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About Us SharkNinja is a global product design and technology company, with a diversified portfolio of 5-star rated lifestyle solutions that positively impact people's lives in homes around the world. Powered by two trusted, global brands, Shark and Ninja, the company has a proven track record of bringing disruptive innovation to market, and developing one consumer product after another has allowed SharkNinja to enter multiple product categories, driving significant growth and market share gains. Headquartered in Needham, Massachusetts with more than 3,300+ associates, the company's products are sold at key retailers, online and offline, and through distributors around the world. About the Role We are seeking a strategic, experienced, and detail-oriented Inbound Logistics and Trade Compliance professional to lead and manage all aspects of trade compliance across Europe, the United Kingdom, the Middle East, and Africa (EMEA). This role also oversees inbound transportation and is directly responsible for the management of regional Freight Forwarders, Customs Brokers, and Transportation Carriers. The ideal candidate will bring deep expertise in global customs regulations and logistics, combined with a strong track record of leading continuous improvement initiatives to drive efficiency, reduce costs, and enhance operational performance. This is a critical leadership position that bridges compliance excellence with supply chain execution. Key Responsibilities Trade Compliance: <ul><li>Lead and manage trade compliance operations across the EMEA region, ensuring adherence to global trade policies and regional regulatory requirements. </li><li>Maintain compliance with all applicable customs and trade laws, including EU/U.K. regulations, sanctions, and export controls (e.g., EAR, ITAR, dual-use goods). </li><li>Develop, implement, and manage internal control procedures, SOPs, audits, and employee training programs. </li><li>Oversee accurate and consistent product classification (HTS, ECCN), country of origin determinations, and customs valuation. </li><li>Act as primary liaison with customs authorities and regulatory agencies across EMEA. </li><li>Manage and maintain licenses, permits, and approvals required for trade and transportation compliance. </li></ul>Inbound Transportation &amp; Vendor Management: <ul><li>Lead strategy and execution for compliant, timely, and cost-effective inbound transportation into the EMEA region. </li><li>Own the onboarding and management of Freight Forwarders, Customs Brokers, and Transportation Carriers, ensuring high performance, compliance, and value. </li><li>Establish and track KPIs to monitor vendor performance, drive accountability, and resolve service issues or escalations. </li><li>Partner with procurement, logistics, and finance to optimize landed cost and streamline the inbound supply chain. </li></ul>Continuous Improvement: <ul><li>Lead and support cross-functional continuous improvement initiatives to enhance compliance processes, reduce lead times, and lower transportation and duty costs. </li><li>Use data-driven analysis and root cause methodologies (e.g., Lean, Six Sigma, Kaizen) to identify inefficiencies and implement sustainable improvements. </li><li>Evaluate new tools, automation opportunities, and systems that improve compliance and logistics effectiveness. </li><li>Regularly review trade and logistics processes to ensure scalability and alignment with evolving business needs. </li></ul>Qualifications <ul><li>Bachelor's degree in International Trade, Supply Chain, Business, or related field. Advanced degree or professional certification (e.g., CUSECO, CCS, EU AEO) preferred. </li><li>8+ years of progressive experience in international trade compliance and logistics, with at least 3 years in a leadership role in the EMEA region. </li><li>Deep understanding of regional customs regulations, trade laws, and international transportation practices. </li><li>Proven experience in vendor selection, contract negotiation, and performance management. </li><li>Demonstrated success leading continuous improvement projects that drove measurable cost savings and operational enhancements. </li><li>Strong analytical, communication, and project management skills. </li><li>Fluent in English; additional EMEA language skills are a plus. </li></ul>Other Requirements <ul><li>Travel Required - up to 20% across EMEA and globally, as required </li><li>Flexible work schedule to accommodate virtual meetings with other regions/time zones</li></ul>Our Culture At SharkNinja, we don't just raise the bar-we push past it every single day. Our Outrageously Extraordinary mindset drives us to tackle the impossible, push boundaries, and deliver results that others only dream of. If you thrive on breaking out of your swim lane, you'll be right at home. What We Offer We offer competitive health insurance, retirement plans, paid time off, employee stock purchase options, wellness programs, SharkNinja product discounts, and more. We empower your personal and professional growth with high impact Learning Programs featuring bold voices redefining what's possible. When you join, you're not just part of a company-you're part of an outrageously extraordinary community. Together, we won't just launch products-we'll disrupt entire markets. At SharkNinja, Diversity, Equity, and Inclusion are vital to our global success. Valuing each unique voice and blending all of our diverse skills strengthens SharkNinja's innovation every day. We support ALL associates in bringing their authentic selves to work, making an impact, and having the opportunity for career acceleration. With help from our leadership, associates, and our community, we aim to have equity be a key component of the SharkNinja DNA. Learn more about us: Life At SharkNinja Outrageously Extraordinary SharkNinja's Candidate Privacy Notice can be found here: <a href="https://www.sharkninja.com/candidate-privacy-notice/" target="_blank">https://www.sharkninja.com/candidate-privacy-notice/</a> For candidates based in China, please visit: <a href="https://sharkninja.com/candidate-privacy-notice/china/" target="_blank">https://sharkninja.com/candidate-privacy-notice/china/</a> For candidates based in Vietnam, please visit: <a href="https://www.sharkninja.com/candidate-privacy-notice/vietnam/" target="_blank">https://www.sharkninja.com/candidate-privacy-notice/vietnam/</a> We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, disability, or any other class protected by legislation, and local law. SharkNinja will consider reasonable accommodations consistent with legislation, and local law. If you require a reasonable accommodation to participate in the job application or interview process, please contact SharkNinja People &amp; Culture at <a href="mailto:accommodations@sharkninja.com" target="_blank">accommodations@sharkninja.com</a>

Inbound Logistics and Trade Compliance Senior Manager, EMEA

THE POSITION The Brattle Group, a privately held, global economics consulting firm, is looking for a Senior Benefits &amp; Compliance Specialist to join our London, UK office. This position will act as a key resource providing support to the firm in the areas of benefits, compliance, compensation, and reporting. This position reports to the Senior Director of Compensation and Benefits and will work closely with legal, payroll and accounting staff, as well as the European Office Directors. Some of the day-to-day responsibilities of this role include: <ul><li>Work with the Senior Director of Compensation &amp; Benefits to research and establish appropriate benefit plans for European employees</li><li>Ensure benefit plans are clearly outlined and communicated and that employees are enrolled, as appropriate. Respond to related questions or issues raised by employees</li><li>Make recommendations of cost-effective benefits consistent with firm culture</li><li>Maintain high quality and timely administration of all HR benefit and systems on-boarding and off-boarding processes, notifying appropriate groups of employment changes</li><li>Work with the Senior Manager of Compensation &amp; Compliance, and the Senior Director of Compensation &amp; Benefits to ensure compliance of benefit programs</li><li>Oversee all leaves and transfers within the European offices. Prepare all related letters and contracts.</li><li>Ensure that Employee Manuals for all European locations are updated periodically and distributed to all staff, including new hires</li><li>Support ad hoc compensation projects (i.e. audit, country specific compensation regulations) and research market data for Corporate Services &amp; Consulting positions</li></ul>THE CANDIDATE <ul><li>Bachelor's Degree required</li><li>CIPD qualified or equivalent HR experience</li><li>5+ years of experience in a benefits and/or a compliance related position; experience in compensation administration is a plus</li><li>Experience with a full range of employee benefits plans</li><li>Knowledge of benefit laws</li><li>Experience with ADP WFN or other similar HR information system</li><li>Experience in a professional services firm highly desired</li><li>Experience working with remote locations desired</li><li>Ability to read, speak, and write in English and French, Italian and/or Spanish is required</li></ul>Brattle offers a competitive benefits package, base salary, and bonus program for eligible roles based on individual and firm performance. This position is not eligible for immigration sponsorship. THE EMPLOYER The Brattle Group answers complex economic, finance, and regulatory questions for corporations, law firms, and governments around the world. We are distinguished by the clarity of our insights and the credibility of our experts, which include leading international academics and industry specialists. Brattle has 500 talented professionals across North America, Europe, and Asia-Pacific. For more information, please visit brattle.com. EQUAL OPPORTUNITY The Brattle Group is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, citizenship status, national origin, ancestry, sex, gender identity and expression, age, height, weight, domestic partner status, Acquired Immune Deficiency Syndrome or HIV status (AIDS/HIV status), genetic information, sexual orientation, disability (where the applicant or employee is qualified to perform the essential functions of the job with or without reasonable accommodation), marital status, veteran status, political affiliation, drug or alcohol abuse or alcoholism, or any other characteristic protected under applicable law. We encourage all applicants to click here to review our full Equal Employer Opportunity Statement.

Senior Benefits & Compliance Specialist

Compensation Range $31.30 - $36.00 Hourly Rate Job Description Summary: **We are hiring for two positions and one will be onsite in San Diego, CA and the other will be onsite in Los Angeles, CA** Provide overall compliance support to projects requiring prevailing wage and other specific labor requirements. Job Description: JOB RESPONSIBILTIES AND DUTIES <ul><li>Monitor certified payroll for both internal self-perform projects and external subcontractors.</li><li>Be responsible for labor compliance company-wide.</li><li>Review all public contracts (and any private that have special requirements) for labor requirements (certified payroll, skilled labor, local hire, diversity, and other such labor related requirements), and then work with the project teams and appropriate departments to ensure appropriate plan in place to monitor and report, as well as to ensure proper submissions to agencies. </li><li>Perform periodic audits on projects to ensure compliance. </li><li>Develop risk assessment on the Compliance Programs.</li><li>Monitor and stay abreast of applicable laws and regulations that might affect the Swinerton's policies and procedures.</li><li>Participate in third party / Government reviews, audits and inquiries, working in conjunction with the appropriate departments and the Director of Compliance.</li><li>Ensure compliance of organizational policies and procedures</li><li>Create and maintain healthy relationships with stakeholders and contractors</li><li>Conduct labor compliance training classes/seminars for stakeholders, program employees, and contractors</li><li>Reviews and verifies payroll records, benefit statements, employer training contributions, and apprenticeship paperwork to determine compliance with applicable rules and regulations.</li><li>Issues requests for missing and revised documentation and corresponds with the applicable contractor's staff to ensure compliance.</li><li>Work with LCP Tracker, and other compliance monitoring software to review and approve certified payroll and payroll documents </li><li>Compile information for any third-party requests for information.</li><li>Compose letters requesting payments and follow up with third party requestor when sending information.</li><li>Perform other related duties as assigned.</li></ul>MINIMUM SKILLS AND EXPERIENCE <ul><li>Minimum of three years experience working with Public Works Labor Compliance Programs and/or Project Labor Agreements</li><li>Bachelor of Arts/Science Degree from a recognized college or university in business or related degree is required.</li><li>Must have experience with prevailing wage enforcement, analysis, and auditing skills</li><li>Demonstrated knowledge of employment practices in the construction industry and a strong working knowledge of state labor regulations</li><li>Experience implementing procedures and coordinating with other internal and external departments</li><li>Ability to work independently, accurately, strategically, resourcefully, yet intuitively know when and how to inform, verify, collaborate, and escalate.</li><li>Ability to work in a dynamic environment across the Swinerton organization, providing compliance guidance to a variety of teams and senior management. </li><li>PC proficiency including word processing and spreadsheet applications</li><li>Effective interpersonal skills and professional telephone manner</li><li>Proficient written and verbal English communication skills, including business writing skills</li></ul>SUMMARY OF BENEFITS This role is eligible for the following benefits: medical, dental, vision, 401(k) with company matching, Employee Stock Ownership Program (ESOP), individual stock ownership, paid vacation, paid sick leave, paid holidays, bereavement leave, employee assistance program, pre-tax flexible spending accounts, basic term life insurance and AD&amp;D, business travel accident insurance, short and long term disability, financial wellness coaching, educational assistance, Care.com membership, ClassPass fitness membership, and DashPass delivery membership. Voluntary benefits include additional term life insurance, long term care insurance, critical illness and accidental injury insurance, pet insurance, legal plan, identity theft protection, and other voluntary benefit options.

Labor Compliance Specialist

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: Manage and implement strategies to ensure successful maintenance and implementation of compliance programs that meet regulatory requirements for assigned products across the entire company <ul><li>Maintain and track laws and regulations, contract amendments, and various compliance guidance and prepare regular updates and analysis on impactful regulatory actions.</li><li>Work in collaboration with Markets, Policy, Government Relations, Legal and other key departments to assess and analyze impactful regulations and guidance.</li><li>Evaluate and monitor changes to service functions and performance in relation to company mission, philosophy objectives and policies.</li><li>Provide guidance to various departments regarding compliance issues and implementation of new compliance requirements with respect to regulatory and contract language.</li><li>Provide mentoring and guidance to subordinates within the department as necessary.</li><li>Serve as primary backup to regional lead as necessary.</li></ul>Education/Experience: <ul><li>Bachelors' degree in related field or equivalent experience. Master's or Juris Doctorate degree preferred.</li><li>4+ years of compliance experience, preferably in a healthcare environment with at least 2+ years of Medicaid, Medicare or Commercial Managed Care experience.</li><li>Previous experience demonstrating effective interaction with federal and state regulatory agencies in a managed care or insurance environment preferred.</li></ul>Pay Range: $86,000.00 - $154,700.00 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

Manager, Ethics & Compliance

About Us YouLend is the preferred global embedded financing platform for many of the world's leading e-commerce sites, tech companies and payment services providers such as Amazon, eBay, Shopify, Mollie, Dojo, Paysafe, Just Eat Takeaway and Takepayments. Our software platform and APIs enable our partners to offer flexible financing products, in their desired branding, to their merchant base. With YouLend's AI-driven credit risk assessment solutions, more merchants and SMEs than ever can receive fast, flexible and affordable funding. We operate in 9+ geographies across the UK, EU and the US. We believe that the future of financial services will be delivered by customer-oriented tech companies that embed financing in their customer journeys, and we are building the solutions that will power that future. The Role: The Senior Regulatory Compliance Manager will be a key figure in ensuring YouLend maintains a robust regulatory compliance framework. Reporting directly to the Head of Regulatory Compliance this role will focus on enhancing compliance processes, monitoring regulatory risks, and ensuring adherence to FCA, EU, and global standards as we pursue additional regulatory authorisations. This role offers an exciting opportunity for an experienced compliance professional to play a pivotal role in helping to shape our regulatory compliance framework and support YouLend with future expansion plans. Requirements <ul><li>Regulatory Compliance Framework - Contribute to the maturity of the regulatory compliance strategy and framework, ensuring there is a consistent and scalable approach to 'compliance' across training, policies, KRIs, testing, reporting. </li></ul><ul><li>Compliance Monitoring - Support with the enhancement of the design and implementation of YouLend's Compliance Monitoring and Testing Programme including tracking and monitoring progress against the annual monitoring program and adapting it to the changing regulatory and business environment. </li></ul><ul><li>Governance and Management Reporting - Raising the standards of management reporting and governance, assisting the Head of Regulatory Compliance with preparing updates to YouLend's Senior Management Team where necessary and embedding a governance framework that facilitates this. </li></ul><ul><li>Horizon scanning - Through the identification, assessment, and ongoing monitoring of current and future regulatory risks, including gap analysis of new regulatory initiatives and guidance from the Youlend's regulators </li></ul><ul><li>Advisory - Act as a trusted advisor to the business, providing guidance on regulatory topics and helping the business navigate complex compliance landscapes in the UK, EU, US and other jurisdictions. </li></ul><ul><li>Regulatory Engagement - Support the Head of Regulatory Compliance with managing regulatory engagement, tracking and handling queries, audits, and ongoing communications with YouLend's Regulators. </li></ul><ul><li>Regulatory Reporting - Lead regulatory reporting processes to ensure timely and accurate submissions to the FCA and other relevant authorities. </li></ul><ul><li>Enterprise Risk Management - Support with the uplift of YouLend's Enterprise Risk Framework, working with risk owners across the business to develop and mature the identification, assessment and management of YouLend's enterprise risks. </li></ul>Essential Qualifications and Experience : <ul> <ul> <li>A minimum of 5+ years experience in a regulatory compliance role ideally within the financial services industry, payment institution, electronic money institution or a similar regulated entity. </li> <li>Strong experience in Payments Services Regulations (PSRs). </li> </ul> <ul><li>Demonstrable experience of supporting the implementation of compliance frameworks, particularly for FCA-regulated entities. </li></ul> <ul><li>Experience leading regulatory reporting processes and stepping in to act as a liaison with regulators such as the FCA is a strong plus. </li></ul> <ul><li>Familiarity with EU regulatory regimes and experience supporting applications for new regulatory authorizations is a strong plus. </li></ul> <ul><li>Experience working in B2B financing or corporate lending is desirable. </li></ul> </ul>Skills: <ul> <ul><li>Strong knowledge of FCA regulatory requirements, including the FCA Handbook. </li></ul> <ul><li>Proven ability to assess and manage regulatory risks, with experience in conducting thematic reviews and compliance monitoring. </li></ul> <ul><li>Expertise in key compliance themes such as governance, complaints handling, safeguarding, product governance and outsourcing, and in depth understanding of risk mitigation frameworks. </li></ul> <ul><li>Exceptional analytical skills, including conducting gap analyses to address new regulatory initiatives and guidance. </li></ul> <ul><li>Strong written and verbal communication skills, with experience preparing high-quality reviews, assessments, and reports for senior stakeholders and regulators. </li></ul> </ul>Benefits Why join YouLend? <ul><li> Award-Winning Workplace: YouLend has been recognised as one of the "Best Places to Work 2024" by the Sunday Times for being a supportive, diverse, and rewarding workplace. </li></ul><ul><li> Award-Winning Fintech: YouLend has been recognised as a "Top 250 Fintech Worldwide" company by CNBC. </li></ul>We offer comprehensive benefits package that includes: <ul><li>Stock Options </li></ul><ul><li>Private Medical insurance via Vitality and Bupa Dental </li></ul><ul><li>EAP with Health Assured </li></ul><ul><li>Enhanced Maternity and Paternity Leave </li></ul><ul><li>Modern and sophisticated office space in Central London </li></ul><ul><li>Free Gym in office building in Holborn </li></ul><ul><li>Subsidised Lunch via Feedr </li></ul><ul><li>Deliveroo Allowance if working late in office </li></ul><ul><li>Monthly in office Masseuse </li></ul><ul><li>Team and Company Socials </li></ul><ul><li>Football Power League </li></ul>At YouLend, we champion diversity and embrace equal opportunity employment practices. Our hiring, transfer, and promotion decisions are exclusively based on qualifications, merit, and business requirements, free from any discrimination based on race, gender, age, disability, religion, nationality, or any other protected basis under applicable law.

Senior Regulatory Compliance Manager

Legal &amp; Compliance Manager Powertica Commodities UK Ltd - London, United Kingdom About Us Powertica is a dynamic new energy trading company, supported by InterGen, one of the UK's largest independent power generators with 2.8 GW of CCGT and OCGT capacity. As a startup with scale, we combine the agility of a new venture with the backing of real, substantial assets. We are building our trading and risk capabilities from the ground up, offering a unique opportunity to shape the foundation of a rapidly growing energy business. The Role Are you ready to for a new challenging and rewarding career? We are looking for a new Legal and Compliance Manager to join as a key member of our Trading &amp; Commercial team. This role will be at the forefront of our regulatory and compliance efforts, ensuring we navigate the complex regulatory landscape with expertise and precision. You will bring strong subject matter expertise in regulatory affairs and market compliance surveillance, leading this function within Powertica UK and providing solid advice on local and European regulations. If you're ready to jump into a fast-paced environment where your career will be accelerated, we'd love to hear from you! Summary of Responsibilities Monitor, analyse and interpret local and European regulations, providing expert and timely advice and guidance across the organisation delivering solutions whilst managing risk Develop strong relationships and liaising with key internal and external stakeholders (including regulatory bodies e.g. Ofgem, FCA) Deal with external inquiries from regulatory authorities (Ofgem, FCA), market platforms (e.g. EPEX, Nordpool), and others (National Grid ESO), escalating where required Report on compliance and governance matters to the Chief Executive Officer Analyse new trading products/geographies and provide guidance on risks and mitigation measures Plan and deliver bespoke training programs related to REMIT and market abuse regulations to teams, deliver employee training on the regulatory and compliance requirements Participate in industry association meetings, advocacy, regulatory proceedings, and market rules/legislation development Why you? You are a subject matter expert in UK legislation, market codes and your knowledge of regulations like MAR, MiFID, EMIR and REMIT are unmatched. You will excel in short-term market compliance, CCGT monitoring and have previous experience with EU commodity exchanges and derivative trading. You'll bring excellent communication skills, using them to regularly communicate with regulatory authorities like Ofgem and the FCA, meaning that building relationships will come naturally to you. You have an entrepreneurial spirit, strong analytical skills and get satisfaction from solving complex regulatory issues. You are a legal and compliance master who can balance market compliance with commercial opportunities while maintaining governance frameworks and compliance reporting, ready to take on a new challenge and help us drive compliance excellence. What's in it for you? • A fast-paced environment where your contributions have an immediate impact • A close-knit team with over 50 years of combined experience in trading, risk, energy market, and systems • A unique opportunity to help shape a startup's Legal and Compliance function backed by large-scale assets • Opportunities to work with and learn from technology and colleagues across multiple countries • Competitive salary and bonus, with real opportunities for progression • Benefits include Pension, Private Medical Insurance, EAP, Eye Care Vouchers, Life Assurance, Season Ticket Loan, Holiday Buy &amp; Sell Scheme, enhanced sick pay and enhanced maternity/paternity/adoption leave. Please note: while this is a Powertica UK role, InterGen are currently supporting with the recruitment. Click here to download the full job description

Legal and Compliance Manager

Trust Compliance/Legal Officer Oklahoma City, OK Onsite Position BancFirst Tower Downtown Oklahoma: 100 N. Broadway, Oklahoma City 73102 Full Time: M-F ESSENTIAL DUTIES AND RESPONSIBILITIES Maintain and monitor the "trust compliance program" for compliance with regulatory requirements and internal policies for trust and investment management accounts. Work with Trust business-line units to interpret and execute various regulatory and compliance issues / projects, including <ul><li>Trust compliance program</li><li>Internal policies and procedures for trust and investment management accounts.</li></ul>Monitor account administration, investment, and operational compliance for: <ul><li>Corporate trust</li><li>Personal trust</li><li>Retirement services</li><li>Investment management</li></ul>Responsible for the coordination, monitoring, and follow-up reporting on: <ul><li>Federal and State regulatory examinations,</li><li>Internal and external audits.</li></ul>Serve as a liaison with the BancFirst Internal Audit Group for trust-related audit matters. Prepare quarterly and annual FFIEC - Call Reports - Schedule RC-T - Fiduciary and Related Services Reports. Prepare and monitor "trust collateral reports" for Oklahoma State Banking Department. Monitor USA Patriot Act and Bank Secrecy Act compliance for trust and investment management accounts. Compile and prepare annual "Fiduciary Risk Management Report" for the BancFirst Executive Committee. Monitor daily overdraft and large balance reports. Regular and consistent attendance is an essential function of this position. Monitor "quarterly securities transaction reports" (FRB Reg. H, FDIC Rules &amp; Regulations - Part 344, and OCC 12 CFR 12) for compliance. Serve on various Trust Committees <ul><li>Internal Trust Committee</li><li>Administrative and Investment Review Committees</li></ul>Provide legal review of governing agreements and documents for new and existing accounts, vendors, and service providers. This position will report to the Operations and Compliance Manager of the Trust and Investment Management Division REQUIREMENTS Three to five years experience in the trust administration, investments, trust audit, and/or operations, or related experience (i.e. law practice). In-depth knowledge of trust administration and applicable laws, rules, and regulations. Knowledge of trust and investment management activities, products, and services. Excellent oral and written communications skills Excellent personal computing skills including word processing and spreadsheet applications. Minimum of a Bachelors degree in business, finance, accounting, economics, law, or more than 7 years of relevant experience. PREFERRED SKILLS AND QUALIFICATIONS Juris Doctorate (JD) preferred, but not required PHYSICAL REQUIREMENTS Constant use of computer screens Ability to operate a computer keyboard, use hand to finger, handle or feel, reach with hands and arms, and talk, see or hear Intermittently standing, stooping, bending at the waist, walking, kneeling or crouching Ability to sit and/or stand for long periods of time during the workday Long periods of typing and repetitive motion Ability to lift and/or move and carry up to 5 pounds Hometown service, statewide strength. BancFirst is committed to investing in the future of Oklahoma communities. BancFirst is a $14 billion bank offering personal and commercial products, trust, insurance, and investment services in sixty Oklahoma communities. Employees enjoy excellent benefits and a learning environment that allows them to continuously improve their skills to deliver highly personalized service to customers. EOE - BancFirst is an Equal Opportunity employer. Diversity...Our differences enhance business performance.

Trust Compliance and Legal Officer

QUALIFICATIONS &amp; EXPERIENCE <ol><li>Bachelor's degree in healthcare, business, non-profit management, or related field.</li></ol> <ol><li>3-5 years of previous job-related experience preferred. Previous supervisory experience preferred.</li></ol> <ol><li>Excellent facilitation skills</li></ol> <ol><li>Demonstrated record of achieving and sustaining excellent project results</li></ol> <ol><li>Experience providing education/training to staff preferred</li></ol> <ol><li>Proficient in Microsoft Excel, PowerPoint, Word.</li></ol> <ol><li>Experience in working with multi-disciplinary teams and moving projects forward.</li></ol> <ol><li>Maintains a valid Michigan driver's license and has the availability of a reliable, licensed and insured vehicle for use on the job, vehicle must be insured in accordance with the State of Michigan.</li></ol> <ol><li>Remains up-to-date on all routine immunizations required by LARA and agency policy.</li></ol> SUMMARY OF JOB RESPONSIBILITIES Responsible for directing and implementing the agency's compliance program in accordance with the mission and strategic goals of the agency, federal and state laws and regulations, and quality standards. Includes policy management, compliance training and education, effective communication channels, auditing and monitoring, investigations and corrective actions, and reporting. Supervises the medical records department. Designated as Compliance, Privacy, and Security Officer. RESPONSIBILITIES AND DUTIES Primary Duties <ol><li>Ensures an effective compliance communication program for theagency, including promoting the use of the Compliance Hotline and awareness of the agency's Code of Conduct. Maintains working reporting mechanisms to enable employees, volunteers, or contractors to report any non-compliance without fear of retaliation. </li></ol> <ol><li>Maintains up-to-date knowledge of laws and regulations. Regularly monitors changes to the Hospice regulatory landscape and researches their impact to ensure compliance with applicable state and federal laws, regulations and mandates. Monitors changes to other healthcare entities and analyzes potential impact to the agency. Participates in and represents Centrica Care Navigators at state and national level compliance-related committees.</li></ol> <ol><li>Ensures effective coordination of the agency's responses to regulatory changes. Acts as a key resource to leadership and provides guidance in support of the agency's strategy for complying with all regulatory requirements related to clinical and non-clinical activities. </li></ol> <ol><li>Develops compliance audit and monitoring tools. Manages internal compliance review and monitoring activities, communicating the review plan to relevant parties. Reviews any documents pertinent to the review such as policies and procedures, incident tracking reports, regulatory surveillance results, dashboards, contracts, business service agreements, and prior review results. Prepares reports synthesizing results and highlighting implications of findings. Collaborates with staff to develop action plans to identify and resolve the root cause of review findings and gaps. Monitors corrective action plans for resolution.</li></ol> <ol><li>Identifies areas of compliance risk through audit and monitoring activities, hotline calls, and department reports. Assists with ensuring compliance with contractual requirements and federal and state government reporting and regulations.</li></ol> <ol><li>Manages compliance-related processes including but not limited to policy/procedure review, exclusion screening, contract review, signature audit log, etc. </li></ol> <ol><li>At the direction of Executive Leadership, oversees responses to external regulatory requests. Coordinates the preparation of documents and charts in response to outside inquiries from regulatory, licensing, and peer review bodies (e.g. Additional Development Requests (ADRs), medical records requests, CMS survey plans of correction, CMS 855A changes, etc.)</li></ol> <ol><li>Promotes awareness of processes, internal controls, policies and compliance requirements. Updates the agency about issues and concerns, outcomes and systemic issues. Works with leadership throughout the agency to improve and integrate regulatory compliance into processes, systems, and employee awareness.</li></ol> <ol><li>Initiates, co-leads, co-facilitates, and advises internal performance improvement teams, including the Board level Quality and Compliance Committee, the Internal QAPI Committee, and teams formed for focused performance improvement purposes.</li></ol> <ol><li>Conducts ongoing compliance training and education. Tracks participation and reviews the effectiveness of training programs.</li></ol> <ol><li>Provides leadership for the medical records functions and processes. Responsible for meeting the legal requirements for storage, retention and destruction of medical records.</li><li>In collaboration with Executive Leadership, develops and ensures execution of the Annual Compliance Plan.</li></ol><ol><li>Ensures that education and training on privacy and security is provided to all employees and volunteers.</li><li>Ensures policies are in place that protect against any reasonably anticipated threats or hazards to the security and integrity of protected information. This includes regular review of system activity to ensure compliance.</li></ol> <ol><li>Implements security measures sufficient to reduce risks and vulnerabilities to a reasonable and appropriate level.</li></ol> <ol><li>Conducts a risk analysis of potential risks and vulnerabilities to the confidentiality, integrity and availability of electronic protected health information.</li></ol> <ol><li>Ensures reporting mechanisms are available that enable employees, volunteers, or contractors to report any non-compliance without fear of retaliation.</li></ol> <ol><li>Matters directly involving the CEO will be reported to the board representative and investigated under the direction of the board.</li><li>Ensures that information technology utilized by the agency supports and is consistent with security practices and security policies. Ensures all new purchases are consistent with security</li></ol>

Director of Compliance

Company Overview: Do you have a passion for helping others? Are you dedicated to delivering exceptional service? Are you interested in joining a team that takes pride in constructing a high-performing culture that empowers employees to work cohesively and reach their fullest potential? Then you may be the perfect fit for Associated Asset Management (AAM). For over 30 years, AAM continues to be one of the foremost providers of professional community association services in the United States. We specialize in the forward planning and strategic management of master planned, single family, condominium, active adult, urban high-rise and mid-rise communities. With over 600 employees among twelve offices in seven states, AAM is a professional and reliable leader within our industry. For more information, visit <a href="http://www.associatedasset.com" target="_blank">www.associatedasset.com</a>. The salary for this position will range from $17-18 per hour depending on experience Position Summary: Primarily responsible for ensuring Architectural Guidelines and Governing Documents are upheld within designated communities by thorough knowledge of CC&amp;Rs and Design Guidelines. Providing both customer service and education to homeowners in respect to compliance and submittal processes to ensure the overall success of the community. Position Responsibilities: <ul><li>Provides direct support to Director and Assistant Director of Community Association in order to meet community standards.</li><li>Communicates to Director and Assistant Director of Community Association issues that may arise from compliance issues within the community.</li><li>Partners with homeowners to educate and ensure effective, long-term solutions to compliance issues.</li><li>Research issues of non-compliance and prepares documentation for the Director of Community Association and, if necessary, Board review.</li><li>Develops and utilizes a computer software tracking system (VMS) that ensures timely implementation of compliance.</li><li>Maintains detailed records of compliance through investigations and follow up reports of non-compliance.</li><li>Investigates issues of complaints brought against second parties by homeowners and make determinations based on findings.</li><li>Oversees the preparation of compliance notices, fine notices and all related compliance issues as well as architectural submittals.</li><li>Conducts routine property tours of all lots in the Trilogy at Vistancia community to ensure compliance with association governing documents.</li><li>Educates homeowners, staff and others as necessary on proper submittal process and compliance administration.</li><li>Executes and oversees the Bi-Annual Age Verification Process.</li><li>Prepares arch submittals for review by Committee and does all follow up tasks associated with decisions by Committee.</li><li>Back up to Administrative Assistant to screen, direct and/or handle visitors coming into the office.</li><li>Respond promptly to incoming calls and emails.</li><li>Maintains strict adherence to community and company deadlines.</li><li>Extend top-notch customer service and problem resolution, via phone, face-to-face, website or email to Board members, Committee members and residents within prescribed time frames.</li><li>Other duties and special projects as assigned.</li></ul>Desired Knowledge, Skills and Abilities: <ul><li>Experience working in an HOA/Property Management role.</li><li>Excellent customer service skills.</li><li>Strong computer software skills (Excel, Word, Outlook, VMS, etc.) and internet proficiency</li><li>Ability to multitask, and prepare and process large amounts of compliance items while being detail oriented.</li><li>Time Management: Ability to organize and manage multiple tasks simultaneously, establish priorities, and meet deadlines.</li><li>Exceptional organization and tracking skills.</li><li>Ability to function efficiently in a high volume, fast-paced environment.</li><li>Ability to interact and work positively and effectively with staff at all levels.</li><li>Excellent interpersonal skills: positive written and verbal communication abilities.</li><li>Ability to work collaboratively and cooperatively with On-Site Team as well as with other departments.</li></ul>Physical Demands &amp; Work Environment: <ul><li>Position involves sitting, standing, and movement throughout the day.</li><li>Utilizing a computer in an office setting.</li><li>Utilizing vehicle to perform routine physical inspections of the Community.</li></ul>Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Compliance Administrator

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. Position Purpose: Develops, monitors, maintains and improves the enterprise security program. Assists in the compliance of enterprise security initiatives and creates reports that will impact decisions made at both the executive and Board levels. <ul><li>Mature and automate processes, where possible, to manage security risk including.</li><li>Maintain awareness of existing and proposed enterprise security policies and standards. Provide support in security policy and standard development.</li><li>Identify regulatory changes that will affect information security policies, standards and procedures, and recommends appropriate changes.</li><li>Support security control owners with control design and implementation</li><li>Lead the design, evaluation and oversight of controls for key security and security IT projects, programs, applications and systems, e.g. the Enterprise Control Framework</li><li>Partner to ensure appropriate corrective actions for data security incidents.</li><li>Partner with Information Security, Business Continuity, Vendor Management, Information Technology, Risk Management, Audit, and Privacy Officer to ensure appropriate follow up and closure of findings and issues are completed.</li><li>Perform assigned tasks with in the GRC tool within the defined SLAs.</li><li>Perform related duties as assigned or requested, including security metrics reporting and information security process improvements.</li></ul>Education/Experience: Bachelor's degree in Information Security, related field, or equivalent experience required. 4+ years of experience with security domains required. Knowledge of NIST 800-53, HITRUST, and ISO 27001 required. License/Certification: CISA, CGEIT, CRISC or CISM required. CISSP preferred: Pay Range: $86,000.00 - $154,700.00 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 Security Compliance Analyst

Position Summary The Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm's Compliance Program. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and is in compliance with regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource to in-house professionals seeking regulatory guidance. The Compliance Analyst will work to help develop compliance tools and educational training programs for internal professionals allowing these professionals to leverage their valuable time. The Compliance Analyst will assist with necessary regulatory filings and ensure responsibilities are met for each of the firm's associates and entities. Essential Job Duties and Responsibilities <ul><li>Continued implementation, development and enhancement of the firm's comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies</li><li>Independently be responsible for and perform or oversee the majority of the compliance testing (transactional, periodic and forensic) of the firm's Compliance Program</li><li>Identify conflicts of interest and assist in the elimination, mitigation or management of the conflict</li><li>Assist in the development of internal compliance controls</li><li>Be a subject matter resource in using compliance support technologies, such as Global Relay, ACA Compliance Alpha and Basis Code</li><li>Maintain a proficiency for working within various technology systems (CRM, Portfolio &amp; Accounting, etc.) utilized by the Firm for compliance purposes</li><li>Independently be responsible for drafting and submitting regulatory filings through the IARD/CRD system</li><li>Have a strong knowledge of Investment Advisers Act of 1940</li><li>If applicable, have a strong working knowledge of the Investment Company Act of 1940</li><li>Serve as a liaison orprimary contact for other departments or area of oversight </li></ul>Qualifications <ul><li>1-2 years of compliance, regulatory, or audit experience in the financial industry</li><li>Bachelor's degree in business or related field of study</li><li>Microsoft Excel &amp; Word</li><li>Ability to utilize CRM system, such as Salesforce</li><li>Strong problem solving and decision-making skills</li><li>Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data</li><li>Intellectual curiosity and intelligence, as well as a proactive approach to problem-solving</li><li>Extensive knowledge of the Investment Advisers Act of 1940, as amended</li><li>Strong written and verbal communication skills with ability to interact effectively with peers and all levels of management</li><li>Attention to detail, well organized, ability to perform multiple tasks simultaneously, and strong organizational skills</li><li>Willing and able to learn and analyze securities laws</li><li>Impeccable and unquestioned integrity and trust</li><li>Trustworthy</li><li>Capability to handle sensitive or confidential information and maintain confidentiality of that information</li><li>Ability to work independently and be proficient at multi-tasking</li><li>The individual will have demonstrated sound business judgment by developing and implementing compliance solutions that are effective and aligned with regulatory expectations and business needs and realities</li></ul>About Focus Partners Wealth Focus Partners Wealth is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships. Through a comprehensive range of services, we work with clients at every stage, helping them control their financial future - whether that's planning for retirement, preparing the next generation, or growing their business. We are dedicated to fostering meaningful growth for our clients. Our team of advisors works collectively to deliver personalized wealth planning strategies across local communities, placing our clients' values, goals, motivations, and priorities at the heart of everything we do. Focus Partners Wealth is a registered investment advisor with the Securities and Exchange Commission. Registration does not imply any level of skill or training. Additional information about Focus Partners Wealth is also available on the SEC's website at <a href="http://www.advisorinfo.sec.gov" target="_blank">www.advisorinfo.sec.gov</a>. *This role is Non-Exempt The annualized base pay range for this role is expected to be between $60,000 - $65,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed and the applicant's skill set. The base pay is just one component of the total compensation package for employees. #LI-DL1

Compliance Analyst

At YETI, we believe that time spent outdoors matters more than ever and our gear can make that time extraordinary. When you work here, you'll have the opportunity to create exceptional, meaningful work and problem solve with innovative team members by your side. Together, you'll help our customers get the high-quality gear they need to make the most of their adventures. We are BUILT FOR THE WILD™. The Compliance Analyst, part of the Legal team, will assist with various compliance related activities, with a focus on Environmental, Social, and Governance ( ESG) discipline, but also provide support to the Ethics &amp; Compliance and Privacy teams. The primary responsibility of the analyst will include the development, analysis, and communication of ESG data and reporting. This role ensures compliance with ESG disclosure requirements, monitors industry trends, and works cross-functionally to enhance the company's sustainability efforts. The ideal candidate has not only strong analytical skills, attention to detail, and experience in ESG reporting frameworks and standards, but also open to learning about the Ethics &amp; Compliance and Privacy disciplines. Responsibilities: ESG: <ul><li>Serve as the organization's primary lead in ESG data collection efforts, leading data-focused projects, ensuring data integrity, and interfacing across various functions.</li><li>The role is highly collaborative, working with our various teams to collect relevant ESG data, maintain data storage, gather, organize, and interpret relevant statistical information.</li><li>Manage all aspects of the ESG data collection process, reporting requirements, and report preparation, which involves setting deadlines, assigning responsibilities, and monitoring, expediting, summarizing, and communicating progress at regular intervals to ensure the organization meets its annual ESG reporting deadlines.</li><li>Monitor regulatory developments and the evolving ESG reporting requirements to ensure company compliance.</li><li>Partner with internal stakeholders, including sustainability, finance, talent, investor relations, and compliance teams, to review processes and controls and ensure accurate ESG disclosures.</li><li>Support the development of ESG metrics, performance tracking, and benchmarking initiatives.</li><li>Conduct peer benchmarking and competitive analysis to identify emerging ESG trends and best practices.</li><li>Maintaining ESG ratings and rankings, ensuring accurate and timely submissions to rating agencies (e.g., MSCI, CDP, Sustainalytics, ISS ESG).</li><li>Participate in audits, assurance processes, and third-party verifications related to ESG reporting.</li><li>Provide insights and recommendations based on ESG data analysis to enhance corporate sustainability strategies.</li><li>Recommend and support implementation of data solutions for evolving external reporting needs, including regulatory requirements.</li></ul>Ethics &amp; Compliance/Privacy: <ul><li>Provide support to the E&amp;C team on due diligence matters, including assisting in the performance of compliance review of third-party business partners and screening for sanctions.</li><li>Assist with technology compliance activities including the performance of privacy assessments and processing of data privacy requests.</li><li>Others tasks, as assigned.</li></ul>Qualifications &amp; Attributes: <ul><li>Bachelor's degree in Sustainability, Environmental Science, Business, Finance, or a related field.</li><li>2-4 years of relevant experience in ESG reporting, sustainability, corporate social responsibility (CSR), or related areas.</li><li>Knowledge of ESG frameworks and reporting standards (e.g., GRI, SASB, TCFD, CDP, IFRS Sustainability Standards).</li><li>Strong analytical and data management skills.</li><li>Proficiency in Microsoft Excel, PowerPoint, and data visualization tools.</li><li>Understanding financial reporting and regulatory disclosure requirements related to ESG is a plus.</li><li>Experience with ESG ratings, assurance processes, and investor reporting preferred.</li><li>Excellent written and verbal communication skills with attention to detail.</li><li>Ability to manage multiple projects and collaborate effectively cross-functionally</li><li>Familiarity with AuditBoard a plus.</li></ul>Benefits &amp; Perks: Click here to learn about the benefits and perks we offer at YETI. YETI is proud to be an Equal Opportunity Employer. Our commitment to creating a diverse, equitable, and inclusive culture is at the center of everything we do for our employees. We embrace all applicants looking to bring their authentic selves to YETI and contribute to our mission of keeping the wild WILD. Find out more about our commitment to DE&amp;I at yeti.com/esg.html. All applicants for employment will be considered without regard to an individual's race, color, sex, gender identity, gender expression, religion, age, national origin or ancestry, citizenship, physical or mental disability, medical condition, family care status, marital status, sexual orientation, genetic information, military or veteran status, or any other basis protected by federal, state or local laws. YETI Applicant Privacy Notice If you require accommodation in order to apply for a job, please contact us at <a href="mailto:accommodationrequest@yeti.com" target="_blank">accommodationrequest@yeti.com</a>.

Corporate Responsibility & Compliance Analyst

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com Canadian Imperial Holdings, Inc. seeks a Sr. Analyst, Enterprise Risk Management to develop, maintain, and enhance risk management related tools and applications. Analyze and recommend system changes to improve efficiency and accuracy of risk reports. Define and document requirements through user interviews, use case assessment, and analysis of key risk indicators. Optimize availability and aggregation of risk data through data management, data architecture and innovative design and development of new data platforms. Analyze large data sets to identify trends and assist management with data-driven decisions. Develop test plans and support testing effort to improve and automate processes. #LI-DNI Position requires a Master's degree in Computer Science, Engineering, Information Systems, or a related STEM field, and 1 year of experience with continuous improvement and automation of existing processes using Robotic Process Automation (RPA) tools, including Power Automate, Automation Anywhere, and UiPath. Experience must include a minimum of: 1 year of experience with application development using Dataverse and SharePoint; 1 year of experience developing user acceptance test criteria; 1 year of experience with visualization tools, including Power BI and Tableau, and 1 year of experience with programming tools, including HTML, Java, JavaScript, XML, and SQL; and 1 year of experience working in banking industry or financial risk management. Telecommuting benefit available. Job location: New York, NY. Rate of Pay: $123,656.00 - $164,300.00 per year. To apply, please visit <a href="https://www.cibc.com/en/about-cibc/careers.html" target="_blank">https://www.cibc.com/en/about-cibc/careers.html</a> and enter Job Requisition ID2510495 Sr. Analyst, Enterprise Risk Management when prompted. Alternatively, please send your resume, cover letter, and a copy of the ad to: CIBC, Attn.: H. Lazzaro, 300 Madison Avenue, New York, NY 10017. At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $123,656.00 - $164,300.00 for the market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which may also include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee's needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays and 401(k), in addition to other special perks reserved for our team members. What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. <ul><li>We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.</li><li>Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.</li><li>We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.</li></ul>*Subject to plan and program terms and conditions What you need to know <ul><li>CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact <a href="mailto:Mailbox.careers-carrieres@cibc.com" target="_blank">Mailbox.careers-carrieres@cibc.com</a></li><li>You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.</li><li>We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.</li></ul>Job Location NY-300 Madison Ave., 6th Floor Employment Type Regular Weekly Hours 40 Skills Analytical Thinking, Business Requirements, Communication, Data Integration, Data Quality, Deliverables Management, Prioritization, Quality Improvement, Risk Analytics, Test Planning

Sr. Analyst, Enterprise Risk Management

Job Type Full-time Description Compliance Program Manager (Lending) Denver, CO location Hybrid options available. MUST HAVE: Lending experience MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB Salary: 110-135k and is dependent on knowledge, skills, abilities, experience, and location. Colorado office locations available. Sunflower Bank, N.A. is looking for a highly motivated individual to fill the position of a full-time Compliance Program Manager in Denver, CO. In support of the Bank's overall compliance management systems (CMS), the Compliance Program Manager engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations. Primary Responsibilities <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance programs, policies, practices, and reporting commensurate with the size and complexity of the Bank, and in support of the Bank's strategy and risk appetite.</li><li>Collaborating across the three lines of defense to support a culture of risk awareness, identification, measurement, reporting and management of enterprise-wide Compliance related opportunities and risks.</li><li>Supporting a culture of continuous improvement to enhance the enterprise-wide compliance risk management program framework that incorporates risk assessment, control design, training, testing, and reporting of compliance matters.</li><li>Serving as subject matter expert on compliance related topics by maintaining industry insights and timely review of related industry alerts and environment to help determine applicability and risk to the organization.</li><li>Partnering with the various lines of business, staff areas, and production groups on maintaining an active and effective CMS and to address compliance issues which may impact the supported business lines.</li><li>Evaluating compliance with various regulations through testing, controls review, and other methods.</li><li>Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.</li><li>Perform the job in accordance with applicable industry laws and regulations as well as the policies and procedures established by the company.</li><li>Responsible for upholding Fair and Responsible Banking practices and Code of Ethics and Conduct guidelines.</li><li>Understand and participate in the Bank's Community Reinvestment Act program.</li><li>Perform other duties as assigned.</li></ul>Education / Experience <ul><li>Bachelor's degree or international equivalent (preferably in business, economics, finance, or management).</li><li>Ideally 7+ years of compliance experience in a banking institution, regulatory agency, or major consulting company with a particular focus on consumer compliance laws/regulations and industry rules that govern lending and loan servicing.</li><li>Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.</li><li>Successful experience of leadership, both in terms of people as well as projects and initiatives.</li><li>Experience with prevalent industry lending and loan servicing platforms and services.</li><li>Compliance based professional certification preferred.</li></ul>Sunflower Bank Benefits <ul><li>Employees enjoy outstanding benefits, including:</li><li>401(k) Plan with 6% Match</li><li>Health/Dental/Vision Insurance</li><li>Company-paid Life Insurance</li><li>Tuition Reimbursement</li><li>Fitness Reimbursement</li><li>Paid Time Off</li><li>Volunteer Leave</li><li>Paid Holidays</li><li>Plus many more employee perks &amp; incentives!</li></ul>People choose to "bank" with us, but for those we serve, we're more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team. If you qualify, apply online at <a href="http://www.sunflowerbank.com/careers" target="_blank">www.sunflowerbank.com/careers</a>. You've never worked anyplace like Sunflower Bank! EOE/AA: Minorities/Females/Disabled/Vets Open until filled; early application encouraged. This vacancy announcement may be used to fill similar positions within 90 days. If you are a California resident, you may be entitled to certain rights regarding your personal information, which is information that identifies, relates to, or could reasonably be linked with a particular California resident or household. Additional information about our data collection practices and location specific notices is available on our privacy policy. Compliance Program Manager (Lending) Denver, CO location Hybrid options available. MUST HAVE: Lending experience MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB

Compliance Program Manager (Lending)

Job Type Full-time Description Compliance Program Manager (Lending) Dallas, TX or Plano, TX location Hybrid options available. MUST HAVE: Lending experience MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB Sunflower Bank, N.A. is looking for a highly motivated individual to fill the position of a full-time Compliance Program Manager (Lending). In support of the Bank's overall compliance management systems (CMS), the Compliance Program Manager engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations. Primary Responsibilities <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance programs, policies, practices, and reporting commensurate with the size and complexity of the Bank, and in support of the Bank's strategy and risk appetite.</li><li>Collaborating across the three lines of defense to support a culture of risk awareness, identification, measurement, reporting and management of enterprise-wide Compliance related opportunities and risks.</li><li>Supporting a culture of continuous improvement to enhance the enterprise-wide compliance risk management program framework that incorporates risk assessment, control design, training, testing, and reporting of compliance matters.</li><li>Serving as subject matter expert on compliance related topics by maintaining industry insights and timely review of related industry alerts and environment to help determine applicability and risk to the organization.</li><li>Partnering with the various lines of business, staff areas, and production groups on maintaining an active and effective CMS and to address compliance issues which may impact the supported business lines.</li><li>Evaluating compliance with various regulations through testing, controls review, and other methods.</li><li>Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.</li><li>Perform the job in accordance with applicable industry laws and regulations as well as the policies and procedures established by the company.</li><li>Responsible for upholding Fair and Responsible Banking practices and Code of Ethics and Conduct guidelines.</li><li>Understand and participate in the Bank's Community Reinvestment Act program.</li><li>Perform other duties as assigned.</li></ul>Education / Experience <ul><li>Bachelor's degree or international equivalent (preferably in business, economics, finance, or management).</li><li>Ideally 7+ years of compliance experience in a banking institution, regulatory agency, or major consulting company with a particular focus on consumer compliance laws/regulations and industry rules that govern lending and loan servicing.</li><li>Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.</li><li>Successful experience of leadership, both in terms of people as well as projects and initiatives.</li><li>Experience with prevalent industry lending and loan servicing platforms and services.</li><li>Compliance based professional certification preferred.</li></ul>Sunflower Bank Benefits Employees enjoy outstanding benefits, including: 401(k) Plan with 6% Match Health/Dental/Vision Insurance Company-paid Life Insurance Tuition Reimbursement Fitness Reimbursement Paid Time Off Volunteer Leave Paid Holidays Plus many more employee perks &amp; incentives! People choose to "bank" with us, but for those we serve, we're more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team. If you qualify, apply online at <a href="http://www.sunflowerbank.com/careers" target="_blank">www.sunflowerbank.com/careers</a>. You've never worked anyplace like Sunflower Bank! EOE/AA: Minorities/Females/Disabled/Vets Open until filled; early application encouraged. This vacancy announcement may be used to fill similar positions within 90 days. If you are a California resident, you may be entitled to certain rights regarding your personal information, which is information that identifies, relates to, or could reasonably be linked with a particular California resident or household. Additional information about our data collection practices and location specific notices is available on our privacy policy. Compliance Program Manager (Lending) Dallas, TX or Plano, TX location Hybrid options available. MUST HAVE: Lending experience MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $200,000 - $280,000 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: Compliance Job Description: Depth &amp; Scope: • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required • Supports the development, maintenance and continuous enhancement of programs designed to provide effective, independent regulatory compliance risk management and oversight of business line(s) supported • Manages regulatory change and provide trusted and reliable reporting, advice and opinion to senior leadership and the Boards on the state of regulatory compliance risks, controls and outcomes • Work closely with business leaders to develop and operationalize the business plan and deliver on Compliance programs across the bank, additionally provides oversight on risk assessment process • Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered • Acts as a Compliance executive lead on various projects, overseeing and/or coordinating a diverse group of compliance professionals, project managers, analysts, business and corporate function specialists, risk and control partners, and other stakeholders • Coordinates with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance • Aids in development and enhances a scalable compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk appetite and growth of the Bank and its relevant subsidiaries • Provides seasoned advice and counsel for executive business partners as they pertain to compliance for new business initiatives and compliance issue resolution • Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of assigned LOBs • Oversees the development of internal processes to identify and manage compliance risks • Manages the review of trend analyses of RIMS, Implementation, and self-monitoring reports for assigned teams to ensure department standards are met • Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations • Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations Education &amp; Experience: • Bachelor's degree or progressive work experience in addition to experience below • 10 years related experience required, including demonstrated experience and knowledge of laws and regulations pertaining to U.S Small Business and Commercial Banking. • Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk management experience a plus • Extensive Operational knowledge as pertains to implementation of regulatory requirements in relation to U.S Small Business and Commercial Banking. • In-depth knowledge of financial services regulatory industry practices • Strong management experience leading regulatory compliance activities • Strong Management skills in the development and mentoring of employees • Experience establishing and implementing effective regulatory strategies, policies and plans that support ongoing Company business • Strong management, organizational and evaluative process skills. Ability to analyze complex organizational and process issues to isolate regulatory risk exposure. • Demonstrated ability to develop and maintain productive business relationships with internal partners and external regulators • Solid understanding of technology's role in the business and compliance controls • Effective negotiation and influencing skills • Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions • Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams • Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Head of Compliance, Commercial and Small Business Banking

Job Type Full-time Description Compliance Program Manager (Lending) Overland Park, KS or other Sunflower KS office locations available. Hybrid options available. MUST HAVE: Lending experience MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB Sunflower Bank, N.A. is looking for a highly motivated individual to fill the position of a full-time Compliance Program Manager at our Overland Park, KS location. In support of the Bank's overall compliance management systems (CMS), the Compliance Program Manager engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations. Primary Responsibilities <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance programs, policies, practices, and reporting commensurate with the size and complexity of the Bank, and in support of the Bank's strategy and risk appetite.</li><li>Collaborating across the three lines of defense to support a culture of risk awareness, identification, measurement, reporting and management of enterprise-wide Compliance related opportunities and risks.</li><li>Supporting a culture of continuous improvement to enhance the enterprise-wide compliance risk management program framework that incorporates risk assessment, control design, training, testing, and reporting of compliance matters.</li><li>Serving as subject matter expert on compliance related topics by maintaining industry insights and timely review of related industry alerts and environment to help determine applicability and risk to the organization.</li><li>Partnering with the various lines of business, staff areas, and production groups on maintaining an active and effective CMS and to address compliance issues which may impact the supported business lines.</li><li>Evaluating compliance with various regulations through testing, controls review, and other methods.</li><li>Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.</li><li>Perform the job in accordance with applicable industry laws and regulations as well as the policies and procedures established by the company.</li><li>Responsible for upholding Fair and Responsible Banking practices and Code of Ethics and Conduct guidelines.</li><li>Understand and participate in the Bank's Community Reinvestment Act program.</li><li>Perform other duties as assigned.</li></ul>Education / Experience <ul><li>Bachelor's degree or international equivalent (preferably in business, economics, finance, or management).</li><li>Ideally 7+ years of compliance experience in a banking institution, regulatory agency, or major consulting company with a particular focus on consumer compliance laws/regulations and industry rules that govern lending and loan servicing.</li><li>Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.</li><li>Successful experience of leadership, both in terms of people as well as projects and initiatives.</li><li>Experience with prevalent industry lending and loan servicing platforms and services.</li><li>Compliance based professional certification preferred.</li></ul>Sunflower Bank Benefits Employees enjoy outstanding benefits, including: 401(k) Plan with 6% Match Health/Dental/Vision Insurance Company-paid Life Insurance Tuition Reimbursement Fitness Reimbursement Paid Time Off Volunteer Leave Paid Holidays Plus many more employee perks &amp; incentives! People choose to "bank" with us, but for those we serve, we're more than a bank. We strive to be the financial backbone of their lives and we know that starts with our team. If you qualify, apply online at <a href="http://www.sunflowerbank.com/careers" target="_blank">www.sunflowerbank.com/careers</a>. You've never worked anyplace like Sunflower Bank! EOE/AA: Minorities/Females/Disabled/Vets Open until filled; early application encouraged. This vacancy announcement may be used to fill similar positions within 90 days. If you are a California resident, you may be entitled to certain rights regarding your personal information, which is information that identifies, relates to, or could reasonably be linked with a particular California resident or household. Additional information about our data collection practices and location specific notices is available on our privacy policy. Compliance Program Manager (Lending) Overland Park, KS or other Sunflower KS office locations available. Hybrid options available. MUST HAVE: Lending experience MUST HAVE: Mid to Large banking environment experience MUST HAVE: Prior Change management experience and history of partnering with multiple lines of business MUST HAVE: Experience with OCC and CFPB

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $200,000 - $280,000 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: Compliance Job Description: Depth &amp; Scope: • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required • Supports the development, maintenance and continuous enhancement of programs designed to provide effective, independent regulatory compliance risk management and oversight of business line(s) supported • Manages regulatory change and provide trusted and reliable reporting, advice and opinion to senior leadership and the Boards on the state of regulatory compliance risks, controls and outcomes • Work closely with business leaders to develop and operationalize the business plan and deliver on Compliance programs across the bank, additionally provides oversight on risk assessment process • Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered • Acts as a Compliance executive lead on various projects, overseeing and/or coordinating a diverse group of compliance professionals, project managers, analysts, business and corporate function specialists, risk and control partners, and other stakeholders • Coordinates with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance • Aids in development and enhances a scalable compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk appetite and growth of the Bank and its relevant subsidiaries • Provides seasoned advice and counsel for executive business partners as they pertain to compliance for new business initiatives and compliance issue resolution • Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of assigned LOBs • Oversees the development of internal processes to identify and manage compliance risks • Manages the review of trend analyses of RIMS, Implementation, and self-monitoring reports for assigned teams to ensure department standards are met • Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations • Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations Education &amp; Experience: • Bachelor's degree or progressive work experience in addition to experience below • 10 years related experience required, with prior compliance experience in overseeing technology platforms, systems, marketing content, and digital channels. • Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk management experience a plus • Strong understanding and demonstrated experience of technology's role in the business and compliance controls • • Extensive Operational knowledge as pertains to implementation of regulatory requirements • In-depth knowledge of financial services regulatory industry practices • Strong management experience leading regulatory compliance activities • Strong Management skills in the development and mentoring of employees • Experience establishing and implementing effective regulatory strategies, policies and plans that support ongoing Company business • Strong management, organizational and evaluative process skills. Ability to analyze complex organizational and process issues to isolate regulatory risk exposure. • Demonstrated ability to develop and maintain productive business relationships with internal partners and external regulators • Effective negotiation and influencing skills • Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions • Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams • Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Head of Compliance, Platforms & Technology, Digital and Marketing

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $200,000 - $280,000 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: Compliance Job Description: Depth &amp; Scope: <ul><li>Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required</li><li>Supports the development, maintenance and continuous enhancement of programs designed to provide effective, independent regulatory compliance risk management and oversight of business line(s) supported</li><li>Manages regulatory change and provide trusted and reliable reporting, advice and opinion to senior leadership and the Boards on the state of regulatory compliance risks, controls and outcomes</li><li>Works closely with business leaders to develop and operationalize the business plan and deliver on Compliance programs across the bank, additionally provides oversight on risk assessment process</li><li>Grows team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually looks for ways to provide and enhance the value delivered</li><li>Acts as a Compliance executive lead on various projects, overseeing and/or coordinating a diverse group of compliance professionals, project managers, analysts, business and corporate function specialists, risk and control partners, and other stakeholders</li><li>Coordinates with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance</li><li>Aids in development and enhances a scalable compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk appetite and growth of the Bank and its relevant subsidiaries</li><li>Provides seasoned advice and counsel for executive business partners as they pertain to compliance for new business initiatives and compliance issue resolution</li><li>Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of assigned LOBs</li><li>Oversees the development of internal processes to identify and manage compliance risks</li><li>Manages the review of trend analyses of RIMS, Implementation, and self-monitoring reports for assigned teams to ensure department standards are met</li><li>Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations</li><li>Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations</li></ul>Education &amp; Experience: <ul><li>Bachelor's degree or progressive work experience in addition to experience below</li><li>10 years related experience required with specific compliance experience in overseeing consumer mortgages and other secured lending across consumer banking lines of business.</li><li>Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk management experience a plus</li><li>Extensive Operational knowledge as pertains to implementation of regulatory requirements</li><li>In-depth knowledge of financial services regulatory industry practices</li><li>Strong management experience leading regulatory compliance activities</li><li>Strong Management skills in the development and mentoring of employees</li><li>Experience establishing and implementing effective regulatory strategies, policies and plans that support ongoing Company business</li><li>Strong management, organizational and evaluative process skills. Ability to analyze complex organizational and process issues to isolate regulatory risk exposure.</li><li>Demonstrated ability to develop and maintain productive business relationships with internal partners and external regulators</li><li>Solid understanding of technology's role in the business and compliance controls</li><li>Effective negotiation and influencing skills</li><li>Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions</li><li>Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams</li><li>Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels</li></ul>Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Head of Compliance, RESL

Closing date: 23:59 on 2 nd June Right to work: By reference to the applicable SOC code for this role, sponsorship may be possible under the Skilled Worker Route. Applicants wishing to consider the SWR must ensure that they are able to meet the points requirement before applying. There is further information about this on the UK Visas and Immigration Website . The University of Reading is seeking to appoint a Student Immigration Compliance Manager based within the Student Experience and Education Directorate. The successful applicant will lead the Student Immigration Compliance work within the University. This role is part of the International Student Advisory team which in addition to Home Office Compliance, contains team members who supports our international students with visa and immigration advice and on wider International Student Experience areas, supporting and celebrating our International Student community. Supporting students to make the most of their time in the UK whilst studying. Further providing advice and support to wider University colleagues to enable them to support International Students The Student Immigration Compliance Manager plays a crucial role within the University, directly impacting the successful recruitment and retention of international students through effective compliance processes and procedures. You will have: <ul><li> In-depth knowledge of how UKVI Student Sponsor regulations affect university operations and compliance requirements. </li><li> Excellent understanding of Student visa policy, Immigration Rules and Student Sponsor Guidance, and their operational impact within the University (Compliance). </li><li> Collaborative approach to working with others and contributing to team goals. </li><li> Ability to analyse complex immigration policy guidance, regulations to develop clear and effective policies and procedures. </li><li> Strong problem-solving skills to identify potential compliance issues and develop proactive solutions </li></ul>Please see person specification for full criteria. A diverse workforce: We know that we can only achieve our vision of being a world-class, forward-looking, confident, and ambitious university by recruiting, supporting, and developing staff from the widest variety of backgrounds. We have a proud history of diversity and inclusion and are working actively on several key initiatives to continue this: <a href="https://www.reading.ac.uk/diversity/" target="_blank">https://www.reading.ac.uk/diversity/</a> . Benefits to working with us Hybrid working arrangements: Located at our Green Flag award winning Whiteknights campus in Reading, we work in a friendly open plan office. We support hybrid working after initial training. New staff are expected to be on campus full time for a minimum of six weeks when starting in post. After which, once agreed, staff can work from home up to two days a week if they wish depending on business needs and time of year. Annual leave allowance: We offer a generous entitlement of 26 days in addition to 6 public holidays and additional closure days around Christmas and Easter time each year where staff are not required to work. Pension and Pay: Members of staff have the opportunity to join a pension scheme which is funded by contributions made by both employees and the University. Employees on grade 6 and above can join USS (the Universities Superannuation Scheme). USS is a hybrid scheme with benefits built up on both a defined benefit and a defined contribution basis (if pay exceeds a certain level). There are 9 pay scale points within Grade 6 starting at £34,980 up to £44,263. The expectation is staff new to the role will start at the lowest end of the scale giving opportunity for pay progression each year based on satisfactory performance. Please see the attached web links for information on the benefits of working at the University of Reading and about the University of Reading at a Glance . Interviews will be held: Wednesday 18 th June (TBC) Contact Details: Contact Name: Katie Robertson Contact Job Title: Director of Student Engagement, Transitions &amp; Advice Contact Email address: <a href="mailto:k.m.robertson@reading.ac.uk" target="_blank">k.m.robertson@reading.ac.uk</a> Alternative Contact Name: Amy Rhodes Alternative Contact Job Title: Student Immigration Compliance Manager Alternative Contact Email address: <a href="mailto:a.v.rhodes@reading.ac.uk" target="_blank">a.v.rhodes@reading.ac.uk</a> The University is committed to having a diverse and inclusive workforce, supports the gender equality Athena SWAN Charter and the Race Equality Charter, and champions LGBT+ equality. We are a Disability Confident Employer (Level 2). Applications for job-share, part-time and flexible working arrangements are welcomed and will be considered in line with business needs.

Student Immigration Compliance Manager

About HappyRobot HappyRobot is a platform to build and deploy AI workers that automate communication. See a demo Our AI workers connect to any system or data source to handle phone calls, email, messages... We target the logistics industry which relies heavily on communication to book, check on, &amp; pay for freight. Primarily working with freight brokers, 3PLs, freight forwarders, shippers, warehouses, &amp; other supply chain enterprises and tech startups. We raised a Series A round from a16z and YC and we're growing very fast, on track to hit double digit ARR by June this year. We're looking for rockstars with a relentless drive, unstoppable energy, and a true passion for building something great-ready to embrace the challenge, push limits, and thrive in a fast-paced, high-intensity environment, working from 9 to 9, six days a week. About The Role We're looking for a skilled Cybersecurity Specialist to lead our security compliance efforts and ensure our systems and processes meet industry standards such as SOC 2, ISO 27001, and other relevant frameworks. You'll work closely with engineering, product, and leadership teams to build a secure foundation as we scale. What You'll Do: <ul><li>Own and manage our SOC 2 certification process - from gap assessments to audits and reporting</li><li>Develop, implement, and maintain security policies, standards, and procedures</li><li>Collaborate with engineering to design secure systems and infrastructure</li><li>Lead security risk assessments, vulnerability management, and incident response plans</li><li>Conduct internal audits and work with external auditors/consultants as needed</li><li>Ensure compliance with industry standards (ISO 27001, NIST, GDPR, etc.)</li><li>Educate and train teams on security best practices and compliance requirements</li><li>Continuously monitor, evaluate, and improve the company's security posture What We're Looking For:</li><li>3-5+ years of experience in cybersecurity, risk management, or compliance</li><li>Strong hands-on experience with SOC 2 audits and certification process</li><li>Familiarity with ISO 27001, NIST, PCI DSS, GDPR, and other compliance frameworks</li><li>Knowledge of cloud security (AWS, GCP, Azure) and secure architecture principles</li><li>Experience conducting security assessments and working with external auditors</li><li>Strong communication skills - able to collaborate across technical and non-technical teams</li><li>Relevant certifications a plus: CISSP, CISA, CISM, CCSP, or similar</li></ul>Why join us? <ul><li>Opportunity to work at a high-growth AI startup, backed by top investors.</li><li>Fast Growth - Backed by a16z and YC, on track for double-digit ARR.</li><li>Ownership &amp; Autonomy - Take full ownership of projects and ship fast.</li><li>Work With the Best - Join a world-class team of engineers and builders.</li></ul>The personal data provided in your application and during the selection process will be processed by Happyrobot, Inc., acting as Data Controller. By sending us your CV, you consent to the processing of your personal data for the purpose of evaluating and selecting you as a candidate for the position. Your personal data will be treated confidentially and will only be used for the recruitment process of the selected job offer. In relation to the period of conservation of your personal data, these will be eliminated after three months of inactivity in compliance with the GDPR and legislation on the protection of personal data. If you wish to exercise your rights of access, rectification, deletion, portability or opposition in relation to your personal data, you can do so through <a href="mailto:security@happyrobot.ai" target="_blank">security@happyrobot.ai</a> subject to the GDPR. For more information, visit <a href="https://www.happyrobot.ai/privacy-policy" target="_blank">https://www.happyrobot.ai/privacy-policy</a> By submitting your request, you confirm that you have read and understood this clause and that you agree to the processing of your personal data as described.

Compliance Specialist

Job Description Grade 5- £34,416 - ££37,536pa The Resident Services Team is responsible for assisting tenants to sustain their tenancies and encourage and facilitate their independence, quality of life, safeguarding and health and well-being on a wide range of issues including housing, welfare rights, personal finance, hoarding, tenancy management, mediation, life skills and the promotion of personal independence. To provide a high quality housing management compliance service which deals with fire risk assessments, clutter, unauthorised items left in communal areas and storage areas (including utility and other in-take cupboards), within Havering Council's social housing stock. To be an advocate and champion for the borough. <ul> <li>Support people to sustain their homes and quality of life.</li> <li>Provide advice and support on a wide range of issues including, hoarding, storage areas within the stock, and mobility scooters storage.</li> <li> To act as the principle point of contact for the service so that the environment and condition that residents experience on estates is high quality and well maintained.</li> <li>Develop strong links with other council departments to provide solutions such as; access, eliminating fire risks, dealing with hoarding, and supporting vulnerability residents to enable the Council to maintain properties in good order and to protect residents. Where relevant take action in line with the tenancy terms, leases or other legal remedies.</li> <li> To respond as directed to Members Enquires, service requests, demands, and complaints.</li> <li>To work as required or directed with the Police, London Fire Brigade, other statutory partners, council services, external partners and other enforcement agencies to prevent, tackle, or resolve, anti-social behaviour, nuisance, environmental issues.</li> <li>To enforce other similar breaches as deemed necessary.</li></ul>You must have a full UK manual driving license . Please view Job Profile here For an informal discussion about the post, please contact <a href="mailto:Mark.Connor@havering.gov.uk" target="_blank">Mark.Connor@havering.gov.uk</a> The closing date for the receipt of applications is 8th May 2025, however interest in this job may be high and we therefore reserve the right to close the vacancy early. You will be notified if your application has been successful. Interview date to be confirmed. Should you require any help or advice with your online application, please contact the Recruitment Helpdesk on 01708 432770 Additional Information We want everyone to choose Havering. When you apply for a job with us, your application is considered on its merits regardless of your age, disability, ethnicity, faith, gender identity or sexual orientation. Our residents and service users come from all walks of life, and so do our employees. Find out what it means to Choose Havering. The London Borough of Havering has important responsibilities for safeguarding and promoting the welfare of children, young people and vulnerable adults. If you are appointed to a job that involves working with these groups, you may be subject to a Disclosure and Barring Service (DBS) check. Please attach your supporting statement, explaining in no more than x2 A4 sides why and how you meet the criteria for this role. We practice anonymised recruitment. Please ensure that you remove all personal information from any documents that you upload. About Us With its excellent transport links into central London, extensive town centre regeneration and the highest concentration of green space anywhere in London, Havering has a unique offer as a place to live, work and visit. By making the most of its position and opportunities, Havering is becoming a hub for start-ups and expanding businesses, as well as construction, logistics, engineering and manufacturing industries. Find out why you should work for Havering Council.

Compliance Officer (Resident Services)

ABOUT US Since 2020, Pliant has been on a mission to rethink credit cards and empower companies to grow by providing a smart way to pay that scale with their business. With our app and API-based solutions, Pliant allows companies to issue physical and virtual credit cards, automate payment processes, track spending, and seamlessly integrate these data into their finance stack. Pliant is growing quickly. With our expansion into 30 international markets, we believe that people, passion, and diversity are the key ingredients to our future success. Our growing team of 160+ Plianteers come from 35 nationalities and work remotely or in a hybrid environment from our headquarters in the heart of Berlin. And we're looking for more talented and committed people to join us on our journey! ABOUT THE ROLE As a (Senior) Credit Risk Manager - SME (m/f/d) you will be responsible for the underwriting credit risk exposures to our European and UK SME clients. In addition to case processing, you will support us in continuously improving our underwriting standards and systems. You will work closely with our Lead Risk Strategist - SME to support the development and optimisation of automated credit decisioning strategies and policy frameworks as well as our colleagues from the Sales, Legal, Operations, Product and Risk teams. This role will be based in the UK (hybrid) with some travel from time to time to our Headquarters in Berlin. WHAT YOU'LL DO <ul><li>Due diligence: Assess who our customers are, how and with whom they operate their business model, what their public and financial profiles are.</li><li>Underwriting: Analyze business and financial information of our customers (e.g., credit agency reports, financial statements, bank account statements), write up the key risks and mitigants and conclude. </li><li>Credit decision: Decide on limit requests of our customers within your delegated authority. You understand how credit decisions impact business performance and contribute towards company goals.</li><li>Process optimisation: You support the automation of underwriting processes by helping identify recurring patterns in customer behaviour and translating them into structured rules and decision logic.</li><li>Innovation: You get to the heart of operational workflows, understand how to systematize, and continuously improve them together with your colleagues.</li><li>Documentation: You draft and maintain clear documentation on credit decisions and processes. Your work supports audits and team alignment by ensuring that risk procedures are transparent, and well-communicated.</li><li>Communication: You are a facilitator and ensure a smooth and fact-based information flow between your colleagues. In doing so, you support the development of a culture of open dialogue, which is focused on mutual respect and the joint achievement of excellent results.</li></ul>WHAT YOU'LL BRING <ul><li>3-6 years of operational experience in risk assessment for MSME customers from a bank or fintech.</li><li>Strong knowledge of open banking data, financial accounting and analysis.</li><li>Direct experience with UK SME credit underwriting, including familiarity with fraud detection techniques and red flags in lending, including use of transaction data or pattern-based analysis.</li><li>Analytical thinking, detail orientation and ability to quickly understand new problems and systems and work out solutions. </li><li>Experience with IT systems used for loan processing and credit decisioning.</li><li>Determination and desire to work in a team to achieve high-quality results for our customers, even under stress.</li><li>Fluent English with very good writing skills. Other European languages are a plus.</li></ul>WHAT WE OFFER <ul><li>The opportunity to work in a growing team with big responsibilities that thrives on a strong exchange of knowledge and excellence </li><li>Attractive remuneration</li><li>Flat hierarchy and transparent communication in a relaxed, professional atmosphere</li><li>Opportunity to develop your talent in a dynamic team with ambitious goals</li><li>Flexibility and possibility to work remotely</li><li>Company card with a monthly allowance for lunches, coffee, etc. with co-workers</li></ul>

(Senior) Credit Risk Manager - SME (m/f/d)

About us Over the last 18 years, we have helped over a million satisfied customers move and manage their money. Our award-winning product portfolio allows our customers to make low-cost multi-currency payments across various payment products. From travel money to transfers, currency hedging, to expense management, we are focused on a single goal of making it easy for our customers to manage and move their money. As a business, we are committed to delivering value to our customers through the combination of advanced payments technology and personal expert service. We're doing this by hiring exceptional people and are now looking for a Regulatory Compliance Manager to join our team. Within our offices in London, Chester, Los Angeles and Europe, Equals comprises of three business lines and brands - Equals Money, FairFX and CardOneMoney. You will join a very close-knit, talented and supportive team from various backgrounds who believe that bringing different perspectives together helps us understand our customers' needs. United, by one thing, making money management straightforward and cost-effective for our customers. About the Role You are a regulatory compliance subject specialist and able to take responsibility for executing regulatory processes and monitoring compliance tasks to a high standard. You can spot opportunities for strengthening processes and controls and strive to implement and build systems and processes that support a strong compliance culture. You're able to influence stakeholders to promote the compliance agenda and can motivate and inspire team members to perform to a high standard. You will support the Senior Regulatory Compliance Managers and the Head of Regulatory Compliance in the day-to-day execution of the compliance road map and own specific technical areas relevant to your experience. As a regulatory compliance professional, you will follow new developments and trends in the regulatory landscape impacting payments firms. You will work with business leaders to ensure a robust application of regulatory compliance controls, operating under the second line model of 'advise, train and monitor'. Responsibilities The key responsibilities of the Regulatory Compliance Manager include: • Supporting the Senior Regulatory Compliance Managers and Head of Regulatory Compliance in the day-to-day execution of the compliance roadmap. • Managing specific regulatory change projects as they arise. • Providing independent 2nd line 'review and challenge' to Equals business units, adopting the 'advise, train and monitor' second line model. • Supporting delivery and taking ownership of specific items on the Compliance Roadmap/Strategy, ensuring completion of tasks in line with deadlines and escalating any risks of non-completion. • Providing high quality compliance advice to the business on all regulatory matters relevant to Equals businesses. • Striving for quality in all outputs such as project documentation, reports, proposals and other assets and seeking feedback on these from the Senior Managers or Head of within the Regulatory Compliance team. • Working closely with the other Group Risk and Compliance functions and senior management stakeholders. • Developing training material in relation to policies owned by Compliance. • Keeping up to date with regulatory change matters and supervisory themes. • Seek to complete professional development activities wherever possible by attending forums, webinars and networking events. • Supporting the identification and management of risks of non-compliance with regulatory requirements. • Supporting, escalating and overseeing the identification and resolution of regulatory incidents as well as reporting relevant incidents to regulatory authorities. • Act as a role model for more junior members of the compliance function. • Promoting the adoption of a culture that prioritises good customer and regulatory outcomes in Risk and Compliance across the business. • Liaising with external advisors and assurance providers. • Embody at all times our values of: o Be the customer o Succeed together o Go beyond o Make it happen Essential Skills • Understanding of UK regulatory frameworks, including the Payment Services 2017 (PSRs), Electronic Money Regulations (EMRs), AML/CTF requirements and GDPR an advantage. • Experience drafting and implementing compliance policies and procedures. • Strong analytical and problem-solving skills. • Excellent communication skills across all levels of stakeholders. • Ability to promote the compliance agenda and foster a robust compliance culture across the business. • Familiarity with working in a 3LOD model an advantage. • Meticulous attention to detail and organisational capabilities. • Relevant certifications (e.g. ICA, CAMS or similar compliance certifications) an advantage. • Minimum of 3 years' experience in regulatory compliance within financial services, preferably in the payment services sector. • Demonstrated track record in working with regulatory bodies such as the FCA, HMRC is an advantage. Benefits <ul><li>A competitive salary benchmarked against a peer group.</li><li>25 days holiday per year + your birthday off.</li><li>Opportunities for progression, development and learning new skills - £250 towards the cost of learning &amp; development.</li><li>Free onsite Nuffield Health gym &amp; pool (London) and discounted gym membership elsewhere.</li><li>GetActive with Aviva - Health and Wellbeing discounts on services and products.</li><li>Interbank currency rates on travel money and international transfers.</li><li>Bupa Private Healthcare.</li><li>Free Eye Test and £50 up to the cost of glasses.</li><li>EAP Service - Mental Health Services.</li><li>Life Assurance Policy - x3 annual salary.</li><li>Contributory pension scheme.</li><li>Cycle to Work Scheme.</li><li>Season Ticket Loans.</li><li>Enhanced Parental Policies.</li><li>Complimentary tea, coffee, soft drinks and fruit.</li><li>We operate a hybrid working arrangement where possible.</li></ul>Working Arrangements Where possible, we offer the opportunity to work flexibly and the opportunity to balance some remote working with time in the office collaborating, taking part in events and developing the social connections that make working with us rewarding. For this senior role a minimum of 2-3 days in the office (London or Chester) will be required, with remote working offered for the remaining working days. Further details of the working arrangements shall be agreed with the Group CCRO. Equals Group strives to create a workplace where we can all be ourselves. We believe in inclusion, equality and the power of diversity, so you'll be encouraged to bring your unique perspectives and experiences, and help us understand what you need to do your best work. No agency support required at this time - thank you.

UK Regulatory Compliance Manager - Equals Group

About us Over the last 18 years, we have helped over a million satisfied customers move and manage their money. Our award-winning product portfolio allows our customers to make low-cost multi-currency payments across various payment products. From travel money to transfers, currency hedging, to expense management, we are focused on a single goal of making it easy for our customers to manage and move their money. As a business, we are committed to delivering value to our customers through the combination of advanced payments technology and personal expert service. We're doing this by hiring exceptional people and are now looking for a Senior Regulatory Compliance Manager to join our team. Within our offices in London, Chester, Los Angeles and Europe, Equals comprises of three business lines and brands - Equals Money, FairFX and CardOneMoney. You will join a very close-knit, talented and supportive team from various backgrounds who believe that bringing different perspectives together helps us understand our customers' needs. United, by one thing, making money management straightforward and cost-effective for our customers. About the Role You are a regulatory compliance subject specialist and able to take responsibility for executing regulatory processes and monitoring compliance tasks to a high standard. You can spot opportunities for strengthening processes and controls and strive to implement and build systems and processes that support a strong compliance culture. You're able to influence stakeholders to promote the compliance agenda and can motivate and inspire team members to perform to a high standard. You will support the Head of Regulatory Compliance in the day-to-day execution of the compliance road map and take the lead on more complex or technically demanding projects. Regulatory change will be a key focus area for you in this role, and as such you will follow new developments and trends in the regulatory landscape impacting payments firms. You will work with senior business leaders to ensure a robust application of regulatory compliance controls, operating under the second line model of 'advise, train and monitor'. Responsibilities The key responsibilities of the Senior Regulatory Compliance Manager include: • Supporting the Head of Regulatory Compliance in the day-to-day execution of the compliance roadmap. • Providing independent 2nd line 'review and challenge' to Equals business units, adopting the 'advise, train and monitor' second line model. • Taking ownership of specific items on the Compliance Roadmap/Strategy, ensuring completion of tasks in line with deadlines and escalating any risks of non-completion. • Providing high quality compliance advice to the business on all regulatory matters relevant to Equals businesses. • Supporting the ongoing development of compliance staff through reviewing documentation, proposals and other assets and providing quality feedback on these. • Supporting regulatory engagement in relevant markets where Equals has or is seeking to establish a presence. • Working closely with the other Group Risk and Compliance functions and senior management stakeholders. • Acting as a role model for more junior members of the compliance function. • Co-ordinating the Group's initial responses to regulatory change matters, and supporting the head to allocate new items to team members. • Developing training material in relation to policies owned by Compliance. • Supporting the delivery of the compliance roadmap, taking ownership of specific activities. • Keeping up to date with regulatory change matters and supervisory themes. • Supporting the identification and management of risks of non-compliance with regulatory requirements. • Supporting, escalating and overseeing the identification and resolution of regulatory incidents as well as reporting relevant incidents to regulatory authorities. • Attending and provide reporting to relevant board/risk committees as required. • Promoting the adoption of a culture that prioritises good customer and regulatory outcomes in Risk and Compliance across the business. • Managing external advisors and assurance providers. • Embody at all times our values of: o Be the customer o Succeed together o Go beyond o Make it happen Essential Skills • In-depth understanding of UK regulatory frameworks, including the Payment Services 2017 (PSRs), Electronic Money Regulations (EMRs), AML/CTF requirements and GDPR. • Experience drafting and implementing compliance policies and procedures. • Strong analytical and problem-solving skills. • Excellent communication skills across all levels of stakeholders. • Ability to promote the compliance agenda and foster a robust compliance culture across the business. • Familiarity with working in a 3LOD model. • Leadership skills to manage and inspire a team. • Meticulous attention to detail and organisational capabilities. • Relevant certifications (e.g. ICA, CAMS or similar compliance certifications) an advantage. • Minimum of 5-7 years' experience in regulatory compliance within financial services, preferably in the payment services sector. • Demonstrated track record in working with regulatory bodies such as the FCA, HMRC. Benefits <ul><li>A competitive salary benchmarked against a peer group.</li><li>25 days holiday per year + your birthday off.</li><li>Opportunities for progression, development and learning new skills - £250 towards the cost of learning &amp; development.</li><li>Free onsite Nuffield Health gym &amp; pool (London) and discounted gym membership elsewhere.</li><li>GetActive with Aviva - Health and Wellbeing discounts on services and products.</li><li>Interbank currency rates on travel money and international transfers.</li><li>Bupa Private Healthcare.</li><li>Free Eye Test and £50 up to the cost of glasses.</li><li>EAP Service - Mental Health Services.</li><li>Life Assurance Policy - x3 annual salary.</li><li>Contributory pension scheme.</li><li>Cycle to Work Scheme.</li><li>Season Ticket Loans.</li><li>Enhanced Parental Policies.</li><li>Complimentary tea, coffee, soft drinks and fruit.</li><li>We operate a hybrid working arrangement where possible.</li></ul>Working Arrangements Where possible, we offer the opportunity to work flexibly and the opportunity to balance some remote working with time in the office collaborating, taking part in events and developing the social connections that make working with us rewarding. For this senior role a minimum of 2-3 days in the office (London or Chester) will be required, with remote working offered for the remaining working days. Further details of the working arrangements shall be agreed with the Group CCRO. Equals Group strives to create a workplace where we can all be ourselves. We believe in inclusion, equality and the power of diversity, so you'll be encouraged to bring your unique perspectives and experiences, and help us understand what you need to do your best work. No agency support required at this time - thank you.

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