commercial acumen. </li></ul><ul><li>Possesses outstanding interpersonal abilities, crucial for building strong, enduring relationships. </li></ul><ul><li>Confident and professional in interactions with individuals at all levels, showcasing the ability to engage a diverse range of stakeholders. </li></ul><ul><li>Capable of working independently, utilizing initiative to navigate and resolve complex issues. </li></ul><ul><li>Comfortable making independent, judgment-based decisions with significant potential impacts on viva.com and its customers. </li></ul><ul><li>Exhibits exceptional organizational capabilities and an unparalleled attention to detail. </li></ul><ul><li>Approaches work with a passionate, tenacious attitude, and a solution-oriented "can do" mindset. </li></ul><ul><li>A true team player, deeply committed to contributing to the success and future growth of viva.com, taking pride in personal and collective achievements. </li></ul>#LI-Onsite Benefits <ul> <li>Individual performance bonus.</li> <li>Private medical health insurance.</li> <li>25 Days holiday rising to 30 with service + bank holidays.</li> <li>A diverse multi-cultural working environment.</li> <li>Opportunity to fast track skills development by working on a broad range of risk topologies, within the fast evolving digital payments environment. </li> <li>Technology focused organization, employing many leading edge technologies.</li> <li>Office based role working out of either London or Milton Keynes offices. </li> <li>9am-5pm office hours Monday to Friday.</li> </ul>

Deputy Risk and Regulatory Compliance Officer

Job Description This is a position that will support the News UK Technology Business Unit Internal Controls and SOX Compliance programs. This position will report to the SVP Business Operations &amp; Programmes in Technology. Candidates must possess a strong knowledge of the underlying principles for designing, documenting and testing internal technology controls, including a solid working knowledge of the SOX Compliance Framework and other technology control frameworks (e.g. COBIT, COSO, NIST). Candidates must be excellent communicators skilled at influencing and implementating change without direct authority, while partnering with key stakeholders across the business. Day to day you will: <ul> <li>Lead the successful completion of the annual SOX compliance program from a Technology perspective.</li> <li>Manage the relationships and be the main liaison with SOX Program Management Office, Corporate Audit and external audit partner.</li> <li>Engage with key stakeholders including executive and senior management, risk and compliance functions and IT system owners to ensure all SOX requirements are understood and monitored.</li> <li>Plan, coordinate and execute all phases of IT SOX compliance.</li> <li>Oversee additional dedicated Internal Controls / SOX Compliance resources in the pursuit of this objective.</li> <li>Track and monitor overall ITGC SOX Assessment status for monthly and quarterly reporting to senior management. Ensure all ITGC SOX deliverables and deadlines are met.</li> <li>Work with control owners to identify, design and complete management's assessment and testing of technology related controls.</li> <li>Support IT system owners and control owners in the preparation and execution of the annual SOX testing plan, while completing tests of design effectiveness and operating effectiveness.</li> <li>Review, assess, and evaluate identified or reported deficiencies, ascertain root causes, create effective remediation plans and verify implementation of corrective actions.</li> <li>Review and assess the significance and potential impact of reported deficiencies and assist in identifying compensating controls as needed.</li> <li>Coordinate with the IT system owners in the implementation and improvement of controls and processes including the design, update and streamlining of the IT control environment.</li> <li>Provide support and assistance to other groups or individuals involved in the global SOX compliance program throughout the Company.</li> <li>Establish and maintain good working relationships with business groups and help address internal control related issues.</li> <li>Maintain the SOX program results and documentation in the corporate SOX management application.</li> <li>Assess processes, risks, and controls to identify control gaps and improvement opportunities across the business, and outside of the SOX compliance program.</li> <li>Support process improvements and control optimization projects outside of the SOX program.</li> <li>Providing advice and counsel to management on internal controls and SOX Compliance.</li> <li>Drive improvements by enforcing best practice and standards and sharing learnings across teams. This role will be primarily focussed on Technology SOX compliance in the first instance. However there is potential to expand into wider areas of Technology controls compliance once established.</li></ul>What we're looking for from you: <ul> <li>Big 4 external or internal audit background with a strong focus on ITGCs.</li> <li>Solid understanding of SOX and internal control concepts (e.g., COSO, COBIT, ITIL, ISO 27001).</li> <li>Strong written and interpersonal skills.</li> <li>Strong experience of relevant public accounting, audit and/or private industry experience in SOX compliance, project management, External Audit, Internal Audit - Financial, IT</li> <li>Strong knowledge of the SOX, COSO regulations, technology controls, and is well versed on the PCAOB.</li> <li>Degree in Information Systems or related qualification.</li> <li>Professional qualifications required such as CIA, CISSP, CISA, CA, CPA</li></ul>We are News UK: One of the leading media businesses in the UK and Ireland. Our newsbrands include The Times, The Sunday Times, The Sun, The Sun on Sunday and The TLS. Our national broadcast brands include talkSPORT, Times Radio, Talk and Virgin Radio UK, and we have market-leading local radio stations across Ireland. Our world-famous brands provide news, analysis, opinion and entertainment to almost 40 million people each month. Spanning print and pixel, audio and video, events and experiences, our multiplatform brands are home to a plurality of opinion, representing the diverse communities we serve. News UK is wholly owned by News Corp. Life at News Driven by passion, guided by principles and acting with purpose. We represent, reflect and reach the nation, telling the stories that matter. We inform our audiences so that they can make decisions based on trusted information. To do this, we believe our employees must represent different backgrounds, perspectives and experiences. We strive to maximise and encourage every individual's potential and ensure everyone feels valued. We support this through our Diversity, Equity and Inclusion Strategy, which focuses on three main priorities - attracting talent from a wider, more representative pool, developing equity programmes to drive better representation in our leadership, and ensuring diversity and inclusivity in our workforce as well as the journalism and content we produce. We also currently have 12 employee led networks and groups that support our strategy and connect like minded employees socially. Benefits Some of our benefits include: <ul> <li>Maternity leave up to 18 weeks full basic salary &amp; paternity leave up to 2 weeks</li> <li>Wide range of training available, plus full LinkedIn Learning access</li> <li>Private medical insurance including coverage for pre-existing conditions</li> <li>Discounted gym memberships, free ClassPass at Home, weekly virtual yoga classes</li> <li>'Bikes for Work' and 'Electric Car' scheme</li> <li>Up to 60% discount on Harper Collins books</li> <li>Access to exclusive events and competitions with exciting brands such as talkSPORT, Virgin Radio UK &amp; The Times. Weekly virtual panel chats with top journalists and celebrities</li> <li>Access to wellbeing benefits such as EAP, physio/massage and counselling</li> <li>A generous pension scheme with employer contributions of up to 5%</li> <li>30 days holiday, plus bank holidays and up to 4 volunteering days per year</li></ul>We want to ensure that everyone has the opportunity to perform to their best when applying for a role. If you would like to receive any information in a different way or for us to do anything differently to support you apply for any of our roles please contact us on [email protected].

SOX & Compliance Senior Manager - Technology

THE ALLSAINTS TEAM At AllSaints we are in the business of feelings - making our customers feel cool and confident. If, like us, you believe in the power of a great outfit, we'd love to talk to you. We're a global brand made up of a very diverse mix of talented people in a huge variety of roles. Our products are designed in house and made by a small number of suppliers and artisans around the world to sustainable standards. We are a brand embarking on a very exciting plan and we are seeking new members of the team who want to contribute to this. THE ROLE As an experienced Testing and Compliance Specialist you will report to the Technical Manager, whilst building tight knit relationships with the Design, PD, Buying, Production, Wholesale teams and Vendors, to ensure the performance of the finished products reaches the AllSaints high standards. AllSaints prides itself on our employee's abilities to collaborate and work collectively, so being a team player is also at the top of our list! WHAT WILL I BE DOING? <ul><li>Managing and updating the Company Supplier Manual</li><li>Managing and updating the Company Care Label manual and ensuring all the relevant languages and care advice are added to ensure bulk stock is compliant for all regions</li><li>Managing and updating the Company testing manual to ensure the most up to date testing methods and requirements are followed</li><li>Support the buying teams and Global teams, in assessing existing testing methods and implementing new testing standards and provide training where needed</li><li>Working with wholesale team to check and ensure products are compliant for all required regions, responsible for management of supporting documentation</li><li>Work with Nominated laboratories to carry out seasonal garment spot check testing</li><li>In collaboration with Product Technologist, helping risk assess products at buying stage to reduce compliance &amp; performance issues</li><li>Prepare monthly summaries of all compliance issues or updates to the Technical Manager</li><li>Work with the Senior Technologists on the quarterly vendor score cards</li><li>Provide testing and compliance support for AllSaints Group brands and license partners</li><li>A good knowledge of Sustainability would be beneficial with regards to the processes involved in accreditation</li></ul>WHAT SKILLS DO I NEED FOR THIS ROLE? <ul><li>Formal Qualification, preferably in Fabric Technology or a related field, or equivalent work experience in Quality Assurance.</li><li>Must be fluent in written and spoken English.</li><li>Proven relevant compliance management experience.</li><li>Strategic thinker and strong analytical and presentation skills.</li><li>Good business acumen, including superior written and verbal communication skills, presentation skills, and organizational abilities.</li><li>Demonstrated success managing new initiatives while meeting operating and budgetary requirements.</li><li>Analyze problems, detect root causes and resolve all issues.</li><li>Excellent time management, planning, organization and prioritization skills.</li><li>Multiproduct experience necessary.</li></ul>ABOUT THE LOCATION Based in our East London Studios in vibrant Shoreditch with perks and benefits offered from local businesses including discounts on food, shopping and health &amp; beauty. Studio Location . Approximately a 10 minute walk from Liverpool Street Station and a 5 minute walk from Shoreditch High Street. WHAT WE STAND FOR The Customer is the Boss We work as one proud team to get the best for our customers One Team We are joined up and encourage others to share their ideas We Do What We Say We Will We know our goals, and we work with clear outcomes in mind We Are Responsible We are self aware, understand the impact we have on others and are positive about the future BENEFITS <ul><li>A generous wardrobe allowance so that you can wear our beautiful clothes to work each day</li><li>We are a disability committed certified employer</li><li>Employee discount for you to spend with family and friends</li><li>25 days holiday increasing to 28 days after 2 years continuous service</li><li>Bank holidays, birthdays and volunteering days off</li><li>Access to dental cash plan &amp; free virtual GP appointments through Aviva</li><li>UNUM employee assistance helpline</li><li>Life assurance cover</li><li>Access to discounted gym membership and corporate discounts</li><li>Hybrid working in our historic East London studios, working hours are 9-5.30pm</li><li>Free, confidential, wellbeing and lifestyle support with Retail Trust</li><li>Enhanced family leave benefits (neonatal, fertility, maternity, paternity, adaption, menopause)</li><li>Health days for you to use either for physical or mental wellness</li><li>Dedicated mental health support from our mental health first aiders</li><li>Eye care vouchers, season ticket loans and much more!</li></ul>#WeAreAllSaints Our aim is to develop truly diverse teams and create an environment where everyone feels respected, valued and able to give of their best whilst contributing to the success of our brand. We recognise the importance and strength of diversity and commit to providing equal opportunities to everyone in our employment and recruitment processes. We safeguard against any form of discrimination irrespective of gender, gender reassignment, marital status, race, ethnic origin, nationality, disability, sexual orientation, religion, gender identity, gender expression, transgender status or age. Even if you feel you don't tick all the boxes, we'd still very much like to hear from you. We want you to know that finding people who have a passion for our brand and are open to learning is incredibly important to us. If you need any support or adjustments during your application, please get in touch with us and we are happy to help. #LI-Hybrid Closing date: 17th December 2024

Testing & Compliance Specialist

Founded in 2012, Bitfinex is a digital asset trading platform offering state-of-the-art services for digital currency traders and global liquidity providers. We're on a mission to create the most innovative cryptocurrencies exchange. This is a unique opportunity, a rare window of time at the tipping point of the financial evolution. Much like the early days of the internet, blockchain technology faces complex new challenges and having the best team plays a pivotal role in success. Our team is fully remote and globally distributed to capture the best talent from around the world. So far our company has grown fast and stayed lean to secure its place as a leader in the space. If you get excited about being in an industry that is breaking new ground and have confidence you can conquer the most challenging feats we'll encounter, we want to talk to you. Join us, and help lay the foundation for a decentralized future. Global Senior Compliance Officer (100% Remote) The Senior Compliance Officer (SCO) reports to the Chief Compliance Officer (CCO) and provides tactical support to the CCO in administrating the Compliance Program across all jurisdictions. The SCO is an experienced, passionate individual and team player able to work with a minimum of supervision, showing initiative and foresight and with the ability to deliver results with confidence. With a background in both AML and non-AML compliance, experienced or knowledgeable in risk management and with a passion for crypto and its place in society going forward, the SCO will be an important andtrusted member of the Compliance Team. The SCO will work closely with the Head of Risk, Head of Audit, VP Licensing, Chief Operations Officer (COO), Head of AML and Transaction Monitoring, Head of IT and Cyber Security, Legal Counsel, Head ofInternal Testing, Head of Business Development and other 'C Suite' and management leads across iFinex and its affiliates. The SCO in supporting the CCO function will help ensure the efficiency and effectiveness of the Compliance Program and supporting a 'Culture of Compliance' across the organization. In establishingstandards, implementing procedures and fostering a 'Culture of Compliance', the SCO helps ensure that the compliance programs within the organization are effective and efficient in identifying, preventing, detectingand correcting non-compliance with applicable laws and regulations. Responsabilities Include: Focused primarily on non-AML Compliance the SCO's responsibilities include (but are not limited to): <ul><li>Project Management of Compliance Initiatives incl. Action Plans</li><li>Coordination of Internal and External Testing</li><li>Policy and procedural development in alignment with applicable laws, regulations and regulatory expectations</li><li>Reporting analysis, interpretation and remedial planning</li><li>Regulatory liaison, (in partnership with The Head of AML) Peer industry liaison, initiatives and shared best practices</li><li> Compliance Training Program Development</li><li>Preparation and submission of Board, Senior Management and mandatory regulatory reporting</li><li>Oversight of Compliance related 3rd party and Vendor Management</li></ul>In addition to the skill set preferred requirements listed below the incumbent must be able to work independently with minimum supervision in managing the team, flexible as to working arrangement and hours and confident in making decisions as delegated by the CCO. Knowledge: o University education o Demonstrated experience in a senior international AML/CTF, Sanctions and/or Risk Management compliance role o Demonstrated knowledge and experience of the "Four Pillars of AML", conducting AML and/or Compliance Program risks assessments o Demonstrated knowledge and experience on the concept, evaluation and mitigation of risks relating to the AML Program and non- AML o Good understanding of financial services including securities, trading and the Capital Markets o Good technical understanding about how crypto currencies including Stable Coins and Privacy Coins and the Lightning Network operates and the concept of the Blockchain o ACAMs or equivalent Risk Management / Audit certified preferred o Audit and/or internal/external compliance testing experience (preferred) o Regulatory or regulatory liaison experience, (preferred) o Familiar with iFinex business operations Skills: o English as a 1st language (or strong English verbal and written skills) o Secondary language, (Spanish, Portuguese, Russian - (preferred) o Excellent written (incl. report writing) and verbal communication skills o Skilled in writing in Plain English (preferred) o Demonstrated critical-thinking skills, (decision-making) o Advanced organizational understanding and the management of change o Demonstrated experience in leading or working seamlessly organizational pillars (preferred) o Demonstrated experience in interacting with regulators, industry peers

Global Senior Compliance Officer (100% Remote UK)

We are looking for a Product and Regulatory Compliance Manager to join our Regulatory Compliance team based in London. The successful candidate will play a critical role in helping the business manage its risk in relation to product safety, trading standards, consumer protection and general regulatory compliance across 10 markets in a rapidly evolving industry. The role will report to the Head of Ethics, Compliance &amp; Insurance and be overseen on a day-to-day basis by the Deputy Head of Food Safety and Regulatory Compliance. You will also work closely with other senior stakeholders across Legal, Policy, Product, Care and Operations to put in place the right compliance policies and risk mitigation measures for various business initiatives. You will be responsible for providing pragmatic, risk-based solutions to enable the business to pursue its commercial objectives in a responsible and compliant manner. We are also seeking an individual with a passion for using data to spot emerging risks, insights and trends that we can leverage to innovate and improve our programme. This role is a unique opportunity to work in an exciting global business, headquartered in London, and play a critical role in shaping and delivering Deliveroo's new retail strategy. This role is based out of our London office; you will need to be on-site 3 days a week. What you'll do: <ul><li>Provide high-quality, risk-based advice across a range of regulatory compliance areas but with a particular focus on non-food product safety, consumer protection and alcohol licensing in a complex and ever-evolving regulatory environment.</li><li>Support the maintenance and development of retailer-facing policies, guidance, processes or other measures as necessary to mitigate business risks.</li><li>Focus on metrics that allow us to monitor trends and patterns across compliance processes to help detect and remediate issues, and continuously improve our product and regulatory compliance programme.</li><li>Build relationships of trust with stakeholders across our business - partner with our business to unlock opportunities, provide pragmatic advice and manage product safety and regulatory risk along the way. </li><li>Support our product safety and regulatory compliance due diligence processes across multiple markets - including with respect to individual partners - and identify and develop creative solutions to help the business manage compliance. </li><li>Oversee the way in which we sell various restricted products via the platform, such as alcohol or over-the-counter medicines.</li><li>Work as part of an incredible supportive, collegiate and collaborative team to deliver our shared compliance vision and strategy. </li><li>Embrace opportunities to develop and hone your leadership skills. </li></ul>Your daily and monthly responsibilities will include: <ul><li>Risk assessment and mitigation: lead on initial assessment of compliance risks associated with the continued expansion of Deliveroo's retail (non-food) initiatives and provide practical and pragmatic solutions on how risks should be managed.</li><li>Risk monitoring: implement and maintain systems to monitor adherence to policies &amp; processes, alongside ensuring measures to mitigate identified risks remain effective. </li><li>Monitor trends for continuous improvement opportunities: identify any trends through partner and customer feedback to use for the purpose of improving policies, processes and risk management.</li><li>Product safety policies and processes: develop and maintain robust product safety policies and implement best practice protocols across our network of partners.</li><li>Sale of restricted products and licensing: collaborate closely with Policy and Legal teams to understand and record the legal and regulatory requirements for products to be sold on the platform, and maintain a compliance framework for the safe sale of those products across our global businesses.</li><li>Legislative/regulatory horizon scanning: work closely with the Legal and Policy teams to ensure that the business stays ahead of local, national and international laws concerning the on-demand delivery industry, including consumer protection and product safety.</li><li>Collaborating with our in-house Legal colleagues: work alongside our in-house Legal colleagues to understand different legislative and regulatory requirements across our markets and ensure our compliance strategy compliments our broader legal and compliance strategies.</li><li>Product development support: work with the Product, Tech and Marketing teams, as needed, to review and advise on new product features, menu re-designs, marketing promotions and other consumer-facing features. Extend regulatory compliance expertise and propose recommendations on new product development, labelling requirements etc.</li><li>Regulatory requests &amp; investigation support: serve as a contact with our UK Primary Authority on retail (non-food) safety and trading standards matters and support the Deputy Head of Food Safety and Regulatory Compliance in dealing with any information requests from regulatory authorities.</li><li>Recalls: support the product recall process and provide guidance to the business on execution.</li><li>Sale of restricted products and licensing: collaborate closely with Policy and Legal teams to understand and record the legal and regulatory requirements for products to be sold on the platform, and maintain a compliance framework for the safe sale of those products across our global businesses.</li><li>Training &amp; Culture: promote a culture of product safety and compliance across the business; develop and deliver internal training for the wider business teams on key regulatory compliance issues and developments. </li></ul>What are we looking for? <ul><li>Qualified trading standards professional, or other similar consumer law qualification or experience.</li><li>5+ years experience with product regulatory compliance but be prepared to bring that experience to bear in new ways. Ideally holds a trading standards or other similar consumer law qualification</li><li>Experience of managing product safety risks across multiple product categories, and ideally multiple countries. Working within the demands of a high care business would be a plus.</li><li>Experience working with technical/product development teams, solving problems in a collaborative and scalable manner.</li><li>In-depth regulatory knowledge in product safety and excellent understanding of the legal requirements and challenges.</li><li>Experience of promoting product safety across businesses, identifying compliance trends through the creative use of data and taking those insights to improve policies/procedures that address product and regulatory risks.</li></ul>Why Deliveroo Our mission is to transform the way you shop and eat, bringing the neighbourhood to your door by connecting consumers, restaurants, shops and riders. We are transforming the way the world eats and shops by making access to food and products more convenient and enjoyable. We give people the opportunity to buy what they want, as they want it, when and where they want it. We are a technology-driven company at the forefront of the most rapidly expanding industry in the world. We are still a small team, making a very large impact, looking to answer some of the most interesting questions out there. We move fast, value autonomy and ownership, and we are always looking for new ideas. Workplace &amp; Benefits At Deliveroo we know that people are the heart of the business and we prioritise their welfare. Benefits differ by country, but we offer many benefits in areas including healthcare, well-being, parental leave, pensions, and generous annual leave allowances, including time off to support a charitable cause of your choice. Benefits are country-specific, please ask your recruiter for more information. Diversity At Deliveroo, we believe a great workplace is one that represents the world we live in and how beautifully diverse it can be. That means we have no judgement when it comes to any one of the things that make you who you are - your gender, race, sexuality, religion or a secret aversion to coriander. All you need is a passion for (most) food and a desire to be part of one of the fastest-growing businesses in a rapidly growing industry. We are committed to diversity, equity and inclusion in all aspects of our hiring process. We recognise that some candidates may require adjustments to apply for a position or fairly participate in the interview process. If you require any adjustments, please don't hesitate to let us know. We will make every effort to provide the necessary adjustments to ensure you have an equitable opportunity to succeed. Please click here to view our candidate privacy policy.

Product & Regulatory Compliance Manager

We're looking for a Regulatory Conduct Compliance Officer - Maternity Cover The Regulatory Conduct Compliance Officer Officer will be responsible for supporting the Head of Regulatory Compliance with the management and oversight of conduct risk within iwoca. This role is vital in ensuring that iwoca understands and adheres to regulatory standards, and industry best practices, particularly those set by the Lending Standards Board (LSB). The role will work closely with compliance, operations, and funnel teams to identify, assess, and mitigate conduct risks, promote, and support iwoca's objectives of ensuring good customer outcomes in our operations. About us Fast, flexible finance empowers small businesses to manage their cash flow better and seize opportunities - making their business and the economy stronger as a whole. At iwoca, we do just that. We help businesses get the funds they need, when they need it, often within minutes. We've already made several billion in funding available to over 100,000 businesses since we launched in 2012, and positioned ourselves as a leading Fintech in Europe. Our mission is to finance one million businesses. We'll get there by continuing to make our finance ever more relevant and accessible to more businesses by combining cutting-edge technology, data science and a 5-star customer service Your mission <ul><li>Conduct Risk Management: <ul><li>Develop, implement, and maintain a conduct risk framework specifically tailored to unregulated SME lending activities, aligned with the standards of the Lending Standards Board.</li><li>Identify, assess, and monitor conduct risks, ensuring effective management within our risk appetite and in accordance with LSB principles.</li><li>Collaborate with the Head of Regulatory Compliance to establish and communicate clear conduct risk policies and procedures, ensuring they reflect LSB standards.</li></ul></li></ul><ul><li>Compliance Monitoring: <ul><li>Conduct regular audits and reviews of lending practices to identify potential conduct risks, with a focus on adherence to LSB guidelines, and recommend corrective actions where necessary.</li><li>Develop and maintain a comprehensive risk register, ensuring that all identified risks are regularly reviewed and updated, particularly in relation to LSB compliance.</li></ul></li></ul><ul><li>Training and Awareness: <ul><li>Provide training and guidance to staff on conduct risk, responsible lending practices, and the importance of treating customers fairly, with a particular emphasis on LSB standards.</li><li>Promote a strong risk culture across iwoca, ensuring that all employees understand their role in managing conduct risk and maintaining LSB compliance.</li></ul></li></ul><ul><li>Reporting and Analysis: <ul><li>Support the Head of Regulatory Compliance with preparation of regular reports on conduct issues for senior management and the Risk Committee, highlighting key risks, trends, and mitigation actions, with specific reference to LSB compliance.</li><li>Analyse data and metrics related to conduct risk and customer outcomes, using insights to inform decision-making and continuous improvement, particularly in line with LSB standards.</li></ul></li></ul><ul><li>Stakeholder Engagement: <ul><li>Act as the first point of contact for conduct risk matters, working closely with internal stakeholders, including but not limited to the legal, and operations teams, and ensuring alignment with LSB standards.</li><li>Engage with external stakeholders, such as the Lending Standards Board to stay informed about emerging risks, trends, and regulatory changes.</li></ul></li></ul>Requirements <ul><li>Minimum of 3 years experience in a conduct risk, compliance, or similar role within financial services, with exposure to lending products.</li><li>Strong understanding of conduct risk principles and their application in unregulated lending environments.</li><li>Experience working with or within the standards set by the Lending Standards Board (LSB) is desirable.</li><li>Familiarity with the regulatory landscape affecting SME lending in the UK, even in unregulated sectors.</li><li>Bachelor's degree in finance, law, business, or a related field.</li><li>Professional qualifications in risk management, compliance, or a related discipline are desirable.</li></ul>The salary We expect to pay from £45,000 - £50,000 for this role. But, we're open-minded, so definitely include your salary goals with your application. We routinely benchmark salaries against market rates and run quarterly performance and salary reviews. The culture At iwoca, we look to hire smart, passionate, humble individuals with a growth mindset. We prioritise a culture of learning, growth, and support, and invest in the professional development of our team members. We value thought and skill diversity and encourage you to explore new areas of interest to help us innovate and improve our products and services. Our friendly and inclusive environment, combined with our flexible work policies, ensures that you'll have the perfect balance between work and life, empowering you to thrive both personally and professionally. The offices We put a lot of effort into making iwoca a brilliant place to work: <ul><li>Offices in London, Leeds, and Frankfurt with plenty of drinks and snacks</li><li>Events and clubs, like bingo, comedy nights, yoga classes, football, etc.</li></ul>The benefits <ul><li>Medical insurance from Vitality, including discounted gym membership</li><li>A private GP service (separate from Vitality) for you, your partner, and your dependents.</li><li>25 days' holiday, an extra day off for your birthday, the option to buy or sell an additional five days of annual leave, and unlimited unpaid leave</li><li>A one-month, fully paid sabbatical after four years.</li><li>Instant access to emotional and mental health support.</li><li>3% Pension contributions and share options.</li><li>Generous parental leave and a nursery tax benefit scheme to help you save money.</li><li>Cycle-to-work scheme and electric car scheme.</li><li>Two company retreats a year, we've been to France, Italy, Spain, and further afield.</li></ul>And to make sure we all keep learning, we offer: <ul><li>A learning and development budget for everyone.</li><li>Company-wide talks with internal and external speakers.</li><li>Access to learning platforms like Treehouse.</li></ul>Useful links: <ul><li>iwoca benefits &amp; policies</li></ul>

Regulatory Conduct Compliance Officer - Maternity Cover

The Vacancy Pro has an exciting opportunity for a Compliance Manager to join its Pro MGA Solutions team. The postholder will be responsible for supporting the existing account and compliance management oversight of each client, ensuring clients remain compliant by providing effective support to devise and embed the appropriate controls that drive professional behaviour and best practice. The Compliance Manager will be part of the Pro MGA Team reporting to the Head of Compliance and working with a Compliance Assistant. This is a full-time, permanent role working on a hybrid basis out of the London office 2 - 3 days a week. Main Duties and Responsibilities include but are not limited to: <ul> <li>Monitor and ensure mandatory training completion rates are met and maintain consistent compliance documentation and standards for the intranet</li> <li>Review policies, procedures and supporting guidance to the business and clients</li> <li>Work on embedding conduct risk requirements</li> <li>Support the process to embed a risk culture within the team and for clients</li> <li>Support the delivery of operational risk and compliance and new business projects</li> <li>Monitor and record the publications and press releases of the FCA, PRA and insurance trade bodies</li> <li>Assist in the production of structured, accurate and timely risk and compliance MI reports for the business or the Boards as appropriate</li> <li>Support the recording and assessment of the regulatory breach reporting process</li> <li>Work with the Finance team to provide data to support the regulatory reporting process</li> <li>Carry out monthly monitoring review of the regulatory risk logs, maintaining the regulatory calendar for the team and to undertake the regulatory reporting</li> <li>Chair the MGA Risk and Compliance Committee meetings</li> <li>Participate and provide guidance to the wider team about Compliance updates and changes.</li> <li>Provide compliance information and prepare reporting for Board Packs</li> <li>Work with the SMF16 to analyse and implement any new regulatory changes applicable to our business and/or clients.</li></ul>Key knowledge, skills and experience required: • Minimum of 5 years' compliance experience working within the delegated sector of insurance (preferably in an MGA) and knowledge of the delegated underwriting market and processes • People orientated with a desire to improve and develop the skills of team members through training and mentoring • Able to work under pressure to meet pressured deadlines • Ability to improve/re-engineer processes to improve timeliness, accuracy and efficiency • Good corporate financial awareness • Good understanding of London Market systems and procedures • Previous experience in a similar role in the (Re)insurance market, within a Service Provider or an operations leadership role within a Managing Agent • Excellent verbal and written communication skills • Working regulatory understanding • CII Certification desirable • Minimum of 15 hours CPD per annum including regulatory oversight. By submitting your personal data to Pro Insurance and by using our website, you give your consent that all personal data you submit as part of your application may be processed by us in the manner and for the purposes described in our HR applicant privacy policy. For further information, please refer to our Data Protection Policy, a copy of which can be requested from HR. The Company Pro is a specialist outsourcing and consulting company focused solely on the insurance and reinsurance industries. We work with clients to identify changes needed to improve their business processes, minimise operating overheads and implement the controls required to meet new regulations, delivering tailored solutions to meet clients' needs. Our UK offices are in Gloucester, Glasgow, Liverpool, Horsham and central London. We are also a global company with offices in the United States, Cologne and Unna (Germany) and Argentina. We also operate a hybrid working model so you can work at home and in the office. We provide expert support in the areas of underwriting, claims management, financial and technical accounting, and risk and auditing, utilising the best technology available on the market and adopting a proactive approach. Pro Values WE GET THINGS DONE: We commit concrete actions and do what we promise. WE DO THE RIGHT THING: With integrity at the heart of every decision, we focus on what will add most value. WE BRING NEW THINKING: We are curious, creative and insightful. We are not afraid to evolve. WE ARE IN IT TOGETHER: We are inclusive. We help each other and our clients to shine. WE ARE ENERGISED: We bring drive and enthusiasm to our work. Benefits Healthcare For yourself (you can add family members on at additional cost). Life assurance you will receive a death in service benefit equal to 4 times your salary. Holiday 25 days plus bank holidays and discretionary day off for your birthday. Training &amp; Development we have inhouse Learning and Development team that will support you, giving you the tools to succeed. Employee referral scheme Staff bonus for introducing a candidate that we employ as a result of that introduction. Pension scheme Company pension contribution up to 10%.

Compliance Manager

At Allwyn Lottery Solutions we build and deliver our interactive platform for lottery gaming, including the National Lottery website, Mobile channels and an increasing suite of other products for our International client base. Our vision is to be a leading technology and professional services provider to lotteries around the world. We're a dynamic company with ambitions of changing the way in which the world engages with its lotteries. What we want to achieve is impossible without an amazing team of people, spanning sales, technology, consulting and product development. We hope you can be a part of this team. Purpose of the Role: The purpose of this role is to continue to support in developing an effective control assurance programme suitable for the organisation which will enable the compliance team to report on the control environment posture. This includes reviewing prioritised Critical/High risk controls on a regular basis, supporting the Team by reporting and detailing control gaps and failings or providing assurance that controls are effective and working appropriately. The role will cover compliance with ISO 27001, ISO 22301, ESG, Responsible Gaming, PCI DSS,SoC and new ISO or WLA standards which may be beneficial to the company. Key Accountabilities: <ul> <li>Support the implementation of the IT Risk Management Framework and process through supporting the roll out the firm's Enhanced Risk Management Framework</li> <li>Support with Identify potential threats and vulnerabilities for business processes, associated data and supporting capabilities to guide in the evaluation of enterprise risk.</li> <li>Report the status of the operation Control landscape and audit action remediation to stakeholder</li> <li>Support to identify and report on risk, including compliance, to initiate corrective action and meet business and regulatory requirements</li> <li>Support Audit and Compliance internal and external relationships, and actively contributed to the audit lifecycle.</li> <li>Maintain Terms of References, fieldwork evidence collection, agreed audit actions, closure dates, sign off from LT, to address control gaps within agreed time frame. </li> <li>Conduct regular internal audits in line with the requirements of the standards.</li> <li>Monitor industry and regulatory developments in order to identify areas of vulnerability and risk. </li> <li>Develop and support implementation of corrective/preventative action plans for the resolution of compliance issues and provide guidance and coaching on how to avoid future incidents.</li> <li>Communicate the compliance programme to all employees including management</li> </ul><ul> <li>Prepare and deliver presentations to managers and other interested parties reporting on the status of compliance initiatives. </li> <li>Meet with the business to build relationships and enhance their capability to manage risk.</li> <li>Create a defined process that allows for the evaluation, approval and adoption of all new compliance and certification activities to ensure clear ownership, documented processes, and proper controls. </li> <li>Assist in defining a Business Continuity Plan appropriate to the business.</li> <li>Conduct regular internal audits in line with the requirements of the standards.</li> <li>Identify, record, maintain and report on business risks associated with the standards.</li> <li>Preparation and maintenance of an active "Non Compliance" register.</li> </ul>Requirements Essential Experience: <ul> <li>2-5 years experience in an Compliance or Risk role within an Technology, Gaming or heavily regulated environment</li> <li>Proven track record working in Risk Management / LOD / ITor IS functions</li> <li>Proven track record working with regulators / auditors</li> <li>Thorough understanding and implementation experience of IT Risk and Control frameworks</li> <li>Knowledge and working experience of control testing / assurance / managing and conducting audits</li> <li>Detailed understanding of Technology governance processes</li> <li>Takes ownership / accountability of tasks and drives them to completion</li> <li>Constructively challenges where appropriate</li> <li>Seeks opportunities for continuous improvement to achieve 'best in class'</li> <li>Meticulous, strong attention to quality and accuracy</li> <li>Good written and verbal communication skills</li> <li>Ability to develop and present management summary concisely and succinctly</li> <li>Proven background in a results driven and team oriented company</li> </ul>Education, Qualifications, Knowledge, Skills and Experience: <ul> <li>University level degree in Business or relevant field of study</li> <li>CISSP, CISM or CISA certified desirable</li> <li>Knowledge and experience of the security products available including intrusion detection, SIEM and encryption tools desirable</li> <li>An understanding of ESG and Responsible Gaming is desirable</li> </ul>Benefits <ul><li>Be part of a dynamic team with enthusiastic experts that will support your talent and growth</li></ul><ul> <li>Embark on a journey within a diverse environment full of opportunities and challenges</li> <li>Comprehensive onboarding experience designed to facilitate your smooth transition</li> <li>Attractive salary and a bonus plan</li> <li>Health and life insurance for you</li> <li>Well-being allowance</li> <li>Developmental 360° feedback framework</li> <li>Extensive leave plan</li> <li>Employee Assistance Program with specialized Counselors / Licensed Psychologists</li> <li>Enjoyable and stable working environment</li> <li>Flexible working arrangements</li> </ul><ul><li>Modern workspace environment</li></ul><ul><li>Apple equipment and top-notch office technology to support our hybrid working </li></ul>Allwyn is an Equal Opportunity Employer which prides itself in being diverse and inclusive. We do not tolerate discrimination, harassment, or victimization in the workplace. All employment decisions at Allwyn are based on the business needs, the job requirements, and individual qualifications. Allwyn encourages applications from individuals regardless of age, disability (visible or hidden), sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion, or belief, and marriage and civil partnerships. Privacy Disclaimer By clicking "Apply" for this Job, you agree that you have read and accepted our Privacy Statement relating to job applicants and that you provide your consent for the processing of your personal data for the purposes described therein.

Audit and Compliance Analyst

Starr Insurance Companies is a leading insurance and investment organization, providing commercial property and casualty insurance, including travel and accident coverage, to almost every imaginable business and industry in virtually every part of the world. Cornelius Vander Starr established his first insurance company in Shanghai, China in 1919. Today, we are one of the world's fastest growing insurance organizations, capable of writing in 128 countries on 6 continents. Roles &amp; Responsibilities <ul><li>Take the lead on developing and delivering the second line assurance plan</li><li>Maintain and develop a robust and effective second line assurance framework</li><li>Design and deliver reports and MI for the relevant committees and senior management.</li><li>Design and undertake reviews on a thematic and functional basis to ensure effective application of policies, procedures, and internal controls, as well as adherence to regulatory requirements.</li><li>Periodic testing of Starr's key risk controls</li><li>Deep dive reviews into Starr's top organisational risks. Ensure recommendations/actions are reported and completed in a timely manner.</li><li>Contribute to the success of the Risk and Compliance teams more widely e.g. horizon scanning, day-to-day guidance and delivering training</li><li>Support the company in maintaining compliance with industry and governmental lead regulations.</li><li>Contribute to the regular Risk and Compliance reports to governing bodies, providing summary updates of control testing, monitoring reviews, and business performance against company procedures.</li><li>To draft, review and keep up to date internal regulatory protocols, policies and procedural manuals.</li><li>Support team with sanction screening and sanction related queries</li><li>Assist in registrations of licensing and tax</li><li>Support with maintaining TOBA process.</li></ul>Experience <ul><li>Relevant second line experience</li><li>Awareness of Lloyd's and London Market practices (and related International Lloyd's standards);</li><li>Strong awareness of Lloyd's Principles, the FCA and the PRA.</li></ul>Skills <ul><li>Ability to understand the commercial implications of regulation;</li><li>Planning and organisational skills;</li><li>Conscientious and attention to detail;</li><li>Strong communication skills both written and oral;</li><li>Professional business writing and presentation skills;</li><li>Judgement and decision making;</li><li>Ability to act with due professional care, demonstrating sound integrity and confidentiality; and</li><li>Analytical thinking - explores and understands trends, opportunities and risks that could affect the business. </li></ul>Starr is an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and we're committed to creating an inclusive environment for all employees. We offer first class training and development opportunities to all employees. Our aim is to grow our own talent and bring out the best in people.

Risk and Compliance Assurance Officer - 6 month contract

At Just we encourage a flexible and agile working environment for the majority of our opportunities. Get in touch with us to discuss in more detail. Who are Just? We're a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. With the defined benefit buy in / buy out space growing each year, Just continues to annually grow its business by over £2bn of assets. We are a purpose driven company with compelling and credible goals. Quite simply, we help people achieve a better later life. We achieve this by providing competitive and innovative products, services, financial advice and guidance to help our customers achieve security, certainty and provide them with peace of mind in retirement. That's who we are. We're a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement. About the role The Compliance Specialist (Regulatory Intelligence) will make a significant contribution to the effectiveness of the Compliance function through the provision of comprehensive support and ongoing analysis of regulatory risk, including but not limited to the provision of regulatory intelligence through horizon scanning to identify future regulatory changes. You will work proactively with first line colleagues across the Group to promote best practice with the aim of reducing regulatory risk. The role holder will also contribute to the development and maintenance of a robust Consumer Duty culture. As part of a wider team, you will also provide support for the wider Compliance function. Responsibilities <ul><li>Undertake horizon scanning to ensure the function identifies, communicates, supports and monitors the implementation of regulatory change (i.e new / amended regulatory initiatives impacting Just) covering both FCA and PRA conduct and prudential regulatory regimes to ensure compliance.</li><li>Provide broad regulatory and compliance support and expertise to projects and/or regulatory change programmes. Delivering by business partnering with key stakeholders across the Group to ensure that these are delivered without increasing exposure to unacceptable regulatory risks. Assisting the business in achieving its objectives and to ensure compliance with current legislation and best practice</li><li>Provide consultancy support and technical expertise on key FCA regulatory areas of focus including but not limited to conduct and Consumer Duty.</li><li>Provide consultancy and technical expertise on key PRA regulatory areas of focus including but not limited to Solvency UK.</li><li>Ongoing collaboration with colleagues across other first and second line to facilitate appropriate and timely support to key stakeholders across the Group particularly in respect to the assessment of the impact and priority of regulatory change both from an operational perspective but also impact to the Groups strategy and ability to deliver its purpose of helping people achieve a better later life.</li></ul>Skills &amp; Knowledge <ul><li>Proven record of accomplishment in financial services compliance, preferably in the life insurance firm sector, providing regulatory consultancy in respect of both FCA and PRA regulatory framework.</li><li>Experience of regulatory change identification and analysis of impact to business operation and strategy a key advantage</li><li>Oversight of successfully implemented regulatory change.</li><li>Good understanding of the regulatory framework operating within the UK.</li><li>Ability to maintain up-to-date knowledge of regulatory developments</li><li>Excellent communication, presentation and relationship-building skills with the ability to communicate effectively to a variety of audiences</li><li>Solution oriented</li><li>Strong influencing skills and confident in providing advice and recommendations to senior stakeholders</li><li>Customer focused with the ability to apply a Consumer Duty lens to the communication and implementation of regulatory intelligence &amp; a strong understanding of all Just products and distribution channels</li><li>Excellent organisation &amp; project management skills and able to meet deadlines</li><li>Strong report writing skills and the ability to tailor such to the required audience ensuring both accuracy and clarity.</li></ul>Company Benefits <ul><li>A Competitive Salary, Pension Scheme and Life Assurance</li><li>Along with 25 Days Annual Leave plus an Additional Day on us for your Birthday</li><li>Private Medical Cover and Income Protection, just in case</li><li>A generous and highly achievable bonus scheme - paid annually based on individual and company performance against targets</li><li>Opportunity to progress within your career both in-role and within the company</li><li>FREE access to the Headspace App, a 24/7 Employee Assistance Helpline and Trained Physical &amp; Mental Health First Aiders (On-Site)</li><li>A variety of Employee Funded Benefits available to you via our Online Benefits Portal</li><li>Plus, several additional purchase options available for you and your loved ones</li></ul>About Us We're a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. How people work, save, and plan for the future is all changing. A new generation of retirees needs a new kind of retirement company. A company who will look for new ways of doing things - and will always put the customer first. That's who we are. We're a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement. And with you on our team, we're going to make sure they get it. We've built our sustainability strategy around the United Nations Sustainable Development Goals (SDG) and have selected goals where we believe we can make the most difference. By aligning our activity with these global goals, we can make sure we play our part in addressing the wider issues facing the planet and leave a positive legacy to the world. You can read more about our sustainability strategy here. Diversity, equity and inclusion are priorities for us. Having a diverse, talented workforce with colleagues of different backgrounds, world views and experiences is the right thing to do. It's also the most effective way to succeed, innovate and better serve our customers now and in the future. We are committed to our targets on gender and ethnicity and run a number of successful mentoring and sponsorship programmes for our colleagues from diverse backgrounds. We have multiple active employee network groups which champion issues including gender, ethnicity, sexual orientation, disability and neurodiversity. You can read more about our DE&amp;I strategy and commitments here. What's clear about working at Just is that we care. We care about our customers, our purpose, our environment, inclusivity, wellbeing and most importantly - each other. We look forward to welcoming you to the team soon.

Compliance Specialist (Regulatory Intelligence)

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.</li><li>Providing guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.</li><li>Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.</li><li>Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product.</li><li>Supporting the function/business/product in performing timely compliance reviews of new products.</li><li>Assisting in the development and administration of Compliance training for the supported function/business/product.</li><li>Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.</li><li>Additional duties as assigned</li><li>Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.</li></ul>Qualifications: <ul><li>Knowledge of Compliance laws, rules, regulations, risks and typologies</li><li>Must be a self-starter, flexible, innovative and adaptive</li><li>Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization</li><li>Strong written and verbal communication and interpersonal skills</li><li>Ability to both work collaboratively and independently; ability to navigate a complex organization</li><li>Ability to both work independently and collaborate with team members</li><li>Excellent project management and organizational skills and capability to handle multiple projects at one time</li><li>Proficient in MS Office applications (Excel, Word, PowerPoint)</li></ul>Education: <ul><li>Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred</li></ul>By joining Citi London, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as: <ul><li>Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenure</li><li>A discretional annual performance related bonus </li><li>Private medical insurance packages to suit your personal circumstances</li><li>Employee Assistance Program </li><li>Pension Plan </li><li>Paid Parental Leave </li><li>Special discounts for employees, family, and friends </li><li>Access to an array of learning and development resources </li></ul>Job Family Group: Compliance and Control Job Family: Product Compliance Risk Management Time Type: Full time Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting

Markets Compliance Officer - Vice President

SMBC: A trusted partner for the long term Here at SMBC Group, we want to help you find the next step in your career so read on to discover if this opportunity is the one for you. We like to recognise potential in our people, so we welcome your application even when your experience doesn't perfectly align with the job description. Whilst we'll always strive to be better, we're proud of our inclusive culture, and encourage our applicants and colleagues to be their authentic, unique selves. Section 1 - Details Job Title / Corporate Title Director: Enterprise Risk Management - Capital Assessment Department / Group Enterprise Risk Management Team, (RMD) Responsible to / Line Manager This should be a role title, not a named individual. ED, Head of Enterprise Risk Management, Direct Reports This is about scope of the role. Please include job titles and the reporting relationship. 3xDirect reports (1xVP, 2xAVP), Location London Date Prepared August 2024 Certification regime Out of scope Section 2 - Purpose of Job <ul> <li>This role is responsible for Capital Assessment through a variety of BAU and annual assessment processes. </li> </ul>Design, Implement and Manage Robust Capital Assessment Processes <ul> <li>The incumbent with be responsible for ensuring source information (for example using simplified templates) are properly designed/assigned/completed with coaching and training as necessary to source relevant information to enable production of BAU / ad hoc capital assessments with all required information to allow the analysis of key drivers at appropriate levels of granularity. Continuous evolution of the underlying processes to ensure these remain robust and fit for purpose.</li> </ul><ul> <li>Designing and implementing ad hoc stress capital measures to enable reporting against risk appetite using quantitative measures. This will include input with the design and calibration of capital risk appetite.</li> </ul><ul> <li>The role will require an experienced team manager with a successful track record of delivery and the ability to manage a variety of tasks simultaneously (across ICAAP / ICARA / ad hoc etc.) </li> </ul>ICAAP and ICARA, <ul> <li>Accountability for the production and timely management of the annual SMBC-BI ICAAP and CM Ltd. ICARA capital assessments - this will require a hands-on role approach to generate and enhance all aspects of the ICAAP and ICARA documents and providing the strategic direction for implementing a robust yet practical end-to-end consistent process (as appropriate) to generate scalable and repeatable ICAAP/ICARA reports in a timely manner.</li> </ul><ul> <li>The role will be accountable for generating regular updates for Committees (including ERMC/RMSC) and to senior management in a simplified yet informative manner (e.g., with visual aids etc.). This may include providing additional information ahead of Risk Committees and the Boards of both entities.</li> </ul><ul> <li>The role will require experience of building robust processes and will be hands-on with respect to running these processes including documentation, implementing templates / associated processes and for ensuring that the final reports are repeatable/scalable with attention to detail including reviewing input from key contributors and stakeholders in a collegiate manner. </li> </ul><ul> <li>Accountability for running a variety of Pillar 2A calculations (including for example the newly migrated concentration risk assessments using internal and regulatory methods) </li> </ul><ul> <li>Production of base and stressed capital ratios: this will require close collaboration with colleagues across the wider ERM and the Modelling team. </li> </ul><ul> <li>The incumbent will require a strong understanding of relevant risks across both entities to match the product suite.</li> </ul>Stress Testing <ul> <li>Accountability for recommending annual stress scenarios/tests and for understanding the end-to-end proposal including input into and the approval of parameters and analysing the key drivers of the results. This includes benchmarking to regulatory scenarios.</li> </ul><ul> <li>Accountability for recommending and constructing (as appropriate) ad hoc stress tests for BI and CM Ltd in response to market events; including macro parameters and design. </li> </ul>BAU <ul> <li>Production of quarterly assessments for example for concentration risk on a quarterly basis as well as developing other calculations to regularly track headroom for key P2A risks (such as concentration risk - HHI). </li> </ul>Team Management <ul> <li>Responsible for coaching and developing staff members to build a high performing team and for allocation of resources to manage a variety of BAU and adhoc tasks. The incumbent will be responsible for performance management and intervening when needed / advising to ensure tasks remain on track, given the regulatory focus and significance of the underlying processes in a timely manner. </li> </ul>Other <ul> <li>Assisting with Tracking Changes: the incumbent will be responsible for assisting with other key and relevant processes for example with relevant regulatory announcements and provide management with an update on the Bank's status to comply with these on a regular basis.</li> </ul><ul> <li>Presenting: the incumbent will be an attendee at the ERMC and provide regular updates on the current status and key contribute to discussion areas as well as working groups to ensure any detailed issues are resolved with recommendations to the ERMC (where necessary). To this end the incumbent will be required to exercise judgement to flag any slippage and risks presented to the final timeline for ICAAP and ICARA</li> </ul>Section 3 - Background This role is responsible for performing Capital Assessments through a variety of BAU and annual assessment processes and is a key role in the Enterprise Risk Management team. The organisation is undergoing significant change and transition and a number of underlying processes may require redesign. The role will require significant building strong working relationships across a variety of Risk / Finance / Planning and other Teams to ensure process enhancement in a collegiate manner. Section 4 - Facts / Scale This role reports to the ED, Head of Enterprise Risk <ul> <li> <ul> <li>Main Interfaces / Relationships: Primary reporting line to the Head of Enterprise Risk. The role holder will also provide ad hoc updates (as required) to RMD senior management including MD of Credit Portfolio and Policy and Enterprise Risk and GMs. </li> <li>Interaction with other senior members of individual functional teams on specific regulatory requirements on an adhoc basis (e.g., F&amp;C, Regulatory Reporting and Legal, etc) </li> <li>Number of reports/team members (if any): 3</li> </ul> </li> </ul>Section 5 - Accountabilities &amp; Responsibilities <ol> <li>Production of the BAU and ad hoc capital assessments (including annual ICAAP and ICARA) for BI and CM Ltd. <ul> <li>Providing practical hands-on assistance to team members</li> <li>Producing capital ratios (base and stress) and recommending / producing regular assessments (e.g. tracking key P2A risks on a quarterly basis)</li> <li>Assisting with preparation for regulatory visits such as SREP (e.g., agenda planning, production of materials, summaries etc).</li> <li>Enhancing / providing input into the Capital risk appetite</li> </ul> </li> </ol> <ol> <li>Design robust end to end processes with documentation / continuous evolution.</li> <li>Stress Scenario construction including input with parameters. </li> <li>Assisting with interpreting and implementing new regulatory requirements (as relevant for RMD) and tracking progress</li> <li>Assistance with RRP</li> <li>Providing technical and regulatory services to EMEA entities (when required)</li> <li>Team Management: 3 team members</li> </ol> Section 6 - Knowledge, Skills, Experience &amp; Qualifications <ol> <li>Strong team management skills with experience of successfully leading ICAAPs/ICARAs in a timely manner with a good understanding of underlying drivers and processes. </li> <li>Proficient at producing high quality reports using standard Microsoft packages Word / Excel / PowerPoint and proficient with charts / tables / presentations.</li> <li>Experience at setting team goals and reprioritising when required to successfully meet key targets;</li> <li>Experience at motivating team members and providing performance feedback to ensure continuous improvement. </li> <li>Experience of managing timelines for key deliverables and ensuring any slippage is appropriately managed / communicated.</li> <li>Excellent communication skills (written and oral) to senior management </li> <li>Experience of managing risk and regulatory matters in a UK bank / financial institution</li> <li>Likely educated to degree level and possibly holding a specific risk management professional qualification</li> <li>Experienced at assessing risks from a variety of products across BI and CM Ltd.</li> </ol> Section 7 - Challenges (This section is optional) <ul> <li> <ul> <li>Complexity of regulation and its application to and implementation within the bank and its business.</li> <li>Substantial organisational change and need to enhance processes and successfully implement.</li> <li>Need to stakeholder manage key documents with multiple areas / contributors. </li> </ul> </li> </ul>Section 8 - Dual-Hatting <ol> <li>Dual-Hat Details (only required if different to the employing entity details)</li> </ol> Dual-Hat Job Title: Dual-Hat Line Manager: Dual-Hat Direct Reports: Dual-Hat Certification Regime: <ol> <li>Dual-Hat Roles and Responsibilities </li> </ol> You will be required, from time to time, to undertake tasks on behalf of the dual-hat entity, as necessary. <ol> <li>Dual-Hat Conflict of Interest</li> </ol> <ul> <li>You will have responsibilities for both SMBC BI and Nikko CM</li> <li>You will be required to perform your duties and responsibilities on an entity neutral basis, without favour</li> <li>You are required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of SMBC BI and Nikko CM</li> <li>Working terms are dictated by functional mandates in place between SMBC BI and Nikko CM and any other relevant agreements entered between SMBC BI and Nikko CM</li> <li>You have responsibility for identifying and resolving where there may be a difference or conflict in needs between SMBC BI and Nikko CM, escalating to your manager/Compliance officer where required</li> </ul>We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We'll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.

PERM - RMD - Enterprise Risk Management - Capital Assessment - Director

Work Location: London, United Kingdom Hours: 35 Line of Business: Compliance Pay Details: We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role. Job Description: Headquartered in Toronto, Canada, with ~95,000 employees around the world, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD offers a full range of financial products and services to over 27.5 million customers worldwide with CDN$1.9 trillion in assets on July 31, 2023. The Toronto-Dominion Bank trades on the Toronto and New York stock exchanges under the symbol "TD". TD Global Investment Solutions TD Global Investment Solutions (TDGIS) is the global distribution identity of TD Bank Group's institutional asset management businesses, TD Asset Management Inc. (TDAM) and Epoch Investment Partners, Inc. (TD Epoch). Investment solutions are provided to corporations, pension plans, endowments and foundations, insurance companies, sovereign wealth funds, and superannuation, among others. The offering includes a broad selection of strategies and solutions including fundamental, fundamental free cash flow driven, quantitative and passive equities, fixed income across the credit quality spectrum and alternatives, such as private credit, infrastructure and real estate. TDAM and TD Epoch use the services of Epoch Investment Partners UK, Ltd (TD Epoch UK), as permitted, to provide business development, marketing and distribution services as well as client relationship management services on behalf of TDAM and TD Epoch in the UK &amp; Europe. Job Details Provide leadership to ensure the global compliance program that supports the asset management business aligns to the Regulatory Compliance Management program elements. The role will require working closely with a broad array of stakeholders in Compliance, Governance &amp; Control, Legal and the business both in Europe, North America and Asia. Accountabilities will include, but not be limited to: <ul><li>As Compliance Oversight Officer for TD Epoch UK, assist the business in upholding a strong culture of compliance and provide independent oversight of compliance with applicable laws, regulations and guidelines using a risk-based approach.</li><li>Assess the adequacy of, adherence to, and effectiveness of day-today Regulatory Compliance Management controls, based on independent monitoring and testing conducted, active participation on committees and working groups and other data sources.</li><li>As determined by Compliance Senior Executive Team (CSET), assist in providing required information for the Compliance Department Self-Assessments which in turn support the TD Global CCO Opinion on RCM program effectiveness.</li><li>In support of the global compliance program, implement and maintain independent monitoring and testing.</li><li>Proactively manage regulatory change by supporting the identification, interpretation and assessing the impact of new regulatory requirements as well as assisting the business in implementation.</li><li>Working within the larger global compliance framework, maintain practices and procedures to communicate regulatory compliance requirements and standards to manage regulatory risks.</li><li>Develop and maintain robust relationships between Senior Business Management across TD and the Senior Compliance Leaders to facilitate strong relationship development and regular reporting.</li><li>Provide routine and regular reporting of actual or potential non-compliance including emerging trends and risks.</li><li>As Compliance Oversight Officer, act as key regulatory contact for local securities regulators with respect to TD Epoch UK and maintain positive, honest, transparent and constructive relationships with regulators.</li><li>Share early indications of significant regulatory issues that could materially impact earnings, result in regulatory sanctions or reputational risk with Business Segment leaders, Risk Partners and Compliance Management.</li><li>Provide subject matter expertise on projects and initiatives.</li></ul>Job requirements: <ul><li>Deep regulatory, industry and operational knowledge.</li><li>Experience in compliance or risk management programs, with preference for candidates who can demonstrate development of program elements and implementation regulatory change management.</li><li>Deep experience and understanding of investment management products and strategies.</li><li>Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.</li><li>Registration as Compliance Oversight Officer for TD Epoch UK with local UK securities regulator</li><li>Ability to manage large number of complex issues and priorities effectively at the same time, and juggle priorities as demands warrant.</li><li>Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.</li><li>Ability to work collaboratively across multiple management teams.</li><li>Analytical and problem-solving skills, including the ability to elicit requirements from the business perspective, synthesize the information and articulate those requirements in a manner that can be easily understood.</li><li>Ability to articulate critical issues for escalation.</li><li>Solid research, investigative and organizational skills.</li></ul>Specific Educational Requirements / Accreditations <ul><li>University or College degree and minimum of 7+ years relevant business, Compliance, Legal or risk management experience preferred.</li><li>Law degree (JD or LLB) preferred. Relevant training and industry certifications are desirable.</li><li>Undergraduate degree with a major/specialty in investment industry is an asset.</li></ul>Inclusiveness At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected, and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve and creating an environment where every employee has the opportunity to reach their potential. 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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs. 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 require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Compliance Oversight Officer

Date Posted: 2024-08-28 Country: United Kingdom Location: GBR01:Harlow, Essex, Kao One, Kao Park, Harlow, CM17 9NA Position Role Type: Unspecified Summary of Role To ensure compliance with all domestic and international trade regulations. (Customs and Exports). This position is to contribute, create, manage and support RUK's international trade compliance programme. The Global Trade Compliance Manager (GTCM) shall investigate and test adherence to trade compliance policies and procedures through monitoring, internal assessments and audits. This role will require the ability to present and advise on RUK GT activities to prevent non-conformance to policies, and create detailed incident reports following investigations, drafting of voluntary disclosures and identifying corrective actions to avoid future occurrences of similar observations. This role reports to Head of Global Trade Compliance and will support the wider GT operational function and other functions within business to implement continuous improvements and corrective action plans that provide effective and efficient GT solutions. Travel within the UK will be required of this role. Occasional travel abroad may be required. Main Duties • Be the subject matter expert providing clear compliance advice on domestic and international trade compliance activity matters. Strong UK Customs, UK Export Controls and U.S. Export Controls experience are essential for this role. • Coordinate and follow-up with other members of the Global Trade function on matters requiring corrective improvement plans. • Support the continuous development of RSL policies, procedures, work instructions relative to Import and Export compliance, collaborating with GT Operations and the business on developing and delivering clear and effective processes. • Make sure all regulatory required registrations, repots and returns are properly maintained and actioned. • Review export control and licensing challenges, establishing the facts and recommending solutions that enable timely delivery and protects future business. • Conduct regular internal assessments of RUKs trade compliance activities ensuring implementation and effectiveness of internal trade controls, administration of GT policies, procedures, work instructions and any other internal documents, product classifications, export/import licensing, customs clearing, recording keeping, self-assessments completed by the business units, and track completion of corrective measures, if any, and risk mitigation strategies. • Review all applicable trade records to ensure compliance with internal policies and regulatory requirements, working with and _supporting RUK and Raytheon Company, Legal and GT Operations in investigating and resolving compliance issues and questions • Support Parent company Controls and Monitoring systems (CAMS) assessments and testing. Essential Skills: <ul><li>Extensive knowledge and experience of U.K. Export and Import Regulations, U.S. ITAR/EAR Regulations, UK Customs and shipping Procedures</li><li>Experience and understanding of SPIRE, LITE, CHIEF, CDS government systems</li><li>Strong written and verbal communication skills, including the ability to draft substantive reports within strict deadlines</li><li>Well-organised, with meticulous attention to detail</li><li>Excellent interpersonal skills with the ability to communicate effectively at all levels, both internally and externally, and build relationships, networks and deliver training.</li></ul>Benefits <ul><li>Competitive negotiable salary DOE</li><li>25 days holiday (increasing to 27 days) + statutory public holidays.</li><li>Contributory Pension Scheme (up to 10.5% company contribution).</li><li>6 times salary 'Life Assurance'.</li><li>Flexible Benefits scheme.</li><li>Discretionary Bonus scheme.</li><li>Enhanced family friendly policies.</li><li>37hr standard working week, with an early finish on Fridays whilst operating a 'Hybrid Working Model'*</li><li>Canteen facilities are available at Harlow &amp; Glenrothes sites. Manchester &amp; Gloucester offer free snacks &amp; drinks (hot &amp; cold).</li></ul>RTX is An Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status, age or any other federally protected class. Privacy Policy and Terms: Click on this link to read the Policy and Terms

Global Trade Compliance Manager

Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves. The aim of the operational risk team is to enable the responsible and commercial development of Investec Bank PLC by promoting sound management of operational risk through learning, co-development and engagement. We are a team of 13 risk managers, spread across London, Reading, Guernsey, Mumbai, Dublin and Zurich, who regularly engage as a team and with various stakeholders across the whole bank. Our day-to-day activities involve regular collaboration regarding new products &amp; initiatives, material outsourcing arrangements, internal and external risk events, understanding operational risk inherent to the business and facilitating scenario analysis to enable proactive identification and management of risk. IBP Operational Risk is looking for an individual with a sound understanding of Private and Transactional Banking products and services to help the 2LOD OR team adequately monitor and challenge the Operational Risks. The role provides a great opportunity to get involved in a different products and initiatives in Private Bank, Transactional Banking and Third Party Management and will engage with stakeholders across all levels in the organisation. What will I be doing? The role is responsible for oversight of the implementation of the Operational Risk Framework which includes <ul> <li>Facilitation of risk assessments with business units and support functions, including full end to end transaction lifecycle reviews.</li> <li>Timely capture and review of operational risk events, with appropriate escalation and root cause trend analysis.</li> <li>Manage the scenario analysis process which feeds into the Bank's ICAAP.</li> <li>Assist in the planning and execution of thematic reviews based on external events or cross IBP events.</li> <li>Promote operational risk awareness and conduct training for all employees.</li> <li>Compile risk governance forums reports to highlight key risks and events.</li> <li>Participation in Operational Risk forums and working groups.</li> <li>Review and participate in the approval forums for new products, businesses and projects.</li> </ul>What are we looking for? Technical knowledge: <ul> <li>Thorough understanding of risks and controls within a financial services company. Ability to advise on appropriate controls and risk mitigation</li> <li>Knowledge of Regulatory risks and Risk management in Financial Institutions</li> <li>Detailed knowledge of operational risk management methodologies and principles</li> <li>A good working knowledge of Microsoft Office (Excel, Word and PowerPoint)</li> <li>Skills and how they are applied</li> <li>Communication - engage with a wide range of colleagues and articulately discuss / write report on various issue (verbal / written / presentation)</li> <li>Challenge - ability to challenge multiple SMEs and management on a wide range of topics and risks</li> <li>Attention to detail - to pick up on errors and produce accurate work, with strong analytical capability</li> <li>Organised - work to multiple deadlines yet maintain flexibility through the workday</li> <li>Strong interpersonal and relationship management skills</li> <li>To act with integrity at all times and embrace the philosophy of treating our customers fairly</li> </ul>If this is the role for you, click apply today and the team will be in touch shortly! As part of our collaborative &amp; agile culture, our working week is 4 days in the office and one day remote. Investec offers a range of wellbeing benefits to make our people feel healthier, balanced and more fulfilled in their lives inside and outside of work. Here is a selection of what we offer; Wellbeing Wellbeing Subsidy, Corporate Gym Membership, Virtual GP, Peppy Health App (Fertility, Menopause and Early Parenthood), Optional Private Medical &amp; Dental Insurance Monetary Non-contributory Pension &amp; Discretionary Bonus Life &amp; Income Protection Life Assurance, Critical Illness &amp; Income Protection Travel Season Ticket Loan &amp; Electric Vehicle Scheme Embedded in our culture is a sense of belonging and inclusion. This creates an environment in which everyone is free to be themselves which helps to drive innovation, creativity and ultimately business performance. At Investec we want everyone to find it easy to be themselves, and to feel they belong. It's a responsibility we all share and is integral to our purpose and values as an organisation. Research shows that some candidates can be reluctant to apply to a role unless they meet all the criteria. We pride ourselves on our entrepreneurial spirit here and welcome you to do the same - if the role excites you, please don't let our person specification hold you back. Get in touch! Recite Me We commit to ensure that everyone is fairly assessed during our recruitment process. To assist candidates in completing their application form, Recite Me assistive technology is available on our Careers pages. This can be accessed by clicking on the 'Accessibility Options' link at the top of the page. The Recite Me tool includes a screen reader, styling and customisation options, a series of reading aids, a translator and more. If you have any form of disability or neurodivergent need and require further assistance in completing your application, please contact the Careers team at [email protected] who will be happy to assist.

Operational Risk Manager (10834)

Our Story Hello there. We're Zopa. We started our journey back in 2005, building the first ever peer-to-peer lending company. Fast forward to 2020 and we launched Zopa Bank. A bank that listens to what our customers don't like about finance and does the opposite. We're redefining what it feels like to work in finance. Our vision for a new era of banking puts people front and centre - we've built a business that empowers everyone to aim high, every day, to move finance forward. Find out more about our fantastic offerings at Zopa.com! We're incredibly proud of our achievements and none of it would be possible without the amazing team here. It's not just industry awards we're winning, we've also been named in the top three UK's Most Loved Workplaces. If you embrace unconventional challenges, are unafraid to think differently and are driven to make an outsized impact, you'll thrive here at Zopa, so join us, and make it count. Want to see us in action? Follow us on Instagram @zopalife Zopa is looking for an experienced Compliance Manager to join our 2nd Line of Defence Compliance team. Reporting to the Head of 2nd Line Compliance, this role is an exciting opportunity to help Zopa develop and implement its framework for managing compliance risk. You'll use your expert knowledge of the UK regulatory framework to support the team in carrying out all its functions, from writing policies to reviewing business changes, interpreting new regulatory requirements and conducting assurance on the business. We are looking for someone with a deep level of expertise, as well as a strong focus on customer outcomes. We're open to applications from experienced individuals looking to work flexibly or on a part-time basis. We have a friendly, fun, and ambitious culture where everyone contributes pro-actively towards the growth of the business, so a parallel mind-set is what we are looking for. A day in the life: <ul><ul><li>Provide technical regulatory expertise to support the whole range of work of the second line. </li><li>Aiding the development, maintenance and implementation of compliance frameworks and policies </li><li>Help with the second line horizon scanning process, ensuring that new regulatory requirements are identified, interpreted and communicated effectively to the business </li><li>Conduct second line review and challenge on new products and other business initiatives from a compliance perspective </li><li>Support the production of briefings to senior staff and committees on compliance-related matters </li><li>Assist with the completion of assurance work on compliance matters </li><li>Contribute to the production of FCA communications and submissions </li><li>Support the Senior Director, Risk and Compliance to deliver Compliance related project(s) as required </li></ul></ul>About you: <ul><ul><li>You'll have previous Compliance experience within financial services, with excellent knowledge of the UK regulatory landscape, particularly FCA and broader consumer-focused regulation, and a strong commitment to good customer outcomes </li><li>The ability to get to grips with and interpret a wide range of regulations </li><li>Excellent written and verbal communication skills </li><li>You're eloquent, able to explain complex sets of rules / translate regulations into clear language to all levels of staff </li><li>Can demonstrate a pragmatic approach, able to understand not just what the regulations say but what implementation looks like in practice </li></ul></ul>#LI-LK1 Flexible working? Yes please! At Zopa we value flexible ways of working. We understand the benefits of face-to-face collaboration and the importance of a good work-life balance. Our teams work in a hybrid manner, from our vibrant UK offices and the comfort of their own homes, at a frequency that suits the team and the work they do. Not only that - you'll also have the option of working from abroad for up to 120 days a year!* But no matter where you are, we'll make sure you've got everything you need to thrive, both in your work and home life, from day one. *Subject to having the right to work in the country of choice Diversity Statement Zopa is proud to offer a workplace free from discrimination. Diversity of experience, perspectives, and backgrounds leads to better products for our customers and a unique company culture for our people. We are made up of nearly 50 nationalities, have a DE&amp;I forum made up of Zopians wanting to make a difference and we are proud of our culture where everyone can bring their full self to work. Our approach to DE&amp;I is reflected in our hiring process so please let us know if you require any reasonable adjustments.

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