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COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR WHAT IS THE OPPORTUNITY? The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules, and regulations, and ensuring effective controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters. This role is responsible for oversight of best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, assisting business areas to implement corrective actions or procedural changes, and applying a risk-based approach. What you will do <ul><li>Serve as a compliance subject matter expert for assigned areas.</li><li>Review committee materials related to best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, and fiduciary investments.</li><li>Provide credible challenge at committee meetings.</li><li>Manage regulatory change management and participate with business areas, in addition to other support functions (Finance, Technology).</li><li>Monitor legislative/regulatory/enforcement activity and trends for impacts to business line activities.</li><li>Provide compliance advice and guidance to business areas and with assigned business projects.</li><li>Assist with regulatory filings such as Form ADV and CFTC reporting.</li><li>Provide guidance and coaching to colleagues on interpretation and application of regulatory requirements to business processes.</li><li>Develop and maintain compliance policies and standards that address key risk activities. Implement any corrective actions or risk mitigation measures and track, report and validate corrective actions.</li><li>Provide support in regulatory examination, risk assessments and internal audits.</li><li>Review and document procedures to ensure secure maintenance and quality of records.</li><li>Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g. SEC Rule 204, SEC Rule 206, Regulation Best Interest, Code of Conduct, etc.).</li></ul>Must-Have* <ul><li>Bachelor's Degree or equivalent</li><li>Minimum 7 years of compliance, regulatory compliance with respect to registered investment adviser products and services.</li><li>Minimum 5 years of financial services experience</li></ul>Skills and Knowledge <ul><li>Advanced knowledge of banking compliance laws and regulations, as related to lending, deposits, payments, and bank operations (Examples include but are not limited to: Reg B, Reg C, Reg V, Reg X, Reg O, Reg W, Reg CC, Reg D, Reg DD, Reg E,)</li><li>Ability to analyze complex situations and provide guidance, make recommendations, and/or escalate issues to appropriate levels of management.</li><li>Ability to interact with federal regulatory agencies.</li><li>Ability to operate effectively in a fast-paced environment.</li><li>Excellent organizational and analytical skills.</li><li>Ability to communicate clearly and professionally with all levels of an organization.</li><li>Excellent written and verbal communications skills.</li><li>Effective interpersonal skills.</li><li>Excellent time management skills and be accustomed to working with deadlines.</li><li>Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus.</li><li>Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.</li><li>For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).</li><li>For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser.</li><li>For Wealth Management Compliance roles, experience working within a Compliance Investment Management role.</li></ul>Compensation Starting base salary: $101,231 - $172,355 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves. *City National Bank does business in Miami and the state of Florida as CN Bank. For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER &amp; REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at (213) 673-9139. These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days. #LI-JR1 #CR-JR

Compliance Officer Senior-Registered Investment Advisor

You could be the one who changes everything for our 28 million members. Centene is transforming the health of our communities, one person at a time. As a diversified, national organization, you'll have access to competitive benefits including a fresh perspective on workplace flexibility. Applicants for this job have the flexibility to work remote from home anywhere in the Continental United States. Position Purpose: Supports the Medicare Communications Compliance team in the management of regulatory requirements associated with the Medicare materials and sales compliance. Participates in the ongoing oversight, analysis, review, and approval of all beneficiary-facing Medicare materials. In addition, may also support the department with special projects. <ul><li>Conducts review of difficult or detailed member and prospective member communications against regulations to ensure compliance.</li><li>Performs comprehensive, complex regulatory analyses, including the review, summarization and dissemination of key regulatory updates and changes with the Medicare Marketing Guidelines and relevance on material review.</li><li>Provides project leadership, including the review of departmental documents, summarizing results, and implementing recommendations.</li><li>Provides mentoring or coaching to specialists or operational business partners on review of materials.</li><li>Assists department management with review of new or updated regulations.</li><li>Performs other duties as assigned.</li><li>Complies with all policies and standards.</li></ul>Education/Experience: <ul><li>Bachelor's degree in Health Administration, related field, or equivalent experience required.</li><li>5+ years of experience in Managed Care/Health Insurance/Public Health/Health Care Administration/ Medicare Part D or related field required.</li><li>Some experience in State or Federal managed care compliance and project coordination required.</li></ul>Pay Range: $68,700.00 - $123,700.00 per year Centene offers a comprehensive benefits package including: competitive pay, health insurance, 401K and stock purchase plans, tuition reimbursement, paid time off plus holidays, and a flexible approach to work with remote, hybrid, field or office work schedules. Actual pay will be adjusted based on an individual's skills, experience, education, and other job-related factors permitted by law. Total compensation may also include additional forms of incentives. Centene is an equal opportunity employer that is committed to diversity, and values the ways in which we are different. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or other characteristic protected by applicable law. Qualified applicants with arrest or conviction records will be considered in accordance with the LA County Ordinance and the California Fair Chance Act

Senior Medicare Communications Compliance Specialist

The Security &amp; Compliance Manager will:<ul> <li> Lead the team responsible for security assessments, developing risk based solutions and controls frameworks. </li> <li> Serve as the subject matter expert for control validation in the Security team. </li> <li> Create/Update/Maintain IT Security Guidelines and Standards. </li> <li> Develop System Policies and establish system standards. </li> <li> Communicate security controls and remediate any concerns. </li> <li> Collaborate with various departments to safeguard our adherence to policies and other undertakings that influence the security, confidentiality, integrity, and accessibility of our application, infrastructure, and business operations. </li> <li> Conduct, document, and report on internal and third-party risk program. </li> <li> Collaborate with the DAS OISP team to ensure successful delivery of security &amp; business objectives. </li> <li> Lead the coordination of data gathering needed for internal and external audits, regulatory requirements, and other compliance and risk management needs requirements. </li> <li> Be a highly analytical and effective communicator capable of influencing other teams and departments. </li> </ul>At the State of Ohio, we take care of the team that cares for Ohioans. We provide a variety of quality, competitive benefits to eligible full-time and part-time employees*. For a list of all the State of Ohio Benefits, visit our Total Rewards website ! Our benefits package includes: <ul> <li> Medical Coverage </li> <li> Free Dental, Vision and Basic Life Insurance premiums after completion of eligibility period </li> <li> Paid time off, including vacation, personal, sick leave and 11 paid holidays per year </li> <li> Childbirth, Adoption, and Foster Care leave </li> <li> Education and Development Opportunities (Employee Development Funds, Public Service Loan Forgiveness, and more) </li> <li> Public Retirement Systems ( such as OPERS, STRS, SERS, and HPRS ) &amp; Optional Deferred Compensation ( Ohio Deferred Compensation ) </li> </ul> *Benefits eligibility is dependent on a number of factors. The Agency Contact listed above will be able to provide specific benefits information for this position. Qualifications 8 1/2 years (102 mos.) exp. commensurate with job duties to be performed &amp; knowledges &amp; skills required as outlined in approved position description on file for position to be filled as advertised in job posting; 18 months exp. in performing project management functions as defined in series purpose. -Or completion of undergraduate core coursework in computer science, or completion of undergraduate core coursework in any academic major which included at least one course in each of the following: advanced-level computer programming language (for example, COBOL, Delphi, Java, Powerbuilder, Visual Basic, Pl 1, SAS PCS, Pacbase, Full Visual Suite, Designer 2000, Developer 2000, C, C++, Visual C, ECL, or Visual Studio), logic-based mathematics, data base concepts (for example, Oracle, Microsoft Access, Paradox, Sybase, IMS DB, DB2, Cache, DMS, or RDMS), computer systems analysis &amp; design, &amp; basic data processing concepts; additional 6 1/2 years (78 mos.) exp. commensurate with job duties to be performed &amp; knowledges &amp; skills required as outlined in approved position description on file for position to be filled as advertised in job posting.; 18 mos. exp. in performing project management functions as defined in series purpose. -Or 12 mos. exp. as Information Technology Supervisor 3, 64119, or equivalent. Or in offices of statewide information technology policy &amp; planning, positions require completion of undergraduate core coursework in computer science, or completion of undergraduate core coursework in any academic major which included at least one course in each of the following: advanced-level computer programming language (for example, COBOL, Delphi, Java, Powerbuilder, Visual Basic, Pl 1, SAS PCS, Pacbase, Full Visual Suite, Designer 2000, Developer 2000, C, C++, Visual C, ECL, or Visual Studio), logic-based mathematics, data base concepts (for example, Oracle, Microsoft Access, Paradox, Sybase, IMS DB, DB2, Cache, DMS, or RDMS), computer systems analysis &amp; design, &amp; basic data processing concepts; 3 yrs. exp. in utilizing word processing software; 3 yrs. exp. in utilizing internet browser(s) for research; 54 mos. exp. which included following: knowledge of information technology architecture components, developing information technology strategic plans, preparing &amp; making presentations/public speaking, writing information technology related policy &amp; procedures, preparing &amp; monitoring budget, providing cost &amp; resources estimates, &amp; contract management; 2 yrs. exp. in utilizing e-mail system; 18 mos. exp. in project management or lead role on information technology project;12 mos. exp. in utilizing spreadsheet software; 12 mos. exp. as Information Technology Supervisor 3, 64119, or equivalent. -Or equivalent of Minimum Class Qualifications For Employment noted above. Job Skills: Information Technology

Information Technology Manager 1 - Security & Compliance Manager- 20078290

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. Team/ Role Paragraph: As a Lead Analyst, Compliance Operations you'll join a high functioning team of passionate support professionals who know their performance is critical to Coinbase achieving its mission. At Coinbase we have a high hiring bar and we're determined to create a productive, progressive, inclusive place to work. If you're looking to work for a mission driven, employee first organization, please apply today. What you'll be doing (ie. job duties): Process &amp; Program Management (70%) <ul><li><ul><li>Act as SME for TMS operations; support internal teams with process clarification and resolution of case subjectivity.</li><li>Build strong partnerships with Compliance stakeholders to resolve ambiguities and improve case handling.</li><li>Conduct Root Cause Analysis (RCA) based on Quality Control (QC) and Quality Assurance (QA) findings to identify areas for improvement.</li><li>Lead or support continuous improvement projects in collaboration with BPO Vendors and other cross-functional teams.</li><li>Execute corrective actions and monitor implementation and effectiveness</li></ul></li></ul>Investigations Casework (30%) <ul><li><ul><li>Investigate AML and fraud-related alerts and transactions on the blockchain.</li><li>Perform in-depth investigative reviews, including SAR writing and filing, KYC analysis, and due diligence research.</li><li>Analyze alerts triggered by automated transaction monitoring systems, law enforcement referrals, and other internal sources.</li><li>Prepare comprehensive written narratives documenting findings, decisions, and escalations</li></ul></li></ul>What we look for in you (ie. job requirements): <ul><li><ul><li>Degree or equivalent ACAMS or other professional certification related to AML, Fraud, and/or blockchain/crypto investigation (not required, but a major plus)</li><li>Minimum 4 years professional experience and 3 years relevant compliance experience (conducting AML/Fraud investigations, SARs preparation and filing and leading teams) </li><li>Experience working in a fast paced production environment with competing priorities and shifting procedural requirements with an emphasis on production and quality</li><li>Experience in project management, process improvement, process mapping, or procedure writing</li><li>Working knowledge of applicable laws, regulations, and guidelines </li><li>Strong interpersonal, analytical, and communications (verbal and written) skills</li><li>Excellent grasp of English grammar and strong English language writing skills</li></ul></li></ul>Nice to haves: <ul><li>Degree in business, finance, or customer experience (CX)</li><li>Proficient in Google Suite and blockchain analysis (e.g. Chainalysis)</li><li>Experience collaborating with external outsource business partners</li></ul>Job#: G2729 #LI-Remote Pay Transparency Notice: The target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, and vision). Pay Range: €67.000-€67.000 EUR Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

Lead Analyst, Compliance Operations

General Purpose Under supervision, the Retail Operations Compliance Specialist I, using standard banking practices and procedures and various tools, performs research and makes possible recommendations to ensure all regulatory requirements are met and to protect the bank from losses. Essential Duties/Responsibilities Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. All tasks performed under supervisory guidance. <ul><li>With supervision and guidance, responsible for overseeing and ensuring compliance with the implementation of Alpine Bank's policies and procedures regarding specific operational regulations such as Federal Regulations E, CC, D, DD, BSA Customer Information profiling and BSA Currency Transaction Reporting and Fair Credit Reporting Act.</li><li>Monitors for accurate completion of documents, identifies improper procedures or documentation, researches issues, makes recommendations to improve policies or procedures accordingly and notifies appropriate staff of the changes/corrections needed.</li><li>Assists in gathering documentation and information requested by internal, external, and regulatory auditors and authorities related to an audit, examination, or inquiry.</li><li>For Supervisory review, identifies improper procedures or documentation.</li><li>Coordinates and performs regulatory file submission review and filing processes.</li><li>Promotes a risk-aware culture, ensures efficient and effective risk and compliance management practices by adhering to required standards and processes.</li><li>Works directly with bank employees to answer questions and assist operations support staff in proper documentation and regulatory requirements.</li><li>Provides prompt, courteous and accurate internal and external customer service.</li><li>Maintains bank confidentiality as it pertains to all functions of the bank.</li><li>Regular and reliable attendance is required as an essential function of this position.</li><li>Performs other duties as assigned.</li></ul>Employees are held accountable for all duties of this job. Job Qualifications Knowledge, Skills, and Ability: <ul><li>Ability to make independent decisions. </li><li>Exhibits solid judgement. </li><li>Highly familiar with standard banking concepts, practices, and procedures regarding bank compliance. </li><li>Strong ability to tactfully work with co-workers, internal customers, and management. </li><li>Ability and willingness to assist other Alpine Bank staff.</li><li>Proficient in basic computer applications such as Microsoft Word and Excel are required.</li><li>Detail oriented with exceptional organizational skills.</li><li>Ability to perform job duties with a high level of accuracy.</li><li>Strong verbal and written communication skills. </li><li>Ability to work under pressure, in a fast-paced environment while meeting strict deadlines.</li><li>Demonstrates commitment to providing continuous excellent customer service.</li><li>Practices a high degree of professionalism with a positive attitude. </li><li>Manages time effectively and efficiently. </li><li>Maintains a high degree of accuracy and completeness of work. </li><li>Adheres to all policies, procedures, and regulatory compliance guidelines of Alpine Bank.</li><li>Maintains bank confidentiality as it pertains to all functions of the Bank.</li><li>Familiarity with standard concepts within specific operational regulations such as Federal Regulations E, CC, D, DD; BSA Customer Information profiling and BSA Currency Transaction Reporting and Fair Credit Reporting Act.</li><li>Ability to rely on instructions and pre-established guidelines to perform the functions of the job.</li></ul>Education or Formal Training: <ul><li>High School Diploma or General Education Diploma (GED) equivalent required.</li><li>Associate Degree in Finance, Accounting, Business or similar preferred.</li><li>ABA School of Compliance - Foundational - Required (to be completed within 12 months of hire).</li></ul>Experience: <ul><li>One (1) to three (3) years of working with regulatory documents in a financial or banking environment or in Bank Loan Operations, Loan Servicing or Front-Line Operations required.</li><li>An equivalent combination of education and experience may be substituted on a year-to-year basis. </li></ul>Working Conditions Working Environment: This job operates in a professional office environment. There may be a Hybrid schedule to include remote work and in office, but that can change at any time. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Physical Activities: These are representative of those which must be met to successfully perform the essential functions of this job. While performing the duties of this job, the employee is regularly required to talk or hear. This is largely a sedentary role; however, some filing is required; it would require the ability to reach for and lift files, open filing cabinets and bend or stand on a stool as necessary. Specific vision abilities required by this job include close vision, distance vision, color vision, and ability to adjust focus. Employee also may have to lift up to 25 pounds. Note: This job description is not intended to be an exhaustive list of all duties, responsibilities, or qualifications associated with the job. Starting Rate of Pay is from $19.50 to $24.50 per hour, depending on experience. For an overview of our employee benefits please visit: Alpine Bank Careers Page Position anticipated to close April 25, 2025, or until filled. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)

Retail Operations Compliance Specialist I

Work Location: Mount Laurel, New Jersey, United States of America Hours: 40 Pay Details: $28.25 - $45.00 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Financial Crime Risk Management Job Description: Financial Crime Risk Management Testing &amp; Controls The Financial Crime Risk Analyst II role provides a range of analytical, research and assessment support to the development of and enhancements to the enterprises FCRM programs and processes. This role may interact with key stakeholders and third-party service providers to deliver AML/ATF/Sanctions/ABAC programs that satisfy regulatory requirements. Additionally, this role assists in reviewing higher risk customer or transactional information. Depth &amp; Scope: <ul><li>Experienced professional role providing specialized guidance/assistance/support to functions/FCRM teams</li><li>Independently performs activities from end-to-end</li><li>Requires advanced understanding of a range of product and services, processes, procedures, systems and concepts within their own area of specialty and integration points with related areas</li><li>Manages ambiguity, and applies judgement to identify, troubleshoot and resolve ongoing business and operational issues </li><li>Interprets and administers policies, adopts and implements business process improvements</li><li>Guided by practices, procedures and operating plans, makes process and capacity management decisions to ensure ongoing operations </li><li>Moderate level of complexity in operational / reporting / process and/or analysis function requiring a short to medium term focus</li></ul>Education &amp; Experience: <ul><li>Undergraduate degree or equivalent work experience </li><li>3+ years experience</li></ul>Preferred Skills: Complex AML/TF Investigations Customer Accountabilities: <ul><li>Provides FCRM research, evaluation, operational, reporting and/or analytical support in oversight, advisory services and control function to business (FCRM) partners, in a timely manner </li><li>Co-ordinates requests to and from, business (FCRM) partners </li><li>Assists in the preparation of summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders</li><li>Recommends responses to enterprise FCRM Program questions and immediately escalates any sensitive issues according to departmental procedures</li><li>Analyzes data and draws conclusions to meet program health reporting requirements</li><li>Analyzes emerging trends pertaining to regulatory changes, reporting or other departmental functions and provides recommendations to enhance or rectify FCRM- related gaps, issues and enhancements</li><li>Proactively identifies matters requiring additional review, escalation, and liaises with appropriate staff to resolve, as appropriate</li><li>Coordinates tracking and reporting of FCRM function initiatives and programs</li></ul>Shareholder Accountabilities: <ul><li>Prioritizes and manages own workload to meet SLA requirements for service and productivity</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate</li><li>Protects the interests of the organization - identifies and manages risks, and escalates non-standard, high-risk transactions / activities as necessary</li><li>Acquires and applies expertise in the FCRM discipline, provides guidance, assistance and direction to other FCRM partners</li><li>Identifies, recommends and effectively executes standard practices applicable to the FCRM discipline</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements </li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite</li><li>Adheres to internal policies / procedures and applicable regulatory guidelines</li><li>Coordinates with other FCRM partners and compliance partners to ensure consistence in the application of FCRM</li></ul>Employee/Team Accountabilities: <ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues / points of interest</li><li>Supports the team by continuously enhancing knowledge / expertise in own area and participates in knowledge transfer within the team and business unit</li><li>Keeps current on emerging trends / developments and grows knowledge of the business, related tools and techniques </li><li>Participates in personal performance management and development activities, including cross training within own team</li><li>Keeps others informed and up to date about the status / progress of projects and/or all relevant or useful information related to day-to-day activities</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce</li><li>Acts as a brand champion for your function and the bank, both internally and/or externally </li><li>Grows knowledge of the business, related tools and techniques</li></ul>Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% <ul><li>Domestic Travel - Occasional</li><li>International Travel - Never</li><li>Performing sedentary work - Continuous</li><li>Performing multiple tasks - Continuous</li><li>Operating standard office equipment - Continuous</li><li>Responding quickly to sounds - Occasional</li><li>Sitting - Continuous</li><li>Standing - Occasional</li><li>Walking - Occasional</li><li>Moving safely in confined spaces - Occasional</li><li>Lifting/Carrying (under 25 lbs.) - Occasional</li><li>Lifting/Carrying (over 25 lbs.) - Never</li><li>Squatting - Occasional</li><li>Bending - Occasional</li><li>Kneeling - Never</li><li>Crawling - Never</li><li>Climbing - Never</li><li>Reaching overhead - Never</li><li>Reaching forward - Occasional</li><li>Pushing - Never</li><li>Pulling - Never</li><li>Twisting - Never</li><li>Concentrating for long periods of time - Continuous</li><li>Applying common sense to deal with problems involving standardized situations - Continuous</li><li>Reading, writing and comprehending instructions - Continuous</li><li>Adding, subtracting, multiplying and dividing - Continuous</li></ul>The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities &amp; duties are considered essential functions for ADA purposes. Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Financial Crime Risk Analyst II - FCRM Quality Assurance

Vacancy Name Junior Governance, Risk and Compliance Analyst Employment Type Permanent Location UK - London Office Job Details Summary Reporting to the Governance, Risk &amp; Compliance Manager, the Junior GRC Analyst will support various Governance, Risk, and Compliance activities, helping to strengthen the security culture within the organisation. The role would suit a career driven individual with a passion to develop their own skills and knowledge in GRC and Information security for this challenging but highly rewarding position. About Smart Communications Smart Communications is a leading technology company focused on helping businesses engage in more meaningful customer conversations. Its Conversation Cloud™ platform uniquely delivers personalized, omnichannel conversations across the entire customer experience, empowering companies to succeed in today's digital-focused, customer-driven world while also simplifying processes and operating more efficiently. Smart Communications is headquartered in the UK and serves more than 650 customers from offices located across North America, Europe, and Asia Pacific. Smart Communications' Conversation Cloud platform includes the enterprise-scale customer communications management (CCM) power of SmartCOMMTM, forms transformation capabilities made possible by SmartIQTM and the trade documentation expertise of SmartDXTM. In 2021, the company acquired Assentis, a leading European software solutions provider specializing in customer communications management (CCM) with a focus on the financial services industry. To learn more, visit smartcommunications.com. The responsibilities of the role include:<ul><li>Assisting in the creation and maintenance of policies, standards, and guidelines related to Information Security. </li><li>Supporting the third-party security risk management process by reviewing vendor security measures. </li><li>Assisting with internal audits to check compliance with security policies and tracking corrective actions. </li><li>Supporting risk assessments and security audits under guidance from senior team members. </li><li>Assisting in projects and supplier/customer onboarding, ensuring security requirements are considered in contracts. </li><li>Preparing reports on operations, security and compliance status across the business. </li><li>Completing security questionnaires and Requests for Proposals (RFPs). </li><li>Working closely with project teams to ensure that new initiatives align with compliance requirements.</li></ul>What we're looking for: Must have skills/experience:<ul><li>University graduate with a degree in Information Systems, Computer Science, Cybersecurity, or a related field.</li><li>Basic understanding of ISO27001, PCI DSS</li><li>Awareness of compliance regulations such as DPA (Data Protection Act) and GDPR. </li><li>Understanding of cloud environments (AWS, Azure). </li></ul>Desirable Skills/Knowledge:<ul><li>Any relevant GRC or Information / Cyber certifications (e.g.CompTIA Security+).</li><li>Exposure to internal audit processes.</li><li>Familiarity with ITIL or similar frameworks</li></ul>We look for the following SMART values in everyone we hire at Smart Communications:<ul><li>peak Openly - We are positive, creative, helpful, kind and we have fun. We listen and provide constructive feedback. Through meaningful conversations we encourage each other to be the best that we can be. We're not complainers we're problem solvers.</li><li>Make a Difference - We focus on the things that matter and prioritize the things that have the greatest impact. We celebrate success and hold ourselves accountable for our choices. We don't sit on the sidelines.</li><li>Agile &amp; Flexible - We are focused on evolving, improving and growing. We think differently and challenge the status quo with open minds. We ask 'why?' so that we can help remove complexity. We don't allow hurdles to get in our way.</li><li>Results-Focused - We get stuff done by being efficient, working at pace and paying attention to detail. We focus on finding solutions and fixing things. We don't believe in being busy for the sake of being busy, we focus on productivity.</li><li>Teamwork - We are stronger and better together. We collaborate, trust and support each other to deliver results for our company and our customers. We don't want anyone to feel disengaged, we're in this together!</li></ul>What's the deal? We will provide you with the tools, equipment and support to give you the best possible chance of success and over-achieving your goals. Salary will depend on your experience and will be highly competitive. In addition to a friendly and fun working environment, we provide a range of other benefits, including extensive health insurance, income protection, life assurance, subsidised gym membership, leisure travel insurance, pension contribution and 25 days' holiday allowance plus an additional day off for your birthday! Located in Covent Garden, our offices are comfortable, flexible, and are always stocked with free beverages and fresh fruit. This role has a hybrid setup with occasional work from the office required. So, if we interest you, please let us know by applying for this position and tell us all about yourself. Please note: we only consider applicants with current legal right to work in the countries in which our positions are based. All qualified applicants will receive consideration for employment regardless of colour, religion, sex, national origin, sexual orientation, age, disability, marital status or gender identity. To learn more about Smart Communications visit: <a href="https://www.smartcommunications.com/" target="_blank">https://www.smartcommunications.com/</a>

Junior Governance, Risk and Compliance Analyst

Overview At Upbring, our team is united by a shared mission: to break the cycle of child abuse and advance the wellbeing of children, families and communities, empowering them to thrive. As servant-leaders, we lead by example, working passionately to create a brighter future for those we serve. Every day, we strive to embody our core values: <ul><li>We are Warriors: Fierce, resilient, and courageous, we face challenges head-on with unwavering loyalty and passion.</li><li>We are Servants: We dedicate ourselves to serving others, empowering those around us to thrive.</li><li>We are Family: We work together as a supportive, caring community, creating a sense of belonging and strength.</li></ul>Joining Upbring means becoming part of a family of passionate individuals who are fearless in their pursuit of lasting change. Together, we are making a difference, one life at a time. What You'll Do The Compliance Specialist is responsible and accountable to ensure the program remains up-to-date on all regulatory and licensing requirements in accordance with agency, state, accreditation, and federal regulations. The Compliance Specialist develops, implements, and enforces policies and procedures that keep the agency's services, processes, and physical sites operating in a legal and ethical manner. If there are suspected violations of compliance, the Compliance Specialist conducts audits or investigations, recommends areas for improvement, and develops roadmaps for remediation. Our Upbring staff members are servant-leaders in the pursuit of breaking the cycle of child abuse and empowering others to do the same through example while embodying our core values: We are Warriors. We are Servants. We are Family. All Upbring Children's Shelters employees must comply with ORR's vaccination mandate. All staff must be able to show proof of immunity to vaccine-preventable diseases transmitted by the respiratory route if working directly with unaccompanied children (UC). Medical and Religious exemptions may be requested after an offer of employment is accepted. Responsibilities We Are Warriors | We Set the Standards for Child Welfare Work Standards <ul><li>Maintain audit readiness by ongoing training, competency assessment, audit, monitoring or metrics and corrective action</li><li>Perform regulatory compliance safety walk-throughs of the program to ensure continuous compliance</li><li>Review critical incident reports and carry out root analysis to determine the cause</li><li>Ensure consistency in standards, processes, forms, and best care practices across all Upbring ORR Emergency Shelter programs</li><li>Must be able to adjust quickly to different work situations and remain composed under pressure and in stressful situations</li><li>Design, develop, implement, and evaluate interventions to improve performance for key indicators of program outcomes and business operations, goals, and objectives </li><li>Analyze and evaluate the effectiveness of programs and operations in meeting established goals and objectives in compliance with Agency, licensing, accreditation, and other regulatory requirements and advise management on any non-compliance through detailed reports.</li><li>Ensure that operations comply with legal regulatory standards, procedures, and policies</li><li>Responsible for monitoring and documenting compliance activities, advising leadership and management on compliance matters, and liaising with regulatory, accreditation, and government agencies</li><li>Identifying, investigating, and reporting compliance issues, irregularities, and violations immediately to leadership and management</li><li>Identify compliance issues and recommend solutions. </li><li>Perform occasional regulatory training for employees with respect to applicable job functions or as a response to audit findings</li><li>Act as an internal resource for compliance related questions, issues, resolutions based on Agency policies and procedures, accreditation, and applicable government standards</li><li>Attend monthly program Safety Committee meetings </li><li>All other duties as assigned</li></ul>Communication <ul><li>Possess strong analytical thinking skills and be able to maintain meticulous records of compliance activities</li></ul><ul><li>Ability to express and to communicate thoughts and ideas in a professional, clear, and concise manner, both orally and in written form to a variety of audiences and to all levels of staff.</li><li>Must be willing to express and support management's ideas to affected staff</li><li>Possess the ability to tactfully and effectively work with collateral agencies, peers, and stakeholders to achieve the mission of the agency </li></ul>We Are Servants We Help Others Teamwork <ul><li>Assist in coordinating audit materials for internal compliance audits and external regulatory and accreditation bodies</li><li>Assist with reviewing compliance related policies annually and recommend changes for management approval as needed</li><li>Assist with reviewing and revising forms for compliance with applicable policies, procedures, and standards.</li><li>Assist with the development of corrective action plans in response to audit discoveries and compliance violations </li><li>Assist with assuring that all deficiencies noted in Compliance Reports are addressed adequately and in a timely manner</li><li>Assist with receiving, archiving, and distributing all compliance resources as needed</li><li>Helps to build and promote teamwork</li><li>Build and maintain cooperative working relationships with management, program staff, inter-disciplinary teams, volunteers, and service providers to ensure the needs of the UC and program goals and services are being met at the highest quality</li></ul>We Are Family We Are Passionate &amp; Compassionate Building Relationships <ul><li>Build and maintain cooperative working relationships with leadership, management, program staff, inter-disciplinary teams, volunteers, and service providers to ensure the needs of the UC and program goals and services are being met at the highest quality</li><li>Work as a team player and exhibit professional behavior and a positive attitude with both internal and external clients that reflects positively on the Agency and is consistent with Agency policies and procedures</li><li>Actively participate in exhibiting cultural awareness and sensitivity when interacting with UC, staff, and the community</li><li>Projects a positive image always along with the ability to work well with others</li></ul>Qualifications Minimum Qualifications <ul><li>Bachelor's degree in behavioral science, social services fields, or closely related field</li><li>2-years' experience working with compliance issues, auditing, data, policies, standards, and best practices</li><li>Must be 21 years of age or older per licensing requirements</li><li>Bilingual (Spanish preferred due to service area and service population)</li><li>Ability to use sound judgment and always maintain confidentially</li><li>Demonstrated ability to establish trust and a positive rapport with the service population</li><li>Demonstrated ability to gather and analyze information and translate into empirical data (metrics, structured reporting, data driven analysis)</li><li>Ability to create scorecards and dashboards with relevant information to influence strategic planning, decision making, and meet department, program, and Agency goals and objectives</li><li>Strong time management and organizational skills with the ability to manage competing priorities and meet deadlines</li></ul><ul><li>Strong interpersonal and people skills with the ability to work independently, within a team environment and with a diverse group of people</li><li>Proficient with Microsoft Word, Excel, Power Point and Outlook</li></ul>Preferred Qualifications <ul><li>Master's degree in behavioral sciences, social services fields, or closely related fields</li><li>Certified Risk and Compliance Management Professional (CRCMP)</li><li>Prior compliance and/or internal company audit experience in a role like quality assurance</li><li>Advanced knowledge of Licensing minimum standards and Office of Refugee and Resettlement policies</li></ul>Perks at Upbring <ul><li>Competitive PTO &amp; paid holidays </li><li>Health, dental, vision insurance &amp; more! </li><li>403(b) Plan</li><li>Employee Assistance Program</li><li>24/7 access to telemedicine and counseling services </li><li>Discounted Gym Memberships </li><li>Donated Leave Program </li></ul>Physical Demands &amp; Work Conditions <ul><li>This position requires sitting and looking and using a computer for extended periods of time</li><li>Position works in a child facility and has constant exposure to children</li><li>Lift, push, pull, and move up to 25 lbs.</li></ul>The physical requirements for this position with or without reasonable accommodation are representative of those that must be met by an employee to perform the essential functions of this position successfully. While performing this position the employee with or without reasonable accommodation should have the ability to walk, stand, sit, kneel, speak, and hear with aid, see, read, reach with arms and hands, lift and/or move up to specified weight, and use equipment that is essential to performing the job, such as a computer, copier, fax machine, telephone, and automobile, if applicable. Specific vision requirements of this position may include color vision, seeing things close up, and the ability to adjust focus. Upbring is an Equal Employment Opportunity/AA Employer and does not discriminate on the basis of race, color, ancestry, religion, age, sex, sexual orientation, gender, pregnancy, marital status, national origin, genetic information, physical or mental disability, military or veteran status.

Compliance Specialist

Job Description Purpose of the role To monitor and analyse market activity for potential signs of abuse or manipulation, verifying that there is adherence to regulatory requirements and internal policies and taking action to mitigate market misconduct. Accountabilities <ul><li>Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.</li><li>Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.</li><li>Business support in projects related to the firm's market surveillance framework.</li><li>Regulatory query and internal/external audit support.</li><li>Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.</li><li>Execution of appropriate controls aligned to the Barclays control framework and related firm-wide standards.</li><li>Control environment support in relation to data quality, model effectiveness and efficiency.</li></ul>Assistant Vice President Expectations <ul><li>To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.</li><li>Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes</li><li>If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others.</li><li>OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.</li><li>Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.</li><li>Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.</li><li>Take ownership for managing risk and strengthening controls in relation to the work done.</li><li>Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.</li><li>Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.</li><li>Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.</li><li>Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.</li><li>Influence or convince stakeholders to achieve outcomes.</li></ul>All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship - our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset - to Empower, Challenge and Drive - the operating manual for how we behave. This Assistant Vice President role will work closely with the Regional Head of EMEA Market Surveillance and the Barclays Europe Trade Surveillance Operational Lead in managing the team's portfolio, including leading or overseeing deep dive investigation, follow-up on pending escalations and model change projects. The role will also engage, on behalf of Barclays Europe, with Group Surveillance stakeholders and the Group Business Oversight Compliance Team to ensure Group-wide initiatives sufficiently consider EU MAR requirements. You will be joining a highly performing team in a role that offers interesting business opportunities. To be successful as a Compliance Officer - Surveillance AVP, you should have: <ul><li>Significant Surveillance experience using third party trade surveillance tools (e.g.NTS, Trading Hub)</li><li>Strong product knowledge of FICC products</li><li>Good knowledge of key European regulations</li></ul>Some other highly valued skills may include: <ul><li>Fluency in English &amp; language skills including German/Spanish would be an advantage.</li><li>Strong analytical skills, attention to details and the ability to manage several simultaneous tasks</li><li>A self-motivated fast learner with the ability to work independently as well as within a team</li></ul>You may be assessed on key critical skills relevant for success in the role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills. This role is deemed as a Controlled Function role under the Central Bank of Ireland Fitness and Probity Regulations and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Compliance Officer - Surveillance AVP

JLL empowers you to shape a brighter way. Our people at JLL and JLL Technologies are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring the best, most talented people and empowering them to thrive, grow meaningful careers and to find a place where they belong. Whether you've got deep experience in commercial real estate, skilled trades or technology, or you're looking to apply your relevant experience to a new industry, join our team as we help shape a brighter way forward. ESSENTIAL FUNCTIONS <ul><li>Implement and maintain ISO 9001 and cGxP requirements on the account in region.</li><li>Develop, implement and maintain the account Quality Management Plan (QMP), and serve as the account quality subject matter expert (SME).</li><li>Support the implementation of a regional and/or site-based Quality Agreement between JLL and the client.</li><li>Ensure regulatory, quality and training compliance on the account, through document reviews, self-assessments, audits, etc. </li><li>Develop and implement Quality, Risk and Compliance programs on the account, to ensure service quality.</li><li>Prepare and manage quality documentation e.g. SOPs, change control documentation, quality agreements, training materials, investigations, etc.</li><li>Lead and support JLL quality related complaints, deviations, investigations, root cause analysis (RCAs) and CAPAs.</li><li>Perform qualification of GxP impacting vendors, establish quality agreements, conduct vendor performance reviews and maintain the account approved supplier list (ASL).</li><li>Interface and collaborate with client Quality team to ensure adherence to client procedures, compliant proper documentation, delivery of reports and address quality-related concerns.</li><li>Represent JLL and act as the single-point-of-contact (SPOC) during client-related internal or external audits.</li><li>Support the EMEA and global internal audit programs, as well as the Global ISO 9001 certification audits.</li><li>Perform account quality reviews and report on critical/key quality-related performance measurements.</li><li>Develop and sustain a quality-first culture and identify/implement quality &amp; compliance improvements.</li><li>Strategically lead staff by providing effective and clearly communicating expectations, accountabilities and providing feedback for continuous improvement.</li><li>Mentor, develop, and train account team members on quality and compliance matters.</li><li>Collaborate with quality colleagues regionally and globally to share and reapply learnings, successes, and best practices.</li><li>Coordinate and standardise quality practices across the account's EMEA sites to ensure consistency in compliance and performance.</li><li>Support long-term planning initiatives geared toward operational excellence for the account.</li></ul>ACCOUNT/SITE SPECIFIC REQUIREMENTS <ul><li>Travel to various EMEA site locations as required to conduct investigations, on-site quality assessments, audits, training sessions, client meeting, etc.</li></ul>EDUCATION AND EXPERIENCE <ul><li>BSc degree in life science, engineering or equivalent. </li><li>Minimum of three (3) years of experience in quality and/or compliance in engineering, facilities design, and production/facility operations, lab operations or equivalent </li><li>Prior experience working in a GMP life sciences environment (e.g. pharmaceutical, medical devices, biotechnology, food, etc.)</li><li>Experience leading investigations, root cause analysis (RCAs) and CAPAs in a regulated environment.</li></ul>KNOWLEDGE, SKILLS, AND ABILITIES <ul><li>Knowledge and understanding of Quality Management Systems e.g. FDA, EU &amp; WHO GMP, ISO 9001, ISO 13485, etc.</li><li>Ability to communicate effectively in oral and written reports.</li><li>Good customer service skills</li><li>Must be self-motivated, detail oriented comfortable working in a dynamic team environment with minimal supervision.</li><li>Demonstrated ability to lead, influence without authority and partner with people across multiple business areas.</li><li>Capable of writing detailed technical reports.</li><li>Ability to multi-task and respond within deadlines.</li><li>Proficient in Word, Excel and other Microsoft Office Suite programs.</li></ul>Location: On-site -Eindhoven, NLD If this job description resonates with you, we encourage you to apply even if you don't meet all of the requirements. We're interested in getting to know you and what you bring to the table! JLL Privacy Notice Jones Lang LaSalle (JLL), together with its subsidiaries and affiliates, is a leading global provider of real estate and investment management services. We take our responsibility to protect the personal information provided to us seriously. Generally the personal information we collect from you are for the purposes of processing in connection with JLL's recruitment process. We endeavour to keep your personal information secure with appropriate level of security and keep for as long as we need it for legitimate business or legal reasons. We will then delete it safely and securely. For more information about how JLL processes your personal data, please view our Candidate Privacy Statement. For additional details please see our career site pages for each country. For candidates in the United States, please see a full copy of our Equal Employment Opportunity and Affirmative Action policy here. Jones Lang LaSalle ("JLL") is an Equal Opportunity Employer and is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process - including the online application and/or overall selection process - you may contact us at Accommodation Requests. This email is only to request an accommodation. Please direct any other general recruiting inquiries to our Contact Us page &gt; I want to work for JLL.

Quality and Compliance Manager

The University of West London (UWL) is ranked the best modern* university (non-specialist) in London in the Complete University Guide 2025. We are ranked 30th university in the UK in The Guardian University Guide 2025, Number 1 London university for overall student satisfaction in the National Student Survey 2024 and Best university for Student Experience and Teaching Quality in the UK in The Times and Sunday Times Good University Guide 2024. The UWL community is a diverse body of students and staff who work together to create an environment of success and achievement. We celebrate the diversity of our staff and promote our values in practice through our commitment to inclusivity, progression, and success. *University status awarded in or after 1992. The UKVI Compliance Team The UKVI Compliance team plays a pivotal role within UWL to ensure the UKVI sponsor license is maintained and fully compliant with student visa sponsorship duties. The Compliance Assistant will be part of a small team ensuring that the university remains compliant in all aspects of its student visa sponsorship duties as set by the Home Office. The Compliance Team does not work alone and liaises with other university wide departments The Role The postholder is required to support the UKVI Compliance Manager to ensure the University remains complaint under the UKVI sponsorship license duties. Work collaboratively and liaise with colleagues across the University departments and undertake the various activities required as part of the UKVI procedures and processes. Liaise regularly with students and maintain up to date records of all student visa holders and home students subject to immigration control. Ensure accurate student records and documentation is kept, maintained and up to date, ready for audit purposes in line with UKVI requirements. The Person As well as excellent IT skills, the post holder will have proven experience of recording, analysing and reporting data, using different data systems. A methodical approach, ability to balance conflicting workloads and attention to detail is essential. They should have good oral and written communication skills and the ability to proactively deal with staff and students across the organisation. Experience of compliance or working with students will be an advantage. Experience of providing excellent customer service in person, by telephone and via email, ensuring an excellent student experience is offered and maintained. How to Apply To apply click on 'Apply Online' and fill out the application form. Further information about the application process can be found here: <a href="https://jobs.uwl.ac.uk/display.aspx?id=1253&amp;pid=0" target="_blank">https://jobs.uwl.ac.uk/display.aspx?id=1253&amp;pid=0</a> Please email <a href="mailto:hr.recruitment@uwl.ac.uk" target="_blank">hr.recruitment@uwl.ac.uk</a> if you need any assistance with the application process. Interviews are expected to be held in the week commencing 28th April 2025. Additional Information Read more about working at the University of West London at <a href="https://www.uwl.ac.uk/about-us/how-university-works/why-work-uwl" target="_blank">https://www.uwl.ac.uk/about-us/how-university-works/why-work-uwl</a> Our department/school is under-represented in terms of staff from BAME (Black, Asian and minority ethnic) backgrounds, of LGBT+ identities, and with disabilities. UWL is committed to having a diverse and inclusive workforce, supports the gender equality Athena SWAN Charter, and is a Disability Confident Employer. We welcome applications from all sections of the community, particularly those mentioned above to increase diversity in our workforce. Candidates must be able to demonstrate their eligibility to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006. Please be advised that it is expected that appointment within a grade will normally be at the minimum point. Previous applicants for this post need not apply again. This position does NOT meet the University criteria for Skilled Worker sponsorship. The University of West London reserves the right to close the role prior to this date should a suitable applicant be found.

UKVI Compliance Assistant

VP - Compliance Manager - Monitoring, Testing &amp; Assurance | S3 | SCIB Country: United Kingdom Interested in part-time, job-share or flexible working? We want to talk to you! Join our community. Santander Corporate &amp; Investment Banking (SCIB) is Santander's global division that supports some of the world's most complex and sophisticated corporate and institutional clients, offering customised services and value-added wholesale products to best meet their needs. This role sits within our Regulatory Compliance team, part of a global function that delivers Compliance Monitoring, Controls Testing, and Assurance (MT&amp;A). Global MT&amp;A conducts independent, risk-based reviews to assess the design and effectiveness of the controls. You'll help protect the firm, by assessing the regulatory and financial crime risks through structured reviews, thematic testing, and deep dives across key business processes and controls. You'll be leading and delivering risk-based reviews. We operate globally, covering Europe, APAC, the US, and Latin America. You'll collaborate with colleagues in other jurisdictions, with influence and impact across SCIB. This is a hands-on role, suited for someone who can plan and execute reviews, build and foster relationship with stakeholders, and contribute to improving the control environment across various business lines. The difference you'll make. <ul><li>Planning and delivering complex reviews end-to-end, covering conduct, market abuse, conflicts, and regulatory compliance themes</li><li>Designing effective testing strategies based on risk assessments and regulatory expectations</li><li>Leading scoping, fieldwork, stakeholder interviews, and reporting</li><li>Assessing the design adequacy and operating effectiveness of controls</li><li>Identifying and document issues clearly and concisely, with practical and risk-based recommendations</li><li>Tracking actions and follow up on remediation</li></ul>What you'll bring. These are the essential requirements you need to be successful in this role: <ul><li>Experience in either Internal Audit, Assurance, or Compliance Controls Testing</li><li>Knowledge of Corporate and Investment Banking products and services</li><li>Attention to detail and excellent verbal and written communication</li></ul>It would also be nice for you to have. <ul><li>Excellent knowledge of key regulations, such as EMIR, MiFID II, MAR, Dodd-Frank, Volcker</li><li>Relevant Professional qualification, such as CISI, CFA, ACAMS, ACCA or equivalent</li><li>Spanish language would be beneficial but is not essential</li><li>Knowledge of Data Analytics and data interrogation techniques</li></ul>What else you need to know: This role is based at our offices in Triton Square, London located within easy walking distance from Warren Street and Euston. We want our people to thrive at work and home, and also be able to deliver the best outcomes for our customers and to help each other develop. To support this, we offer site-based contracts with a hybrid working pattern and our expected level of attendance in an office is at least 3 days a week (pro-rata for part-time roles). If you apply for this role in this location, it's important you consider your travelling distance, time and cost from your home to the office location. We're happy to discuss specific working patterns and arrangement within this hybrid approach during the recruitment process. If you're interested in this role but with part time hours or a job-share we would still love to hear from you and discuss these. Inclusion At Santander we're creating a thriving workplace where all colleagues feel they belong and are supported to succeed. We all help to make Santander a workplace that celebrates diversity and attracts, retains and develops the most talented and committed people through living our values of Simple, Personal, and Fair. How we'll reward you. As well as a salary, we offer a wide range of benefits that you can choose from and tailor to your needs. <ul><li>Eligible for a discretionary performance-related annual bonus.</li><li>We put 8% of salary into your pension, even if you don't contribute yourself. We'll pay in up to 12.5% of salary, if you contribute as well, and you can take some of our contribution in cash if you prefer.</li><li>30 days' holiday plus bank holidays, which increases to 31 days after 5yrs service, with the option to purchase up to 5 contractual days per year.</li><li>Free access to a range of digital health services, including GP.</li><li>Protection for you and your family, with company-funded death-in-service benefit and income protection insurance, and the option to take advantage of discounted rates for additional life assurance and critical illness cover.</li><li>24/7 access to an online employee discount platform including retailers, entertainment, eating out, travel and more.</li><li>Company funded individual private medical insurance.</li><li>Voluntary healthcare benefits at discounted rates such as, dental insurance, and health assessments.</li><li>Share in Santander's success by saving or investing in our share plans.</li><li>Support your favourite causes through charitable giving and our community partnerships.</li><li>As a Santander UK employee, you are able to request staff versions of our products like our Edge Current Accounts and Credit Cards with no fees, as well as apply to many other deals and discounts in Santander products and services.</li></ul>Learn more about our benefits and family friendly policies What to do next:- If this sounds like a role you're interested in, then please apply. If there's anything we can do in the recruitment process to help you achieve your best, get in touch. Whether it's a copy of our application form in another format or additional assistance, we're available through telephone, email, or face to face. You can contact us at <a href="mailto:resourcing@santander.co.uk" target="_blank">resourcing@santander.co.uk</a> or call 0870 414 9080.

VP - Compliance Manager - Monitoring, Testing & Assurance | S3 | SCIB

Where you'll fit in &amp; what our team goals are... In your role you will perform Compliance monitoring reviews covering a variety of regulatory topics across all business areas (e.g. investment teams, operational functions, sales and marketing, product development etc). How you'll spend your time... <ul><li>Perform a variety of Compliance Monitoring activities, covering the Columbia Threadneedle EMEA, APAC and NA regions. Activities include deep dive reviews (typically 3m projects) and periodic assurance testing, based on regulatory topics such as financial promotions, best execution, fund operation and accounting, conflicts of interest and similar.</li><li>Collaborate with and provide support to team members in other global locations (UK, US, Europe, India) - monitoring work, knowledge sharing and other.</li><li>Assisting with ad-hoc Compliance tasks and project work as required.</li></ul>To be successful in this role you will have... <ul><li>Advanced communication skills (critical) - ability to work collaboratively and coordinate across multiple departments and teams, to influence and persuade</li><li>Experience of conducting Compliance monitoring, audit or similar assurance work in the financial services industry</li><li>Familiarity with UK/EU regulatory regimes</li><li>Excellent technical and organisational skills, including the ability to comprehend and query a variety of complex information</li><li>Ability to work within established deadlines, manage a number of responsibilities simultaneously, and prioritise tasks effectively</li></ul>If you also had this, it would be great... <ul><li>Experience with MS PowerApps and PowerBI</li><li>Previous experience working in an Asset Management firm</li><li>Knowledge of key UK and EU regulated fund structures (UCITS and AIFs)</li><li>Previous experience working as part of a global team</li></ul>About Columbia Threadneedle Investments Working at Columbia Threadneedle Investments you'll find growth and career opportunities across all of our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,500 people working together. Our expertise is diverse with more than 650 investment professionals sharing global perspectives across all major asset classes and markets. Our clients have access to a broad array of investment strategies, and we have the capability to create bespoke solutions matched to clients' specific requirements. Columbia Threadneedle is a people business and we recognise that our success is due to our talented people, who bring diversity of thought, complementary skills and capabilities. We are committed to providing an inclusive workplace that supports the diversity of our employees and reflects our broader communities and client-base. We appreciate that work-life balance is an important factor for many when considering their next move so please discuss any flexible working requirements directly with your recruiter. Full-Time/Part-Time Full time Worker Sub Type Permanent Job Family Group Legal Affairs

Compliance Monitoring Officer

About Griffin Hi, we're Griffin! We're the bank for companies who want to build and launch financial products. Our context We're rapidly heading towards a future where most of us access financial services through technology companies rather than high street banks. All sorts of companies are now embedding financial products into their apps and user journeys so that their customers can seamlessly make payments, manage expenses, take out loans, save, invest, and do more. The problem is that companies are still dependent on legacy banking infrastructure if they want to offer regulated financial products. They need to either partner directly with an (slow-moving, risk-averse) incumbent bank and/or stitch together middleware from various Banking as a Service (BaaS) providers. This process is slow, expensive, and complex and makes it very hard for companies to get new financial products off the ground. At Griffin, we want to change this. Our purpose We want to make it easy for companies to bring finance to their customers at the point of greatest relevance. So, we built a bank. But not just any bank! Griffin is a technology platform and a bank: fully regulated, API-first, developer-centric, and purpose-built to serve innovative fintechs and brands who want to build and embed financial products. Learn more about what we do. Our culture Our culture is our most important asset, and one of the ways we safeguard it is by being extremely intentional about hiring the right people. We won't hire people who don't seem like a strong fit for our core values, even if they're otherwise extremely qualified. We also believe that smart, motivated, conscientious people thrive in high-trust, high-autonomy environments. That's why we're transparent by default, and we encourage open discussion and challenge across all levels of the organisation. We're also remote-first, asynchronous, and fully flexible - because you're the expert on how and when you do your best work. Learn more about our culture. The Risk and Compliance team Since we launched, we have been working to build a second line that is a highly respected and integrated part of the business and somewhere our colleagues go to for expert and pragmatic advice, while remaining independent from the first line. Our aim is no less than to be the best in class. We are not putting patches on legacy frameworks, we're laying the foundations of the future of global financial infrastructure. Who are you? The ideal candidate for this job will have most of the following: Experience <ul><li>Knowledge of the UK's financial services regulatory framework.</li><li>Experience of working for or closely with a regulatory body (FCA, PRA, Bank of England, FSA, HMT or Financial Ombudsman).</li><li>Experience in working within financial services in the UK (ideally within the EMI/PI, fintech and/or a challenger bank spaces), or in a fintech, or in a professional services firm.</li><li>Experience in implementing and overseeing Consumer Duty and most of the following regulatory areas: conduct, payments, data protection, SM&amp;CR, product governance.</li><li>Experience in either operational risk and assurance is highly desirable.</li></ul>Qualities <ul><li>Pragmatic and collaborative mindset, with an interest in working closely with all other parts of the business to embed a strong three lines of defence model.</li><li>We are a new bank so it is imperative that you are comfortable in going outside your comfort zone. This means that you may be asked to do other second line related activities as required.</li><li>We're hybrid-remote, and most of your colleagues will not share an office with you on a day-to-day basis. This means you should also have:</li><li>Comfort with solo execution and managing people remotely - we're a small team so you'll need to be happy rolling up your sleeves and help more junior colleagues to succeed.</li><li>A high degree of comfort adopting new software tools for document drafting, collaboration and communication.</li><li>You love writing - we have a lot of documents to draft and we place a high degree of importance on clarity and readability (read more about how we write).</li></ul>What will you be doing here? As Compliance Manager, you will: <ul><li>Act as subject matter expert, providing independent guidance to the first line and oversight of conduct risk, regulatory compliance and product.</li><li>Carry out second line assurance reviews.</li><li>Support SMCR processes.</li><li>Monitor conflict of interest, gifts and hospitality and other compliance activities.</li><li>Identify new laws and regulations applicable to the bank.</li><li>Writing ToRs, risk management policies and standards, and other governance documents to to be implemented by the first line.</li><li>Prepare and improve MI packs to various committees.</li><li>Oversee the embedding of Consumer Duty across the business.</li></ul>What can we offer you? We are an early stage startup and we're working hard to expand our benefits package. We're planning to add to this list in the future. <ul><li>25 days off a year (pro rata) + bank holidays and winter break closure</li><li>Flexible, remote-friendly working - including supporting home office setup</li><li>Auto-enrolment into company pension scheme</li><li>Coaching and therapy via our wellbeing partnership with Oliva</li><li>Access to a global network of co-working spaces via Desana</li></ul>This role will have an annual salary of £65,000 - £80,000 (pro rata), depending on experience. How do I apply? Are we your next move? Apply via the link below, if there's a match our Talent team will reach out to schedule an initial conversation and talk you through our what happens next. We're remote-first We have a small London office in Moorgate, but we are comfortable hiring people to work from anywhere in the UK. About a third of the company is based within occasional commuting distance of London, the rest are full-time remote. Under representation Our goal is for Griffin to proportionally represent the diversity of the working population in society. We're working to ensure that Griffin is a supportive, empowering and inclusive environment for every member of our team - whatever your combination of race, ethnicity, gender, age, sexual orientation, physical ability, nationality, neurodiversity, and religious beliefs. If you're part of a group that is under-represented in fintech, we'd love to hear from you

Compliance Manager (6 month FTC)

We're a national law firm with a local reach. Our philosophy is 'we're legal and financial experts that care' - something you'll find in the way we work with our clients and how we support our teams. But we're more than just a law firm - we're a team of people working together to help individuals and businesses navigate life's ups and downs. Working here you'll feel a part of our friendly and inclusive environment. We'll value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things and make a real difference to our clients and communities. We're always looking to support our colleagues to work in a way that works best for them and everyone else, including our clients, the business and the regulators. Please speak to a member of our Recruitment and Onboarding team for more information. Your Role and What You'll Be Doing In this high-visibility role, you will work closely with partners and decision makers across the firm to ensure compliance with internal policies, procedures, and regulatory requirements, having exposure to legal files across all areas of the firm. Responsibilities: <ul> <li>Conduct compliance assurance reviews based on firm policies and procedures.</li> <li>Evaluate case files for compliance with regulations and controls.</li> <li>Prepare and lead compliance assurance meetings with senior managers.</li> <li>Create detailed reports summarizing outcomes and recommendations.</li> <li>Address process and file conduct failures, escalating as needed.</li> <li>Collaborate with internal and external stakeholders.</li> <li>Support process and control improvements.</li> <li>Assist with external audits.</li> </ul>About You <ul> <li>1+ years of practical experience in a legal or professional services firm, including work placement or sandwich year.</li> <li>Strong report writing skills and attention to detail.</li> <li>Ability to work with colleagues at all levels.</li> <li>Internal audit or compliance qualifications desirable.</li> </ul>If you're passionate about maintaining compliance standards and contributing to our success, we encourage you to apply! Our Benefits - What We Can Offer You <ul> <li>25 days holidays as standard plus bank holidays - You can 'buy' up to 35hrs of extra holiday too.</li> <li>Generous and flexible pension schemes.</li> <li>Volunteering days - Two days of volunteering every year for a cause of your choice (fully paid)</li> <li>Westfield Health membership, offering refunds on medical services alongside our Aviva Digital GP services.</li> </ul>We also offer a wide range of well-being initiatives to encourage positive mental health both in and out of the workplace and to make sure you're fully supported. This includes our Flexible by Choice programme which gives our colleagues more choice over a hybrid way of working subject to role, team and client requirements. We have been ranked in the Best Workplaces for Wellbeing for Large Organisations for 2024! Our responsible business programmes are fundamental to who we are and our purpose. We're committed to being a diverse and inclusive workplace where our colleagues can flourish, and we have established a number of inclusion network groups across our business to support this aim. Our commitment to Social Responsibility, community investment activity and tackling climate change is a fundamental part of who we are. It's made up of four strands: Our People, Our Community, Our Environment and Our Pro Bono. Additional Information As part of the Irwin Mitchell Group's on-boarding process all successful applicants are required to complete the group's employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, colleagues, clients, partners and other stakeholders. We carry out pre employment screening to establish your eligibility to work in the UK, criminal record and financial checks with our trusted 3rd parties. The employment screening process will fully comply with Data Protection and other applicable laws. Irwin Mitchell LLP is an equal opportunity employer.

Compliance Analyst - UK Wide (5286)

About PIC Pension Insurance Corporation ("PIC") provides secure retirement incomes through comprehensive risk management and excellence in asset and liability management, as well as exceptional customer service. Our purpose is to pay the pensions of our current and future policyholders. We achieve our purpose by setting Companywide strategic objectives and driving a healthy culture based on our PIC Values of Resilient, Adaptable, and Loyal. Role purpose Role purpose <ul> <li>The role requires the ability to effectively collaborate with your business areas of responsibility to secure theirbuy-in and implement improvements to systems, processes, and technology, as appropriate.</li> <li>To apply knowledge and insights concerning the Internal Audit function and how this impacts ourpolicyholders.</li> <li>To deliver strong business outcomes relating to capital, profitability, the Company brand and marketreputation whilst achieving positive outcomes to our Board Committees on a consistent basis.</li> <li>Our Company values are expected to be reflected in the delivery and performance of every role</li> </ul>Specific accountabilities assigned to the role of Internal Audit Manager within the Internal Audit function: <ul> <li>Responsible for the delivery of internal audits, including developing the internal audit scope, carrying out test plan, drafting audit reports, and documenting the audit work consistently with the IIA standards and the PIC IA audit manual. Some reviews will be undertaken individually, and some will be delivered alongside one or more internal audit team members.</li> <li>Carry out regular issue assurance to ensure adequate closure of actions.</li> <li>Demonstrate good practice and standards of internal audit, and, where relevant, make recommendations for improvement, helping design new templates and contributing to the development of the PIC IA manual.</li> <li>Contribute to the preparation of internal audit status update reports and integrated assurance reports to management and Board committees.</li> <li>Contribute to the production of the annual written assessment of the adequacy and effectiveness of PIC's risk management, internal control and governance processes and systems.</li> <li>Develop a partnership and trust relationship with designated business areas to propose relevant and proportionate actions to address issues identified.</li> <li>Takes ownership of defined projects and initiatives (in Internal Audit or in the business), agreeing scope and objectives, undertaking work, producing reports, presenting reports and measuring outcomes. This will be as part of developing broader experience and capability across PIC.</li> </ul>Requirements Knowledge <ul> <li>Familiar with regular committee and integrated assurance reports, in order to support the production.</li> <li>Understand the attestations process and annual written assessment of the adequacy and effectiveness of PIC's risk management.</li> </ul>Skills <ul> <li>Skilled in Internal Audit planning, fieldwork, and drafting findings.</li> <li>Structured, organised approach and ability to plan work.</li> <li>Strong communication skills, both in report writing and verbal.</li> <li>Ability to work effectively as part of a team whilst being an ambassador of PIC Internal Audit.</li> <li>Skilled in working collaboratively to deliver a "no surprises" audit approach.</li> <li>Experience of delivering of audits in the internal audit plan</li> </ul>Experience <ul> <li>Experience of internal control and governance processes and systems.</li> <li>Willingness to learn, understanding the business and internal audit.</li> <li>Capable and willing to work towards passing apprentice scheme or relevant qualifications, including further studying in business, finance or audit, in order to develop internal audit skills.</li> </ul>Benefits In addition to a competitive base salary and the opportunity to participate in our annual, performance-related bonus plan, upon joining us here at Pension Insurance Corporation, you will get access to some great benefits, including private medical insurance, 28 days' annual leave (excluding bank holidays), a generous pension scheme and much more.

Internal Audit Manager

BUSINESS FUNCTION: Customer &amp; Commercial SALARY: £50,211 to £62,193 per annum / ML2:SB1 ROLE TYPE: Hybrid LOCATION: Leeds/York HOURS: 37 per week Join us as the AMS Compliance Manager, where you will shape Northern's strategy for managing 469 stations through an innovative, data-driven approach. In this role, you'll develop an Asset Information Framework, transforming station operations from reactive to proactive. Collaborating with key teams and stakeholders, you will drive compliance, enhance maintenance planning, and deliver actionable insights that support strategic decisions. You will lead initiatives that leverage advanced BI tools like Tableau to create user-focused dashboards, set clear performance indicators, and champion data quality. If you're passionate about optimising operations and making a measurable impact through intelligent data management, we'd love to hear from you. What You'll Be Doing <ul> <li> Develop and implement a robust Asset Information Framework aligned with ISO:55001 and corporate objectives </li> <li>Define and manage the complete data life cycle to eliminate siloed information and ensure data integrity</li> <li>Establish performance monitoring and compliance processes, overseeing internal/external audits</li> <li>Collaborate with the Property Team and Senior Managers to design evidence-based maintenance and upgrade strategies</li> <li>Create and track key performance indicators, supporting financial planning and cost-saving measures</li> <li>Leverage BI tools to build real-time dashboards and deliver data-driven insights for operational improvements</li> <li>Lead stakeholder communications and performance review sessions, acting as the main property contact for regulatory and government bodies</li> <li>Foster a culture of data quality and continuous improvement across the Property function</li> </ul>About You <ul> <li> Experience: Proven background in data analytics and BI (Tableau, Snowflake, Excel) with a focus on asset, property, or facilities management, ideally in a multi-site or rail industry setting. Demonstrated success in developing data-driven strategies that drive operational improvements and cost savings. </li> <li>Knowledge: Deep understanding of data management principles, ISO 55001, and maintenance standards (e.g., SFG20). Familiarity with emerging trends in data analytics, machine learning, and AI as they apply to complex operational environments.</li> <li>Qualifications &amp; Skills: Advanced qualification or equivalent experience in data analytics with professional certifications desirable. Strong analytical, communication, and leadership skills with the ability to translate complex data into clear, actionable insights. A proactive, innovative thinker with excellent organisational abilities.</li> </ul>If you're ready to take on a challenging role where your data expertise directly influences strategic decisions and operational excellence, apply now to join our forward-thinking team! What's in it for you? At Northern, we don't just value our people - we go the extra mile to support them. Here's a taste of what you can look forward to: <ul> <li>Free Travel: Unlimited free travel for you, your partner, and your dependents on Northern services. Plus 75% discount on other networks in the UK and Europe.</li> <li>Generous Pension Scheme: We top up your contributions by 1.5 times.</li> <li>Enhanced Family Benefits: We offer 9 months of full pay for maternity leave and 2 weeks for paternity leave.</li> <li>Cycle to Work Scheme: Save up to 42% on a bike and spread the cost.</li> <li>Exclusive Discounts: From shopping to wellbeing, Northern Perks has you covered.</li> <li>Holiday Purchase Scheme: Buy up to 5 extra days of annual leave.</li> <li>Employee Assistance Programme: 24/7 support for family, lifestyle, and more.</li> <li>Training and Career Development: We offer tailored training to our colleagues and opportunities to gain recognised qualifications. Plus enhanced career pathways no matter what part of the business you're in.</li> <li>Recognition: We know how important it is to show how much we appreciate our people. That's why we have our Northern Lights and Northern Sparks Awards, recognising and celebrating brilliance every day.</li> </ul>Why Northern? We're more than just a train operator. We're the heartbeat of the North - connecting communities, creating opportunities, and driving sustainable growth. With 2,500 trains running daily, we're on a mission to improve rail travel and enhance the customer experience while protecting the environment. Back in 1825, the first passenger train set off in the North of England, after which rail quickly spread across the globe - and this year, we're celebrating 200 years of the modern railway. As we look back on the historic events that led us here, we also look towards the future as we move into the era of Great British Rail. Join us at this pivotal moment in rail history and play your part in our journey. A place for everyone The best journeys happen when everyone feels welcome on board. At Northern, we don't just move people from A to B - we're building a team where everyone feels they belong. Our talent team can make reasonable adjustments to the process if that's something you need. We're also a Level 2 Disability Confident employer, so if you meet the minimum criteria for the role, we'll always offer an interview. We automate parts of our screening process to remove any unconscious bias and to make sure every application is treated fairly. All successful offers will be subject to a DBS check and medical assessment. No matter your background, experience, or whether you call it a bap, barm, or cob... there's a place for you here in the railway.

AMS Compliance Manager

Job summary A global leading defence business are currently recruiting for a Trade Compliance Manager / Export Compliance Manager based in Buckinghamshire area on a fulltime permanent (hybrid working). Key skills required for this role Trade Compliance, Export Compliance, ITAR/EAR. Important Proven experience within a Trade / Export Compliance related role, ideally Aerospace/Defence or technology related sectors. Job description A global leading defence business are currently recruiting for a Trade Compliance Manager / Export Compliance Manager based in Buckinghamshire area on a fulltime permanent (hybrid working). Role - Trade Compliance Manager / Export Compliance Manager Type - Permanent Location - Buckinghamshire (hybrid working) Salary - Competitive (DOE) + benefits Key responsibilities for Trade Compliance Manager / Export Compliance Manager and will not be limited to: <ul><li>Lead the ITC team to provide licencing, authorisation support, guidance, and training as required for the ongoing prospects of the business, driving accountability and ownership where required within the team and within the Company.</li><li>Lead initiatives related to the development, automation, and continuous improvement of ITC processes and tools impacting all employees.</li><li>Provide guidance and authorisation strategy concerning the requirements, interpretation, and obligations of US export/re-export regulations and the implementation of such requirements.</li><li>Provide people and subject matter leadership within the business and Senior Leadership Team by creating an environment that accelerates development of ITC competency and talent.</li><li>Establish relationships with key internal and external stakeholders, including Inside Sales, Engineering, Commercial, Supply Chain and Projects.</li><li>Responsible for the evaluation of technology, hardware, and software (including classification and interpretation of UKML, Dual-Use, USML, EAR, ITAR) to identify ITC requirements and ensure appropriate authorisations and controls for exports and imports are in place.</li></ul>Key skills and experience required for Trade Compliance Manager / Export Compliance Manager job applicant and will not be limited to: <ul><li>Proven experience within a Trade / Export Compliance related role, Aerospace/Defence sector is preferred</li><li>Highly experienced with US export regulations (ITAR, EAR)</li><li>Leadership and team management skills, ability to motivate, develop, create a culture in which teamwork can flourish, encourage creative ideas and continually raise the bar</li><li>Eligibility to gain UK SC clearance</li></ul>To apply for this Trade Compliance Manager / Export Compliance Manager / International Trade Compliance Manager / International Export Compliance Manager candidates must be eligible to live and work in the UK.

Trade Compliance Manager / Export Compliance Manager - Defence

We pride ourselves on our integrity. We do what's right for our employees, patients, and partners, and so can you. We are currently recruiting for a senior R&amp;D Compliance Officer to join the Process Development (PD) team. The purpose of this role is to ensure the timely reporting of project outcomes (technical reports, data presentations to clients, technical transfer documentation, or Process Characterisation protocols and reports) and to conduct timely investigation into project related excursions. OXB's PD team consists of experienced scientists and engineers that have extensive expertise in all aspects of upstream and downstream development, and analytical testing. PD take processes from the laboratory "bench" scale and apply process expertise and engineering fundamentals for delivery to Manufacturing. Your responsibilities in this role would: <ul> <li>Conduct and co-ordinate data integrity checking of experimental records, technical reports, presentations, and other technical documents,</li></ul><ul> <li>Responsible for PD Data Integrity checking SOP. Author, review and approve departmental process compliance SOPs.</li></ul><ul> <li>Organise and facilitate individual and group training with regard to PD process compliance SOPs.</li></ul><ul> <li>Organise and facilitate investigations and root cause analysis into process deviations and laboratory excursions. SME in Root Causes Analyses and investigations.</li></ul><ul> <li>Identify and implement effective corrective and preventative actions to identified root causes. Track and trend departmental excursions and CAPA.</li></ul><ul> <li>Q-Pulse champion for PD- ensuring change controls, deviations and CAPA are correctly assigned, reviewed, and completed.</li></ul><ul> <li>Conduct regular inspections of the PD laboratories. Trend process excursions and implement mitigation plans to reduce laboratory errors.</li></ul><ul> <li>Lead updates to process documentation to capture new learnings and best practices.</li></ul><ul> <li>Lead and promote process improvement ideas to increase the department's efficiency and compliance.</li></ul><ul> <li>Lead inter-departmental process compliance / technical writing improvement initiatives.</li></ul><ul> <li>Provide mentorship to more junior process compliance officers, technical writers, and scientists. Where applicable, line manage more junior process Compliance officer(s) and / or technical writer(s).</li></ul>We are looking for: <ul> <li>A degree in a science-based subject, and experience of working to GMP standard.</li></ul><ul> <li>Previous experience in the pharmaceutical industry/relevant in an MHRA/FDA regulated environment.</li></ul><ul> <li>Experience with documentation such as SOPs, Deviations, Risk Assessments, Technical Protocols and Reports.</li></ul><ul> <li>Experience of working within a process development laboratory, GMP manufacturing or a GLP environment.</li></ul><ul> <li>Experience in Root Cause Analysis techniques and the ability to amalgamate and interpret complex data in an investigative capacity.</li></ul><ul> <li>Able to support peers, team members and departmental representatives to get to the root cause of an issue using problem-solving tools.</li></ul><ul> <li>Ability to work collaboratively in cross-functional/departmental working groups.</li></ul><ul> <li>Computer literacy with demonstratable experience with MS Office Applications.</li></ul>About Us: OXB is a quality and innovation-led viral vector CDMO with a mission to enable its clients to deliver life changing therapies to patients around the world. One of the original pioneers in cell and gene therapy, we have more than 25 years of experience in viral vectors; the driving force behind the majority of gene therapies. OXB collaborates with some of the world's most innovative pharmaceutical and biotechnology companies, providing viral vector development and manufacturing expertise in lentivirus, adeno-associated virus (AAV) and adenoviral vectors. OXB's world-class capabilities span from early-stage development to commercialisation. These capabilities are supported by robust quality-assurance systems, analytical methods, and depth of regulatory expertise. What's in it for you: <ul> <li>Highly competitive total reward packages</li></ul><ul> <li>Wellbeing programmes</li></ul><ul> <li>Development opportunities</li></ul><ul> <li>Welcoming, friendly, supportive colleagues</li></ul><ul> <li>A diverse and inclusive working environment</li></ul><ul> <li>State of the art laboratory and manufacturing facilities</li></ul>Collaborate. Contribute. Change lives

Senior Process R&D Compliance Officer

Who are we? Howden is a collective - a group of talented and passionate people all around the world. Together, we have pushed the boundaries of insurance. We are united by a shared passion and no-limits mindset, and our strength lies in our ability to collaborate as a powerful international team comprised of 18,000 employees spanning over 100 countries. People join Howden for many different reasons, but they stay for the same one: our culture. It's what sets us apart, and the reason our employees have been turning down headhunters for years. Whatever your priorities - work / life balance, career progression, sustainability, volunteering - you'll find like-minded people driving change at Howden. Are you a seasoned compliance professional with a strong background in financial services? Do you thrive in a structured environment and enjoy working both independently and as part of a team? If so, we want to hear from you! Position Overview: As a Senior Compliance Officer, you will play a pivotal role in ensuring our adherence to regulatory standards and best practices. You will take charge of monitoring tasks outlined in the Department's Compliance Monitoring Plan, conduct thorough file reviews, and produce detailed compliance reports. Your expertise will guide our compliance strategies across various functions, helping to mitigate risk and foster a culture of compliance throughout the organisation. Key Responsibilities: <ul><li>Complete monitoring and operational tasks as per the Compliance Monitoring Plan.</li><li>Conduct file reviews, document outcomes, and provide constructive feedback to Advisers and support staff.</li><li>Produce compliance reports and manage the complaints handling process from investigation to conclusion, including Root Cause Analysis.</li><li>Analyse management information and address ad hoc KYC/CDD queries, including sanction matches.</li><li>Conduct suspicious activity investigations and manage NCA reporting.</li><li>Evaluate jurisdiction risk and compile the annual Country Risk Assessment.</li><li>Complete the Company-wide Financial Crime Risk Assessment and submit FCA returns on Connect and RegData.</li><li>Conduct FIT &amp; Proper Checks and update the FCA Directory and SMCR tasks.</li><li>Assist with Data Protection activities and maintain the processing register.</li><li>Approve standard documents and financial promotions, and support the Product Governance Regime.</li><li>Engage in horizon scanning and assist with regulatory change management.</li><li>Support the Compliance &amp; Operations Director in updating departmental policies, internal audits, and training initiatives.</li></ul>Qualifications and Skills Requirements: Essential: <ul><li>Adequate knowledge of FCA regulations, including Consumer Duty and Product Governance, as well as Financial Crime regulations.</li><li>Proven experience in financial services, specifically in mortgages and protection sectors.</li><li>Excellent interpersonal and communication skills, able to present effectively to varied audiences.</li><li>Outstanding analytical skills and attention to detail, with a capability to work in a structured manner.</li><li>Proficient in writing reports and performing gap analysis.</li><li>A collaborative team player who contributes enthusiasm and innovative ideas, while also being capable of working independently.</li><li>Experience in supervising, training, and coaching team members.</li><li>Proficient IT skills relevant to the role.</li><li>Relevant qualifications for involved business areas, e.g., CeMAP (or equivalent), RO5, QCF Level 4 in Wealth Management.</li></ul>Desirable: <ul><li>Knowledge of Data Protection Legislation.</li><li>Understanding of consumer credit, business finance, and general insurance.</li><li>Familiarity with wealth management products, including pensions and investments.</li></ul>What do we offer in return? A career that you define. At Howden, we value diversity - there is no one Howden type. Instead, we're looking for individuals who share the same values as us: <ul><li>Our successes have all come from someone brave enough to try something new</li><li>We support each other in the small everyday moments and the bigger challenges</li><li>We are determined to make a positive difference at work and beyond</li></ul>Reasonable adjustments We're committed to providing reasonable accommodations at Howden to ensure that our positions align well with your needs. Besides the usual adjustments such as software, IT, and office setups, we can also accommodate other changes such as flexible hours* or hybrid working*. If you're excited by this role but have some doubts about whether it's the right fit for you, send us your application - if your profile fits the role's criteria, we will be in touch to assist in helping to get you set up with any reasonable adjustments you may require. *Not all positions can accommodate changes to working hours or locations. Reach out to your Recruitment Partner if you want to know more. Permanent

Senior Compliance Officer

Shape the Future with the National Wealth Fund At the National Wealth Fund, our mission is to swiftly and effectively mobilise trusted sector insights and investment expertise to unlock billions in private finance for projects across the United Kingdom. Providing £27.8bn of capital and an expanded mandate, we are ready to help the market invest with confidence, continue to drive forward the Government's growth ambitions. We are looking for skilled and results oriented individuals who are motivated to help us build the National Wealth Fund into an industry-leading institution. Job Purpose The primary purpose of the Risk &amp; Compliance function at the National Wealth Fund (NWF) is to embed an effective risk management framework which enables the risks to the Fund's objectives to be managed in an agile and effective way. The team fosters a risk-aware culture across the Fund and provide the necessary assurance that key risks are managed within the appetite set by the Board. This role is for an Operational Risk Manager in the Risk &amp; Compliance function, reporting to a Senior Operational Risk Manager. The role holder will be responsible for the delivery of risk and control advisory and assurance activities by partnering with key stakeholders to ensure the identification and management of risks is in line with the Fund's risk appetite and risk management framework. Location: Hybrid working with a minimum of 3 days per week in the Leeds office. Salary: £70,000 - £80,000 per annum Please note, applications will close on Tuesday 22nd April 2025. Core responsibilities <ul><li>Provide risk management oversight, guidance, support and challenge to risk and control owners to drive effective risk management.</li><li>Contribute to the development and implementation of a robust Fund-wide risk management framework, including, supporting the development of risk policies, standards, and procedures to ensure the Fund operates within its risk appetite.</li><li>Establish and maintain strong partnering arrangements with key functions in the organisation.</li><li>Conduct risk reviews, control testing, and ensure that all actions are implemented.</li><li>Contribute to the Fund's risk management reporting, including the drafting of papers, for Risk Committee and Audit and Risk Committee</li><li>Contribute to the development, implementation, testing and monitoring of the Fund's risk and control framework, including external factors, limits and early warning indicators, to ensure the Fund remains within risk appetite.</li><li>Contribute to the design and delivery of risk management training across the Fund, working with the Learning &amp; Development team, to enhance the Fund's risk in managing risk.</li><li>Embed and maintain the incident management process including reporting to ensure timely reporting of the significant risks and management information to inform decision-making.</li><li>Coach wider team in how to embed risk management good practices and controls into their day-to-day processes, contributing to the development of the risk culture of the Fund.</li><li>Support the development of the risk system and ensuring its integrity.</li><li>Oversee and mentor your direct report(s), if any, ensuring effective performance management and professional development.</li></ul>Knowledge, Skill and Experience requirements Experience <ul><li>Significant experience of managing operational risk in a financial services environment</li><li>Demonstrable experience of contributing to the design, development and implementation of risk management frameworks,</li><li>Exposure to working with senior management.</li><li>Experience of public sector regulation or working within government would be an advantage but not essential.</li></ul>Knowledge <ul><li>Educated to degree level</li><li>Strong knowledge and expertise of operational risk in financial services</li><li>Knowledge of risk registers; assurance maps; controls testing; building risk management frameworks, incident management and execution with first line of defence.</li><li>Knowledge of impact/ESRG frameworks would be an advantage.</li></ul>Skills <ul><li>Strong analytical skills combined with the ability to communicate complex information in a simplified manner.</li><li>Possess strong presentation skills; demonstrate ability to present to committees and senior management.</li><li>Pragmatic and comfortable working with ambiguity</li><li>Excellent communication, listening, and writing skills.</li><li>Strong attention to detail and well-organised; ability to prioritise, multi-task and work well under pressure.</li><li>Ability to interpret a company's strategy and vision and implement through risk management activities.</li><li>Able to challenge internal clients thinking and influence.</li><li>Self-motivated and works well independently; capable of taking initiative without prompting.</li><li>Strong problem-solving techniques, including the ability to identify, research and resolve unfamiliar issues and ability to clearly communicate issues to key stakeholders.</li><li>Conflict resolution and escalate where necessary.</li></ul>A career with us offers a unique opportunity to make a lasting impact and work on cutting-edge technologies that will drive the UK's future. We value diversity in our people and inclusion is at the heart of what we do. We offer competitive benefits and unique learning opportunities from combining both private and public sector skills and experience. Please note, referencing and background checks are carried out for all roles here at the National Wealth Fund.

Operational Risk Manager

Job Description Job Purpose The Enterprise Risk Manager is part of the Risk Oversight Department within the second line of defence with specific responsibilities within ICE Clear Europe (ICEU). The candidate will be a key part of the team executing ICEU's risk framework, covering all the risks faced by the clearing house, working closely with all business lines and providing analysis and information directly to the senior management team and Board. The responsibilities include oversight of the operational risk activities, namely: conducting risk and control assessments (RCSAs), deep-dives, and review and assessment of material operational incidents The second line of defence risk function provides the framework for identifying, assessing and ensuring appropriate transparency across the Enterprise Risk Register. Responsibilities <ul><li>Risk identification, management, monitoring, reporting:<ul><li>Assist in the management of ICEU's risk appetite framework, or specific aspects of it, including setting of risk appetite statements and limits in relation to Operational Risks.</li><li>Identify risk on an ongoing basis, including providing views on new risks.</li><li>Assist 1LOD in completing risk register assessments, inclusive of review and challenge.</li><li>Assist 1LOD in maintaining the control inventory, inclusive of review, challenge and independent monitoring.</li><li>Review and challenge the first line functions in their incident investigations.</li><li>Provide input to relevant policies and procedures, including challenge to the policies of the first line functions relating to risk</li><li>Provide any ad hoc support or assistance to other roles across the Risk Oversight Department as deemed necessary by managers</li></ul></li><li>Risk measurement methodologies, analytics and models:<ul><li>Perform any necessary qualitative or quantitative assessment of risk as challenge to the regular risk measurement and assessment responsibility of the first line functions.</li><li>Identify, develop and implement new risk metrics and risk reporting.</li><li>Support the provision of regular review and challenge to first line risk management, escalating any major risks and concerns in a timely manner.</li></ul></li><li>Risk reporting and communications:<ul><li>Maintain industry awareness, best practice insight and regulatory knowledge with regards to operational risk management.</li><li>Oversee production of daily and periodic risk reports/dashboards to Executive Management and Board Committees pertaining to Operational Risks.</li></ul></li></ul>Knowledge and Experience <ul><li>Bachelor's, master's or other advanced degree in technology or finance or related discipline</li><li>Experience in financial services risk management or another assurance or analytical role</li><li>Broad understanding of all risk types, with specific experience of operational risk or enterprise risk frameworks valuable</li><li>Knowledge of the financial markets, financial market infrastructure and regulatory environment</li><li>Confidence and ability to question / provide challenge to members of the first line risk function if required</li><li>Maturity and self-awareness, ability to listen actively, to build strong relationships and influence at all levels and to create a demand for your expertise</li><li>Credibility and communication skills to deal with senior management and business heads</li><li>Strong commercial awareness</li><li>Experience in a Clearing House or the Clearing business is preferred, but not essential</li></ul>

Enterprise Risk Manager

Job Description The job holder will be a member of the UK Compliance, Regulatory, Corporate Governance/Co-Sec team in London and will provide support on all relevant Company Secretarial and Compliance matters. The job holder will also assist, where appropriate, with other related compliance and company secretarial matters relating to other entities of the SCOR Group as may be required from time to time. Responsibilities Company Secretary <ul> <li>Provide assistance with the preparation of Board and Committee meeting information and packs;</li> <li>Responsible for scheduling (and re-scheduling) Board and Committee meetings;</li> <li>Assist with reviewing governance arrangements;</li> <li>Assist with annual and adhoc reporting to Companies House;</li> <li>Attend meetings and prepare minutes, as required; and</li> <li>Assist with maintaining SCOR internal / external databases for maintaining updated company information.</li></ul>Compliance <ul> <li>Assist in the administration of complaints including maintaining complaints records, complaint reporting to Lloyd's / the Financial Ombudsman Service and preparation of complaint files to send to Lloyd's / FOS;</li> <li>Provide support with regulatory reporting, including maintaining the business timetable and advising the business of upcoming deadlines;</li> <li>Provide support in the maintenance and upkeep of various compliance logs, including sanctions, complaints and licences;</li> <li>Assist with the end to end TOBA process in line with agreed procedures including liaison with other Teams and the issuance of TOBA's etc; </li> <li>Perform sanctions and KYC due diligence checks as required; and</li> <li>General assistance in the drafting and updating of policies, procedures and guidelines.</li></ul>Other <ul> <li>Assist with general administrative duties for both Co Sec and Compliance tasks, including for other entities of the SCOR Group as may be requested from time to time;</li> <li>Provide assistance with ad-hoc Co Sec and compliance projects.</li></ul>Reporting The Company Sectretary &amp; Compliance Assistant works in close cooperation with and under the supervision of the Assistant Company Secretary (technical reporting line with regard to Company Secretarial matters) and reports to the Head of Compliance, Regulatory and Corporate Goverance UK (hierarchical and managerial reporting line). Qualifications Experience <ul> <li>Ideally a few years of company secretarial and/or compliance experience;</li> <li>Some knowledge of insurance, ideally in a London Market environment; </li> <li>Experience of taking and typing up of minutes;</li> <li>Experience of company secretarial duties, including preparation of meeting packs.</li></ul>Personal Competences <ul> <li>Ability to multi-task and self-organise;</li> <li>Strong analytical and problem solving approach; </li> <li>Clear communicator (verbal and written) with the ability to explain complex issues clearly to a variety of audiences at all levels;</li> <li>Team player, committed to further learning;</li> <li>Positive, approachable and able to build good relationships;</li> <li>Able to demonstrate a keen interest in company secretarial and compliance matters</li> <li>Curiosity - Appetite for learning and developing themself in their field.</li> <li>Resilience - Ability to work under pressure and to manage conflicts.</li> <li>Flexibility - Ability to quickly adapt to changes and new developments.</li></ul>Digital Competencies <ul> <li>Proficient with MS Office applications (Outlook, Word, Excel, PowerPoint).</li> <li>Willingness and ability to adopt or be involved in the development and implementation of new IT tools.</li></ul>Managerial competencies <ul> <li>N/A</li></ul>Required Education Essential <ul> <li>N/A</li></ul>Desirable <ul> <li>Progression toward a Company Secretarial qualification.</li></ul>About Us As a leading global reinsurer, SCOR offers its clients a diversified and innovative range of reinsurance and insurance solutions and services to control and manage risk. Applying "The Art &amp; Science of Risk," SCOR uses its industry-recognized expertise and cutting-edge financial solutions to serve its clients and contribute to the welfare and resilience of society in around 160 countries worldwide. Working at SCOR means engaging with some of the best minds in the industry - actuaries, data scientists, underwriters, risk modelers, engineers, and many others - as we work together to find solutions to pressing challenges facing societies. As an international company, our common culture is defined by "The SCOR Way." Serving both to build momentum that drives the Group forward and as a compass to guide our actions and choices, The SCOR Way is anchored by five core values, reflecting the input of employees at all levels of the Group. We care about clients, people, and societies. We perform with integrity. We act with courage. We encourage open minds. And we thrive through collaboration. SCOR supports inclusion and the diversity of talents, and all positions are open to people with disabilities.

UK Company Secretary & Compliance Assistant

About us. We are The Very Group and we're here to help families get more out of life. We know that our customers work hard for their families and have a lot to balance in their busy lives. That's why we combine amazing brands and products with flexible payment options on Very.co.uk to help them say yes to the things they love. We're just as passionate about helping our people get more out of life too; building careers with real growth, a sense of purpose, belonging and wellbeing. About the team. The role sits within the Governance, Risk &amp; Compliance function, a pivotal team within the Legal, Risk &amp; Compliance community of The Very Group. Our team is responsible for protecting and supporting the business by ensuring that relevant risks are appropriately identified, managed and mitigated and that a strong governance framework and robust reporting are in place to foster a culture of integrity and accountability. To successfully achieve our objectives, we develop close relationships across all areas of the wider business which calls for engaging individuals who embrace every challenge, who can communicate effectively and who will seek to find better ways to achieve our goals. About the role. Responsible to the Risk &amp; Compliance Director, the Head of Compliance &amp; DPO will be responsible for The Very Group's compliance risk management capability, overseeing the deployment of second line risk management processes and associated governance frameworks to reduce risk, identify improvement opportunities, and foster a culture of compliance and focus on good customer outcomes. Key Responsibilities: <ul> <li>Ensure adequate oversight of the financial services business' compliance governance and control routines to evidence delivery of good outcomes for its customers, consistent with the Consumer Duty and The Very Group's data protection strategy and implementation.</li> <li>Support the management of The Very Group's risk profile through the development and maintenance of risk management and governance frameworks.</li> <li>Support business areas to define and manage risk appetite.</li> <li>Ensuring customer outcomes are a central focus of the Risk Management Framework.</li> <li>Ensure delivery of effective partnering across TVG, providing Risk &amp; Compliance management support.</li> <li>Consider identified issues and support the business in the determination of aggregate potential impact and oversee and challenge the defining of remedial actions as appropriate.</li> <li>Overseeing the maintenance of Compliance Policies and Business Standards across The Very Group.</li> <li>Identifying compliance risks and advising the financial services businesses on how to manage them.</li> <li>Maintaining effective compliance systems and controls.</li> <li>Monitor compliance with UK GDPR and other data protection laws and regulations, and with The Very Group's Data Protection Policy.</li> <li>Inform and advise TVG's people on their obligations to comply with UK GDPR and Data Protection Laws and Regulations; raising awareness of data protection and ensuring that people are suitably trained. </li> <li>To lead and develop a central team of compliance professionals. Assess the broader team structure/capability, upgrading and recommending change as appropriate.</li> <li>To monitor the regulatory environment and advise on changes and associated business impact, ensuring that the team keep up to date with legislative changes and that they understand the impact of these changes on the business.</li> <li>Maintain relations with key regulators and ensure open and transparent communications.</li> </ul>About you. <ul> <li>A strong background in either the consumer credit or broader financial services sector with a first class understanding of the regulatory environment.</li> <li>Strong analytical skills with the ability to identify and critically evaluate risk in an organisation and provide insight by relating these in a commercial sense to risk, brand, and customer experience.</li> <li>Capable of striking the right balance between building relationships with key internal stakeholders whilst maintaining independence and being able to challenge board members and business leads effectively.</li> <li>Makes the right things happen by successfully driving change through adept stakeholder management.</li> <li>Ability to shape and develop a risk/compliance agenda. </li> <li>A strong leader with the presence, intellect, accomplishment, and skill to quickly establish rapport and credibility.</li> <li>Ability to use their judgement effectively to identify which issues are important from those which are not.</li> <li>A proven record of successfully implementing a risk and compliance framework.</li> <li>An initiative-taking operating style with the ability to consider and react to regulatory issues before they impact the business. </li> <li>A commercially, pragmatic approach, also capable of challenging and holding their ground when appropriate.</li> </ul>Some of our benefits. <ul> <li>Flexible, hybrid working model </li> <li>Inclusive culture and environment, check out our Glassdoor reviews </li> </ul><ul> <li>£10,000 flexible benefits allowance to suit your needs </li> <li>30 days holiday + bank holidays </li> <li>Udemy learning access </li> <li>Bonus potential (performance and business-related) </li> <li>Up to 25% discount on Very.co.uk </li> </ul><ul> <li>Matched pension up to 6% </li> <li>More benefits can be found on our career site </li> </ul>How to apply Please note that the talent acquisition team are managing this vacancy directly, and if successful in securing this role, you will be required to undertake a credit, CIFAS, Right to Work checks and if a specific requirement of your role a DBS (criminal records) check. Should your application progress we require you to let the team know if there is anything you need to disclose in relation to any of these checks prior to them being undertaken, including any unspent criminal convictions. What happens next? Our talent acquisition team will be in touch if you're successful so keep an eye on your emails! We'll arrange a short call to learn more about you, as well as answer any questions you have. If it feels like we're a good match, we'll share your CV with the hiring manager to review. Our interview process is tailored to each role and can be in-person or held remotely. You can expect a two-stage interview process for this position: 1st stage - A 1 hour video call with the hiring team to discuss your skills and relevant experience. This is a great opportunity to find out more about the role and to ask any questions you may have. 2nd Stage - A one-hour formal face to face interview, where you can expect both competency and technical questions. As an inclusive employer please do let us know if you require any reasonable adjustments. If you'd like to know more about our interviews, you can find out here. Equal opportunities We're an equal opportunity employer and value diversity at our company. We do not discriminate based on race, religion, colour, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

Head of Compliance & DPO

Job Description We're looking for a Client Relations &amp; Compliance Assistant, responsible for addressing client dissatisfaction and managing complaints through informal resolution, ensuring a positive client experience. This role is critical in maintaining strong client relationships, providing an accessible platform for clients to voice their concerns, and managing these concerns in a timely and effective manner. The role will also support compliance efforts in areas such as GDPR, Subject Access Requests (SARs), and Anti-Money Laundering (AML), ensuring all relevant documentation and records are accurately maintained. enthusiastic and engaged individuals to assist with the administration and general clerical duties in our Residential Conveyancing department. What you'll be responsible for: COMPLAINTS MANAGEMENT <ul><li>Serve as the first point of contact for clients raising concerns or dissatisfaction.</li><li>Engage with clients in a friendly, professional, and empathetic manner to resolve complaints informally and quickly.</li><li>Listen to client complaints, acknowledge their concerns, and take proactive steps to resolve issues.</li><li>Provide clear communication regarding the next steps if informal resolution is not possible and signpost clients to formal complaints channels or escalate where necessary.</li><li>Track complaints, identifying trends or common themes within the organisation, and carry out thematic analysis of complaints against departments or teams.</li><li>Work closely with internal teams to address recurring issues or systemic challenges identified through client feedback.</li></ul>COMPLIANCE &amp; RISK <ul><li>Manage Subject Access Requests (SARs) by collating the required documentation and reviewing the information with support from the Risk &amp; Compliance Manager.</li><li>Support the initial investigation and handling of complex GDPR and AML breaches, ensuring compliance with relevant regulations and procedures.</li><li>Assist with maintaining the Howells Hub by updating compliance forms, documentation, and policies.</li><li>Maintain compliance-related spreadsheets, including but not limited to Breaches Registers, to ensure that records are accurately tracked and up to date.</li></ul>GENERAL ADMINISTRATION &amp; REPORTING <ul><li>Record and report client complaints and compliance issues to senior management, offering recommendations for improvements where applicable.</li><li>Ensure that all communication, actions, and resolutions related to complaints and compliance matters are well documented.</li><li>Assist with ad-hoc compliance-related tasks as required.</li></ul>What we're looking for: <ul><li>Experience in customer service, client relations, or complaints handling, particularly within a phone-based environment.</li><li>Experience working within a residential conveyancing environment is desirable but not essential.</li><li>A basic understanding of compliance areas such as GDPR, AML, and handling Subject Access Requests (SARs) is desirable but not essential (training will be provided).</li><li>Previous experience in an administrative or support role, particularly in compliance or client-facing positions, is beneficial.</li></ul>What you'll receive: <ul><li>Competitive Salary</li><li>Annual Leave:Enjoy a minimum of 23 days each holiday year, plus bank holidays and extra time off to unwind, including an additional personal day, a day off for your birthday, and a discretionary paid day during the Christmas break.</li><li>Annual Leave Purchase Scheme:Option to buy up to 3 extra days of leave annually to support your work-life balance.</li><li>Gym Discounts:Access discounted memberships to help you stay active and healthy.</li><li>Growth &amp; Development:We're invested in your career with opportunities for learning and advancement.</li><li>Milestone Recognition:Celebrate your dedication with recognition and awards for key milestones.</li><li>Events:Take part in various networking, corporate, and charity events throughout the year.</li><li>Refer a Friend Scheme:Get rewarded for referring talented friends and connections to join the team.</li></ul>Apply Now If you have any questions about this opportunity, please email <a href="mailto:recruitment@howellslegal.com" target="_blank">recruitment@howellslegal.com</a> Successful candidates will be subject to a basic or enhanced DBS disclosure dependent on the role. Permanent employment is conditional on having a satisfactory DBS check. You will therefore be asked to disclose any unspent convictions during the recruitment process.

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