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Ref: 41450 Compliance Analyst Location: London (Hybrid) Sector: Insurance - Lloyd's Market Salary: Competitive + Benefits Job Type: Permanent Bruin is delighted to be partnering with a respected Lloyd's Syndicate in the search for a Compliance Analyst to join their growing Compliance Function. This is a fantastic opportunity for an individual with a keen interest in regulatory compliance and governance to join a dynamic and collaborative team supporting both UK and international operations. The Role: Reporting to the Head of Compliance, the Compliance Analyst will play a vital role in ensuring the business adheres to internal policies, industry regulations, and legal requirements. You will support a broad range of compliance activities across regulatory reporting, policy development, risk oversight, due diligence, monitoring, training, and governance. This is a hands-on, varied position offering excellent exposure to the workings of a Lloyd's Managing Agency. Key Responsibilities: <ul><li>Support the regulatory reporting cycle, including tracking, scheduling, and assisting with submission of returns </li><li>Assist in drafting and embedding policies, controls, and frameworks aligned with FCA and Lloyd's requirements </li><li>Conduct and review sanctions screening and due diligence across clients and third parties </li><li>Monitor marine cargo sanctions and support vessel tracking and embargo risk assessments </li><li>Assist with preparation of governance reports, whistleblowing summaries, and combined assurance updates </li><li>Maintain and enhance the firm's Consumer Duty and Conduct Risk frameworks </li><li>Carry out horizon scanning of regulatory developments, escalating key items and assigning actions </li><li>Support the review of complaints, identifying themes and signs of customer vulnerability </li><li>Undertake KYC and third-party risk assessments across suppliers and brokers </li><li>Assist with Terms of Business Agreements (TOBAs) and Lloyd's attestation processes </li><li>Support compliance training, monitoring, induction, and awareness campaigns </li><li>Deliver compliance monitoring activities, supporting underwriter adherence and escalating where needed </li><li>Represent Compliance at relevant committee meetings and act as Deputy Committee Secretary when required </li><li>Mentor and support the development of junior compliance team members</li></ul>About You: <ul><li>Experience in a compliance, governance, or regulatory support role within insurance (Lloyd's/London Market preferred) </li><li>Strong understanding of FCA regulations and an interest in Lloyd's regulatory frameworks </li><li>Excellent attention to detail with the ability to manage competing priorities </li><li>Confident communicator and team player, comfortable working cross-functionally </li><li>Proficient in Microsoft Office, particularly Excel and Planner, and comfortable working with internal systems </li><li>Strong organisational, interpersonal, and problem-solving skills </li><li>Willingness to develop professionally, including pursuing relevant qualifications (e.g. ICA or CII)</li></ul>Why Apply? This role offers the chance to work with a highly experienced Head of Compliance in a respected Lloyd's Syndicate that values governance, collaboration, and professional development. You'll gain well-rounded exposure across compliance functions and play an integral part in shaping a culture of regulatory excellence. ? For more information or to apply, please contact: Tom Shorto VP Consultant - Insurance Underwriting ? <a href="mailto:tom.shorto@bruinfinancial.com" target="_blank">tom.shorto@bruinfinancial.com</a> ? +44 203 145 3359 Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons - men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

Compliance Analyst

Compliance Manager - Professional Services London Overseeing compliance management and operations, including client onboarding, vendor risk, investigations, and training for this professional services firm's London office. Key Responsibilities: <ul> <li>Supervise junior compliance staff</li> <li>Execute efficient and effective client onboarding</li> <li>Provide advice on compliance and regulatory issues</li> <li>Support internal compliance investigations</li> <li>Deliver internal training to promote compliance awareness</li> <li>Vendor risk management, including onboarding of new suppliers</li> <li>Stay informed on regulatory changes, assess business impact, update policies</li> <li>Implement compliance process, system, and control enhancements</li> <li>Lead or support compliance-related projects.</li> </ul> Profile: <ul> <li>4-8 years' of professional experience</li> <li>At least 2 years working in a professional services (audit, legal) firm's internal compliance function.</li> <li>Experience in AML/CTF regulations, CDD, KYC, and onboarding, conflicts of interests checks.</li> <li>Knowledge of risks affecting professional services firms such as vendor risk, data privacy/protection,</li> <li>Experience with databases/portals such as World-Check and Factiva.</li> <li>First class presentation suited to a professional services firm environment.</li> </ul> Apply now to find out more. SLOANE | SHOREY Trusted advisor on specialist hires and leadership appointments across the risk lifecycle. Sloane Shorey Consulting is a boutique recruitment firm advising on specialist hires and leadership appointments across the risk lifecycle-from pre-transaction strategic intelligence, through ongoing risk, compliance, and resilience, to post-event investigations and crisis response. Sloane Shorey is a Ministry of Manpower Licensed Employment Agency: EA License 20S0307

Compliance Manager - Professional Services

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. This position is part of the UK Market Compliance Office (MCO) team which is responsible for supporting the continuing development and maintenance of a comprehensive anti-money laundering compliance program for the UK legal entities of American Express. The role will support the Money Laundering Reporting Officer (MLRO) and MCO senior management with all advisory anti-money laundering (AML) matters within the UK Market. How will you make an impact in this role? <ul><li>Acting as a point of contact for various Amex colleagues to provide advice and guidance on AML related topics for new products and initiatives</li><li>Supporting other Global Risk and Compliance departments in an advisory capacity for the UK Market, for projects such as Anti-money Laundering, Sanctions &amp; Anti-corruption (ASA) Uplift, including KYC Refresh</li><li>Owning UK MCO policy updates, including associated queries and exception requests</li><li>Supporting with the development and maintenance of the MCO owned UK Financial Crime Framework</li><li>Providing operational day to day financial crime advice and guidance to various stakeholders</li><li>Assisting the MLRO and wider UK MCO team with the handling of regulatory matters including responding to regulatory requests, dealing directly with regulatory bodies, and ensuring compliance with key regulatory requirements</li><li>Maintaining knowledge on compliance topics by attending events, seminars and meetings arranged by law firms and professional associations, then delivering updates to the MCO team</li><li>Supporting the wider UK MCO team with on-going monitoring reviews of high-risk UK customers, including Politically Exposed individuals (PEPs) and suspicious activity reports </li></ul>Minimum Qualifications <ul><li>A working knowledge of relevant laws, regulations, and policies relevant to Amex UK legal entities in areas such as Anti-Money Laundering (AML) and Counter Terrorist Financing (CTF) </li><li>Relevant professional working experience/qualifications - Law Degree, ICA Diploma, ACAMS Certification</li><li>Understanding of the UK AML Regime, including ability to interpret AML/CTF requirements e.g., Money Laundering Regulations, JMLSG guidance, Proceeds of Crime Act and the FCA Handbook</li><li>Ability to understand the above-mentioned regulations and guidance and interpret into Internal Amex AML/CTF Policies</li><li>Strong relationship, communication and influencing skills</li><li>An ability to self-manage workload and able to work in a goal-based environment, particularly with the ability to balance efficiency and effectiveness</li><li>Good knowledge of MS Office, particularly Excel.</li></ul>Qualifications We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: <ul><li>Competitive base salaries </li><li>Bonus incentives </li><li>Support for financial-well-being and retirement </li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) </li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need </li><li>Generous paid parental leave policies (depending on your location) </li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) </li><li>Free and confidential counseling support through our Healthy Minds program </li><li>Career development and training opportunities</li></ul>Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

Analyst-Compliance

The Financial Aid Office supports student success by delivering high-quality customer service and ensuring the timely, accurate processing of aid. Serving over 10,000 students-85% of whom receive financial assistance-the office administers more than $40 million annually in aid across UAF's main and branch campuses. The Compliance Specialist plays a key role in ensuring institutional compliance with federal regulations. This position provides direct support to students on and off campus, offers guidance on financial aid matters, and helps maintain the integrity and efficiency of office operations. Success in this position requires a solid understanding of financial aid advising practices, including federal and state regulations, institutional policies, and academic requirements. Proficiency with computerized financial aid systems and the ability to interpret and apply policies consistently is essential. Key attributes include excellent interpersonal and communication skills, a positive attitude, strong initiative, and the ability to contribute effectively to a team environment. Public speaking, conflict resolution, and the ability to maintain confidentiality while working under pressure are critical to performing well in this role. Preferred qualifications include experience with SCT Banner or similar student information systems, financial aid database tools, and reporting functions. Prior work in a college or university setting, along with Direct Loans Certification or NASFAA University training, is also beneficial. Minimum Qualifications: Bachelor degree in relevant field, Financial Aid Credentials and three years relevant experience, or an equivalent combination of training and experience Position Details: This is a full-time, exempt staff position complete with both a competitive salary and full employee benefits package . UA provides a generous compensation package that includes retirement options, annual leave, 12 paid holidays per year, tuition waivers for employees and family members, and affordable medical, dental and vision care coverage. New hires will be placed on the UA Staff Salary Schedule , Grade 79, based on education and experience. Applications will be reviewed on a rolling basis until a successful candidate is identified. Applicant review will being on July 7, 2025. To view the full list of job responsibilities, please click HERE . If you have any questions regarding this position, please contact Brittany Tappa, Signers' Business Office HR Coordinator, at <a href="mailto:bjtappa@alaska.edu" target="_blank">bjtappa@alaska.edu</a> or 907-474-6353. *To be eligible for this position, applicants must be legally authorized to work in the United States without restriction. Applicants who now or may in the future require visa sponsorship to work in the United States are not eligible. The University of Alaska (UA) is responsible for providing reasonable accommodations to individuals with disabilities throughout the applicant screening process. If you need assistance in completing this application or during any phase of the interview process, please contact UA Human Resources by phone at 907-450-8200. The University of Alaska ( <a href="http://www.alaska.edu" target="_blank">www.alaska.edu</a> ) is an Equal Opportunity/Equal Access Employer and Educational Institution. The University is committed to a policy of non-discrimination ( <a href="http://www.alaska.edu/nondiscrimination" target="_blank">www.alaska.edu/nondiscrimination</a> ) against individuals on the basis of any legally protected status. The successful applicant is required to complete a background check. Any offer of employment is contingent on the background check. Your application for employment with the University of Alaska is subject to public disclosure under the Alaska Public Records Act. All employees at the University of Alaska are expected to uphold the highest standards of ethics and professionalism when conducting or engaged in university business. * Each university within the University of Alaska system publishes an Annual Security and Fire Safety Report which contains information regarding campus safety and security including topics such as: campus law enforcement authority; crime reporting policies; campus alerts (Timely Warnings and Emergency Notifications); fire safety policies and procedures; programs to prevent dating violence, domestic violence, sexual assault and stalking; the procedures the University will follow when one of these crimes is reported; and other matters of importance related to security on campus. The report also contains information about crime statistics for the three most recent calendar years concerning reported crimes that occurred on campus; in On-Campus Student Housing Facilities; in Noncampus buildings or property owned or controlled by the University or a recognized student organization; and on public property within, or immediately adjacent to and accessible from, the campus. The report also contains fire statistics for any fires occurring in an On-Campus Student Housing Facility during the three most recent calendar years. Access to the reports is available at: UAA: (Addresses Anchorage campus, Aviation Technology Complex, JBER - Elmendorf Extension, JBER - Richardson Extension, Kenai Peninsula College - Kachemak Bay campus, Kenai Peninsula College - Kenai River campus, Kodiak College, Kodiak High School Extension, Matanuska-Susitna College, Prince William Sound College, and Prince William Sound College - Cordova Extension) Online: <a href="https://www.uaa.alaska.edu/students/safety" target="_blank">https://www.uaa.alaska.edu/students/safety</a> . Request a paper copy in person: UAA Police Department Office at Room 114 of Eugene Short Hall on the Anchorage campus / UAA Dean of Students Office at Room 122 of Rasmuson Hall on the Anchorage campus. Request a paper copy by mail: 907-786-1120 or <a href="mailto:police@uaa.alaska.edu" target="_blank">police@uaa.alaska.edu</a> / 907-786-1214 or <a href="mailto:uaa_deanofstudents@alaska.edu" target="_blank">uaa_deanofstudents@alaska.edu</a> . UAF: (Addresses Fairbanks Campus, Bristol Bay Campus, Chukchi Campus, Community and Technical College, Kasitsna Bay Campus, Seward Marine Center, Tok Campus, Kuskokwim Campus, and Northwest Campus) Online: <a href="https://www.uaf.edu/orca/files/ASFSR.pdf" target="_blank">https://www.uaf.edu/orca/files/ASFSR.pdf</a> . Request a paper copy in person: UAF Office of Rights, Compliance and Accountability on the 3rd Floor of Constitution Hall. Request a paper copy by mail: 907-474-7300 or <a href="mailto:uaf-orca@alaska.edu" target="_blank">uaf-orca@alaska.edu</a> . UAS: (Addresses the Juneau Auke Bay Campus, Juneau Technical Education Center, Sitka Campus, &amp; Ketchikan Campus) Online: <a href="https://uas.alaska.edu/equity-and-compliance/docs/clery/UAS_ASFSR.pdf" target="_blank">https://uas.alaska.edu/equity-and-compliance/docs/clery/UAS_ASFSR.pdf</a> . Request a paper copy in person: Hendrickson Building, Suite 202 on the Juneau campus. Request a paper copy by mail: 907-796-6371 or emailing <a href="mailto:uas.clery@alaska.edu" target="_blank">uas.clery@alaska.edu</a> .

Compliance Specialist - Federal Programs

Join Yazaki. Connect to the future. Country: Belgium (BE) City: Oudsbergen Worksite / Location: Oudsbergen Job Function: Administration Job Discipline: Corp Affairs/Comm Job Family: Corporate Affairs/Communications Founded in 1929, Yazaki is a Japanese full systems supplier of wire harness, electrical, data products and solutions enabling vehicle electrification, connectivity, and autonomy integration. More than 235,000 committed and highly motivated employees in 45 countries make us one of the most successful international automotive suppliers. Join a family-owned company committed to being environmentally friendly in every aspect of its business, contributing to society, and inspiring trust. To strengthen our team, we are looking for a Sr. Enterprise Risk Management Specialist in our plant in ((location)). To strengthen our Corporate Governance department, we are looking for a Sr. Enterprise Risk Management Specialist - EMEA (m/f/d) in our location in Lummen, Belgium. Your responsibilities: <ul> <li>Support on design, implementation, review and improvement of Yazaki Enterprise Management Program on in collaboration with Head of Corporate Governance </li> <li>Design and implementation of related risk controls, processes, policies, and templates based on applicable laws and regulations </li> <li>Regularly perform and maintain risk analysis with relevant stakeholders and report the results</li> <li>Support on design, implementation, review of Yazaki's Business Continuity Management approach to be applied for all functions and management systems (synergize and strategize) as basis for incident and event management for Yazaki EMEA Management Board decision-making</li> <li>Conduct monitoring and analyzing of trends, developments and events; laws and regulations with impact on YAZAKI business environment</li> <li>Maintain and continuously improve Enterprise Risk Management related Trainings and Awareness Programs</li></ul>Your profile: <ul> <li>Master's Degree in Law or Business Management </li> <li>At least 5 years of experience in a comparable function with profound experience in design and management of Information Protection Programs </li> <li>Profound experience data and process management </li> <li>Very strong project management, conceptual and communication skills as well as empathy, emotional intelligence and intercultural competence</li> <li>Business fluent in English; additional language would be a plus</li> <li>Willingness to travel </li></ul>At Yazaki, we are committed to providing equal employment opportunities for everyone which extends to all aspects of the employment relationship. We are looking forward to receiving your application and to get to know you. Please apply by clicking the 'Apply Now' button. We wish you all the success in your application! Ps. Didn't find what you are looking for? Take a look at our careers page! Be careful though, you might find your next dream job.

Sr. Enterprise Risk Management Specialist

The IT Security Manager will serve in a management role with technical capabilities and strategic planning oversight; responsible for overseeing and managing security programs, projects, personnel, logical/technical administration, and security acquisitions. Our preferred candidate possesses the ability and experience to focus on reducing security risks throughout the infrastructure to an acceptable level, in alignment with the organizations business needs and requirements. They will be capable of identifying, establishing, and adhering to tactical plans for achieving set goals within a dynamic fast-paced environment. Duties include but are not limited to:<ul> <li> Lead the team responsible for security assessments, developing risk-based solutions and controls frameworks. </li> <li> Serve as the subject matter expert for control validation in the Security team. </li> <li> Create/Update/Maintain IT Security Guidelines and Standards. </li> <li> Develop System Policies and establish system standards. </li> <li> Communicate security controls and remediate any concerns. </li> <li> Collaborate with various departments to safeguard our adherence to policies and other undertakings that influence the security, confidentiality, integrity, and accessibility of our application, infrastructure, and business operations. </li> <li> Conduct, document, and report on internal and third-party risk program. </li> <li> Collaborate with the DAS OISP team to ensure successful delivery of security &amp; business objectives. </li> <li> Lead the coordination of data gathering needed for internal and external audits, regulatory requirements, and other compliance and risk management needs requirements. </li> <li> Be a highly analytical and effective communicator capable of influencing other teams and departments. </li> </ul>At the State of Ohio, we take care of the team that cares for Ohioans. We provide a variety of quality, competitive benefits to eligible full-time and part-time employees*. For a list of all the State of Ohio Benefits, visit our Total Rewards website ! Our benefits package includes: <ul> <li> Medical Coverage </li> <li> Free Dental, Vision and Basic Life Insurance premiums after completion of eligibility period </li> <li> Paid time off, including vacation, personal, sick leave and 11 paid holidays per year </li> <li> Childbirth, Adoption, and Foster Care leave </li> <li> Education and Development Opportunities (Employee Development Funds, Public Service Loan Forgiveness, and more) </li> <li> Public Retirement Systems ( such as OPERS, STRS, SERS, and HPRS ) &amp; Optional Deferred Compensation ( Ohio Deferred Compensation ) </li> </ul> *Benefits eligibility is dependent on a number of factors. The Agency Contact listed above will be able to provide specific benefits information for this position. Qualifications 8 1/2 years (102 mos.) exp. commensurate with job duties to be performed &amp; knowledges &amp; skills required as outlined in approved position description on file for position to be filled as advertised in job posting; 18 months exp. in performing project management functions as defined in series purpose. -Or completion of undergraduate core coursework in computer science, or completion of undergraduate core coursework in any academic major which included at least one course in each of the following: advanced-level computer programming language (for example, COBOL, Delphi, Java, Powerbuilder, Visual Basic, Pl 1, SAS PCS, Pacbase, Full Visual Suite, Designer 2000, Developer 2000, C, C++, Visual C, ECL, or Visual Studio), logic-based mathematics, data base concepts (for example, Oracle, Microsoft Access, Paradox, Sybase, IMS DB, DB2, Cache, DMS, or RDMS), computer systems analysis &amp; design, &amp; basic data processing concepts; additional 6 1/2 years (78 mos.) exp. commensurate with job duties to be performed &amp; knowledges &amp; skills required as outlined in approved position description on file for position to be filled as advertised in job posting.; 18 mos. exp. in performing project management functions as defined in series purpose. -Or 12 mos. exp. as Information Technology Supervisor 3, 64119, or equivalent. Or in offices of statewide information technology policy &amp; planning, positions require completion of undergraduate core coursework in computer science, or completion of undergraduate core coursework in any academic major which included at least one course in each of the following: advanced-level computer programming language (for example, COBOL, Delphi, Java, Powerbuilder, Visual Basic, Pl 1, SAS PCS, Pacbase, Full Visual Suite, Designer 2000, Developer 2000, C, C++, Visual C, ECL, or Visual Studio), logic-based mathematics, data base concepts (for example, Oracle, Microsoft Access, Paradox, Sybase, IMS DB, DB2, Cache, DMS, or RDMS), computer systems analysis &amp; design, &amp; basic data processing concepts; 3 yrs. exp. in utilizing word processing software; 3 yrs. exp. in utilizing internet browser(s) for research; 54 mos. exp. which included following: knowledge of information technology architecture components, developing information technology strategic plans, preparing &amp; making presentations/public speaking, writing information technology related policy &amp; procedures, preparing &amp; monitoring budget, providing cost &amp; resources estimates, &amp; contract management; 2 yrs. exp. in utilizing e-mail system; 18 mos. exp. in project management or lead role on information technology project;12 mos. exp. in utilizing spreadsheet software; 12 mos. exp. as Information Technology Supervisor 3, 64119, or equivalent. -Or equivalent of Minimum Class Qualifications For Employment noted above. Job Skills: Information Technology

Information Technology Manager 1 - Security & Compliance Manager- 20078290

Experience more with a career at COUNTRY Financial! We're excited you're interested in a career at COUNTRY as we strive toward our vision - to enrich lives in the communities we serve. Our footprint spans coast to coast. But more important than where we operate, is the people who do the work. Apply today to help our organization grow and make a difference for our clients. About the role Develops, implements, and performs regular review of compliance programs for insurance and/or financial services operations. Identifies compliance exceptions and works with business areas for follow-up and resolution. Responds to requests received from a regulatory authority. Serves as key regulated entity, business area, or enterprise expert and as project manager or business analyst on compliance-related issues or complaints. How does this role make an impact? - Assists and supports the regulated entity in complying with regulatory requirements, as well as the ongoing preparation, testing and monitoring of conformance to such requirements. - Completes risk assessments. Works with business areas to resolve compliance exceptions. Prepares reports as assigned. - Monitors compliance trends. Assists in developing methodologies to verify, validate, and document risks, gaps, controls and compliance. - Provides compliance expertise on a project and consultative basis. Collaborates with business areas and builds and maintains effective relationships. - Monitors new and pending legislation, regulation, and bulletins with compliance implications. Assists in developing programs, policies, procedures and training to implement and satisfy regulatory requirements. - Conducts interviews and information gathering, analyzes data and documents findings. - Performs data analysis and develops related compliance and trade group metrics. - Requests, compiles, and analyzes information for transmittal of corresponding reports and other documentation required by state or federal law or regulatory authority. Do you have what we're looking for? <ul><li>Insurance compliance, audit, or legal experience.</li><li>Strong written and oral communication skills.</li><li>Strong ethics and principles.</li><li>Proven record working with a team.</li><li>Knowledge and understanding of records and information management practices, preferred.</li><li>Knowledge and understanding of Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) regulations and requirements, preferred.</li><li>Typically requires 7+ years of relevant experience or a combination of related experience, education and training.</li></ul>Base Pay Range: $76,000-$104,500 The base pay range represents the typical range of potential salary offers for candidates hired. Factors used to determine your actual salary include your specific skills, qualifications and experience. Incentive Pay: In addition to base salary, this position is eligible for a Short-Term Incentive plan. Why work with us? Our employees and representatives serve nearly one million households with our diverse range of personal and business insurance products as well as retirement and investment services. We build relationships and work together to create a stronger, more secure future for our clients and our communities. We're a big company, yet small enough you can make an impact and won't get lost in the shuffle. You'll have the opportunity to learn and grow throughout your career, either within this role or by exploring other areas of our business. You'll be able to take advantage of our benefits package, which includes insurance benefits (medical, dental, vision, disability, and life), 401(k) with company match. COUNTRY Financial is committed to providing equal opportunity in all areas of employment, and in providing employees with a work environment free of discrimination and harassment. Employment decisions are made without regard to race, color, religion, age, gender, sexual orientation, veteran status, national origin, disability, or any other status protected by applicable laws or regulations. Come join our team at COUNTRY today!

Corporate Compliance Analyst Sr

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $110,760 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. 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: Business Management, Strategy &amp; Support Job Description: Why Work with Us? At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization. The Ideal Candidate The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. management areas, broader organization, and enterprise as appropriate. The Employee Experience Senior Manager will lead and enhance the employee experience within the Compliance group. This role focuses on developing and managing employee experience programs and initiatives that foster enthusiasm, excitement, positive work environment, and a best in class culture with emphasis on the overall employee experience. Your focus will be to understand the needs of our growing department and develop and deliver strategies that align with the core values of the business while bolstering the employee experience. The ideal candidate will bring fresh perspectives and innovative ideas to re-energize the team, ensuring employees feel valued, supported, and equipped with the tools they need-whether in-office or hybrid. The candidate will have a proven track record of collaborating with senior executives across the organization to drive decision making and escalating risks when appropriate. The candidate will also have very strong written and verbal communication skills, which will be relied upon to disseminate program updates to senior leaders and the team. Key initiatives may include recognition events, employee surveys, employee onboarding, technology enablement, and enhancing day-to-day experiences. This independent role offers an opportunity for someone with strong problem-solving skills, creativity, and a passion for making work fun again. Internal knowledge is a plus, but external candidates with fresh ideas are encouraged to apply! To Thrive In This Role, You'll Need <ul><li>A people-first leader passionate about culture, connection, and community</li><li>Organized, detail-oriented and skilled at bringing structure to complexity</li><li>An excellent communicator and trusted collaborator across teams and levels</li><li>Experienced managing multiple office sites and hybrid work environments</li><li>Resourceful, proactive, and always focused on finding solutions</li><li>Strategic in mindset, but hands-on and willing to roll up your sleeves</li><li>Background in workplace operations, employee experience, events, or hospitality, with 7+ years' experience, including team leadership</li></ul>Primary responsibilities for this role include: <ul><li>Owning the Employee Experience: Design and deliver inclusive and engaging workplace experiences that drive belonging, team cohesion, and employee satisfaction across the department.</li><li>Driving Workplace Strategy: Develop and execute scalable workplace programs that enable collaboration, innovation, and productivity, directly supporting team performance and retention.</li><li>Event Planning &amp; Culture Activation: Plan and execute events (e.g. team offsites, volunteering, all-hands, celebrations, Employee Appreciation Week) that strengthen culture and foster employee connection across functions and locations.</li><li>Onboarding Partnership: Partner with HR to deliver smooth, high-impact onboarding experiences that help new hires feel welcomed, informed, and connected from day one. Ensure the entire department continues to operate as one cohesive unit, while it continues a significant expansion.</li><li>Survey Response Management &amp; Implementation: Lead the organization in analyzing, understanding, and disseminating Pulse Survey results. Work with Pulse Champions to design and deliverable workplace enhancements to address employee survey responses.</li></ul>"The above details are specific to the role which is outlined in the general description below." Job Summary The Senior Manager, Business Management oversees and leads a large and/or highly complex, and diverse business management function for an area of significant risk, complexity or scope usually involving medium to long term planning, ensuring an integrated approach with other business management areas, broader organization, and enterprise as appropriate. Depth &amp; Scope: <ul><li>Oversees and leads a large and/or highly complex, and diverse business management function for an area of significant risk, complexity or scope</li><li>Strategic partner to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management / enterprise areas</li><li>Facilitates key strategic discussions and provide thought leadership to executive audience (output may include strategic roadmap and/or deliverables/ frameworks/ short to long term goals etc.)</li><li>Sets operational team direction and collaborate with others to execute on common goals</li><li>Focus on longer-range planning for functional area (e.g. 12 months or greater)</li></ul>Education &amp; Experience: <ul><li>Undergraduate degree</li><li>10+ years relevant experience</li></ul>Customer Accountabilities: <ul><li>Develops, communicates and implements a holistic strategy for own specific business management function in support of and integrated with the overall business strategy</li><li>Oversees / leads / manages and plans a work activities that may require alignment across multiple areas</li><li>Leads the team in the development and/or integrated implementation of policies / processes / procedures / changes across multiple functional areas</li><li>Leads partner to management and respective teams for area of specialization with industry, external and internal, enterprise and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management</li><li>Acts as a strategic partner by leading relationships with key enterprise partners and interfacing with respective leadership team to effectively manage own business management area and clarify scope of accountabilities while influencing and aligning others as needed</li><li>Ensures an integrated and aggregated view of all related activities across the overall function providing escalations, recommendations, and decision support to leadership.</li><li>Forecasts programs / initiatives and demand, and coordinate prioritization of the portfolio/ initiatives with key stakeholders</li><li>Provides functional / business level communications to ensure messages to stakeholders and/or employees are consistent, appropriate and aligned to business strategies and executive management direction</li></ul>Shareholder Accountabilities: <ul><li>Ensures team adheres to enterprise frameworks and methodologies related to overall business management activities</li><li>Leads relationships with corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements</li><li>Supports team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank</li><li>Assesses / identifies key issues and escalate to appropriate levels and relevant stakeholders and business management where required</li><li>Maintains a culture of risk management and control, supported by effective processes and sound infrastructure an in alignment with risk appetite</li><li>Identifies, mitigates and reports on risk issues per enterprise policy / guidelines and ensures appropriate escalation processes are followed</li><li>Ensures business operations are in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals, and physical control of assets).</li><li>Works closely with key business leaders to optimize TDBGs resources and leverage TDs operating model to maximize efficiency, effectiveness and scale</li><li>Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations</li><li>May lead relevant governance meetings or committees and related deliverables / outcomes representing the business on governance and control issues</li><li>Manages oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managed</li><li>Oversees or leads the facilitation and/or implementation of action/remediation plans to address performance/risk/governance issues</li></ul>Employee/Team Accountabilities: <ul><li>Responsible for management of the overall team(s) providing both leadership and guidance</li><li>Sets targets and objectives for the team, and deliver results</li><li>Grows team expertise to align with enterprise demand and the Bank's direction; assess team skills and capabilities and continually looks for ways to provide and enhance the value delivered</li><li>Fosters an environment / culture that encourages productivity, innovation, process improvement, teamwork and a high level of professionalism</li><li>Co-ordinates necessary resources to ensure completion by deadlines</li><li>Provides coaching, development, succession, recruitment, resource management and overall team leadership for team members and provide regular input into team members assessment of performance and development plans</li><li>Prioritizes and manages own workload in order to deliver quality results and meet timelines</li><li>Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interest</li><li>Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency</li><li>Establishes effective relationships across multiple business and technology partners, program and project managers</li><li>Participates in knowledge transfer within the team and business units</li></ul>Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% <ul><li>Domestic Travel - Occasional</li><li>International Travel - Never</li><li>Performing sedentary work - Continuous</li><li>Performing multiple tasks - Continuous</li><li>Operating standard office equipment - Continuous</li><li>Responding quickly to sounds - Occasional</li><li>Sitting - Continuous</li><li>Standing - Occasional</li><li>Walking - Occasional</li><li>Moving safely in confined spaces - Occasional</li><li>Lifting/Carrying (under 25 lbs.) - Occasional</li><li>Lifting/Carrying (over 25 lbs.) - Never</li><li>Squatting - Occasional</li><li>Bending - Occasional</li><li>Kneeling - Never</li><li>Crawling - Never</li><li>Climbing - Never</li><li>Reaching overhead - Never</li><li>Reaching forward - Occasional</li><li>Pushing - Never</li><li>Pulling - Never</li><li>Twisting - Never</li><li>Concentrating for long periods of time - Continuous</li><li>Applying common sense to deal with problems involving standardized situations - Continuous</li><li>Reading, writing and comprehending instructions - Continuous</li><li>Adding, subtracting, multiplying and dividing - Continuous</li></ul>The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities &amp; duties are considered essential functions for ADA purposes. #LI-AMCBCorporate 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 TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.

Senior Employee Experience Manager (Compliance Governance & Operations Manager)

About the job: Trading 212's mission is to enable everyone to build wealth. We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success. Over the past few years, our client base has grown 20 times to over 3 million, and client assets have grown over 50 times to over £20 billion. What will you do: <ul><li>Lead and manage the Compliance Function, ensuring the highest compliance with all regulatory requirements as the second line of defense.</li><li>Oversee market abuse surveillance.</li><li>Oversee Anti-Money Laundering, Counter Terrorist Financing and Sanctions.</li><li>Oversee KYC and on-boarding activities.</li><li>Determine when to file a Suspicious Transaction with the Central Bank.</li><li>Provide oversight of engagement with the Central Bank and other regulators.</li><li>Ensure the Firm identifies and satisfies its regulatory obligations in Ireland and the countries in which it operates.</li><li>Ensure the accuracy of compliance advice to the business lines including responding to ad hoc queries.</li><li>Provide input to formal projects, new products and business proposals, with consideration of reputational risk matters.</li><li>Train staff in assessing regulatory risks and changes.</li><li>Oversee the execution of a risk-based compliance monitoring programme including; <ul><li>a formal risk assessment</li><li>business reviews</li><li>thematic reviews and testing</li><li>Provide surveillance, logging and escalation ensuring resolution of relevant items.</li><li>Execute core compliance processes including:</li><li>market conduct</li><li>gifts and entertainment</li><li>regulatory liaison</li><li>reporting, registrations, licensing</li><li>employee trading, conflicts of interest and breaches log.</li></ul></li><li>Draft and maintain compliance framework, policies, plans and procedures, including; <ul><li>Compliance Framework</li><li>Fitness and Probity</li><li>SEAR / IAF</li><li>Anti-Business &amp; Corruption Policy</li><li>Anti-Money Laundering, CTF &amp; Sanctions Policy</li><li>Order Execution Policy</li><li>Conduct Risk Policy</li><li>Complaints Handling Policy</li><li>Anti-Fraud Policy</li><li>Group Product Governance Policy</li><li>Personal Account Trading Policy</li><li>Conflicts of Interest Policy</li><li>Market Abuse Policy</li><li>Inducements Policy</li><li>Whistleblowing Policy</li><li>Breach management Procedures</li><li>Transaction Reporting Procedures</li></ul></li><li>Stay abreast of market trends, regulatory changes, and technological advancements to maintain and enhance the Firm's competitive edge.</li><li>Produce detailed management reports to present to internal committees, including the Board.</li><li>Mentor and guide junior compliance officers, promoting a high-performing culture</li></ul>What you need to have: <ul><li>10+ years' experience in a compliance role, ideally holding PCF-12 &amp; 52 roles within a MiFID Investment firm - with a focus on equities / CFD's.</li><li>Experience of working with systematic internalisers, MTF's, Exchanges or algorithmic trading tools (RTS 6), in a highly regulated environment.</li><li>Demonstrable deep interest in financial markets and working knowledge of the brokerage industry, particularly with retail flow.</li><li>Comprehensive and up-to-date knowledge of market practices and their regulatory requirements, including IFR/IFD regulation.</li><li>Minimum 2:1 degree within a relevant field, e.g., Business, Law, Economics.</li><li>Excellent written and verbal communication skills, with the ability to convey complex concepts clearly and effectively.</li><li>Proven ability to work under pressure, demonstrating adaptability and a driven attitude to achieve goals.</li><li>High attention to detail and accuracy, with a proactive approach to problem solving, maintaining documentation and understanding regulation.</li><li>Strong leadership skills with the ability to mentor and develop junior team members.</li></ul>What we offer: <ul><li>Challenges that will help you grow and realize your potential fast.</li><li>Opportunity to make a significant impact - you will build innovative services used by millions of investors to build wealth.</li><li>Work with smart, spirited, helpful, high-performing colleagues with a common goal.</li><li>An environment where nothing is set in stone.</li><li>Appreciation for your talent and ideas.</li><li>Autonomy to own your function and manage your staff.</li><li>Generous remuneration package, including, health, life, disability insurance, pension, 26 days holidays and annual bonuses.</li></ul>Are you ready to accelerate your career with us? We'd love to hear from you! We thank all applicants, but only candidates selected for an interview will be contacted. All personal data of applicants is protected by the law and will be treated with strict confidentiality.

Head of Compliance & MLRO, Ireland

The closing date has been extended to 27/06/2025 About the role: The role is primarily to ensure the services and equipment in Corporate properties are properly serviced and inspected to ensure the safety of all users of the building including staff and members of the public. You will be required to instruct contractors and PCC staff to carry out inspections and to receive and log the certificates and approve the invoices for the work involved. There is a software system to control the inspections and specialist training will be given for this on appointment. About you: The successful candidate will be someone who has a commitment to provide quality services and has an ability to communicate across all levels of the authority. There is a requirement for a flexible approach to working in the team and attention to detail is important. A previous experience of working in a construction role may be an advantage. What you will do: The position will involve: -entering data onto a bespoke IT system. -Communicating with external and internal contractors. -Communicating within the immediate team and with other members of the wider Property team. - reviewing certificates, invoices and other data. - providing information for others to compile reports. There is no DBS Check requirement for this position

Compliance Officer

Hybrid: London This is a varied and interesting role with excellent potential for development. You will work closely with, and act under the direction from, more experienced colleagues providing regulatory consulting services to FCA-regulated businesses, such as hedge funds and private equity firms.ACA is committed to supporting you in your career journey, providing you with formal training and experience working alongside industry leaders in their field. What you'll do: <ul><li>Providing general and proactive support to more senior colleagues to manage client accounts and to ensure that a high standard of client service is delivered to clients and undertaking direction from more senior colleagues, where relevant.</li><li>Proactively supporting senior colleagues in undertaking regular compliance reviews for clients, including scheduling said reviews, preparing document request lists, undertaking document review and drafting preliminary written reports.</li><li>Tailoring client policies and procedures and/or updating client policies and procedures to a high standard to reflect regulatory updates and changes to clients' businesses.</li><li>Assisting with the preparation of FCA applications, including Part 4A authorisation applications, variation of permission applications, change in control applications and senior management function (Form A) applications.</li><li>Proactively supporting more senior colleagues to provide ad-hoc advice to clients, including undertaking research and having some interaction with clients, where required.</li><li>Contributing to internal research, such as drafting summaries of regulatory developments and preparing internal briefing notes and making contributions to internal compliance update meetings.</li><li>Preparing training presentations for clients and assisting with the conduct of compliance training for clients.</li></ul>To qualify for the role, you must have: <ul><li>Strong academic background (i.e. degree level, LPC or recognised professional qualification).</li><li>Minimum 12 to 18 months of relevant financial services or legal experience, including knowledge of the UK regulatory regime.</li></ul>Ideally, you will have. <ul><li>You will be provided with support to study for, and complete, the Investment Management Certificate, CISI Diploma in Investment Compliance or similar. </li></ul>Skills or attributes for success: <ul><li>Demonstrated professional integrity</li><li>Excellent oral and written communication skills</li><li>Superb attention to detail</li><li>Ability to work in a fast -paced small team environment.</li><li>Ability to establish and maintain effective working relationships with colleagues and clients and to provide proactive support to senior colleagues.</li><li>Dedicated to upholding ACA's high standards and customer service focus.</li><li>Strong organizational and problem-solving skills.</li><li>Proficiency with Microsoft Office applications and ability to work comfortably and to thrive in a tech -enabled environment.</li></ul>Preferred Licenses and Certification(s) <ul><li>Will be required to undertake either the Investment Management Certificate or the CISI Diploma in Investment Compliance.</li></ul>What working at ACA offers: We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering. About ACA: ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. What we commit to: ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.

Senior Compliance Analyst

Excited to grow your career? BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with profiles as diverse as financiers, legal experts, data scientists, developers, engineers and designers. We are seeking an experienced and highly motivated Compliance Monitoring Manager to shape and execute the compliance monitoring programme for BBVA London (the branch). This role is critical to ensuring the branch meets its ongoing obligations under the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) regimes. About the job: Compliance Monitoring Plan (CMP) <ul><li>Design, maintain, and execute the annual risk-based Compliance Monitoring Plan.</li><li>Perform periodic and thematic reviews of the branch's business activities to assess compliance with regulatory requirements, and internal Compliance policies and procedures.</li><li>Develop scoping documents, testing plans, and work papers for each monitoring activity.</li><li>Prepare detailed reports and recommendations following each monitoring review, including identifying root causes of issues and tracking remediation.</li><li>Escalate significant issues and breaches to the Head of Compliance, Continental Europe and Middle East, and relevant governance bodies.</li></ul>Stakeholder engagement <ul><li>Socialise and raise the profile of the Compliance Monitoring Plan.</li><li>Assist in developing and enhancing compliance frameworks.</li><li>Collaborate with business, operations, Engineering, finance, risk, and legal teams to ensure effective resolution of monitoring findings.</li><li>Work closely with first line "Risk and Control Assurer" teams to challenge and provide input into compliance risk assessments, and the effectiveness of control design and operation.</li><li>Work closely with Internal Audit to ensure integrated oversight of branch activities and testing plans.</li><li>Contribute to the Regulation and Compliance Committee, Operational Risk Committee, and London Management Committee reporting by preparing monitoring updates and contributing to key risk indicators.</li><li>Build and maintain productive working relationships across business lines to promote a culture of compliance.</li></ul>Essential Qualifications &amp; Experience <ul><li>Minimum of 5 years' experience in a compliance monitoring, assurance or audit role within an FCA-regulated investment bank, securities environment or financial institution.</li><li>Strong working knowledge of the UK regulatory framework, especially FCA Handbook (COBS, SYSC and PRIN), and market abuse regulations.</li><li>Experience in executing thematic reviews and drafting detailed reports.</li><li>Excellent communication skills and the ability to present complex issues to senior stakeholders.</li><li>Excellent analytical, investigative, and report-writing skills.</li><li>High attention to detail and strong organisational capabilities.</li><li>Sound judgement and ethical integrity.</li><li>Undergraduate degree.</li></ul>Preferred Attributes <ul><li>Experience with European regulatory requirements relating to markets in financial instruments (e.g. MiFID II) and how they apply to UK branches (UK MiFID framework).</li><li>Understanding of Joint Money Laundering Steering Group guidance, and AML legislation.</li><li>Familiarity with electronic trading, derivatives, or capital markets operations.</li><li>Relevant professional qualifications (e.g. ACCA, ICA, or CISI Diploma in Compliance) would be an advantage.</li></ul>Skills: Customer Targeting, Empathy, Ethics, Innovation, Proactive Thinking

Compliance Monitoring Manager

Senior Compliance Officer - Surveillance &amp; Transaction Reporting Job Description - Senior Compliance Officer (Surveillance and Transaction Reporting) The Compliance Department at Millennium adopts, implements, and manages the compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is crafted to prevent or detect violations of applicable laws, rules and regulatory requirements and firm policies. This senior position, overseeing Millennium's EMEA Surveillance and Transaction Reporting Compliance program, reports to the Deputy Head of Compliance, EMEA. This role encompasses hands on day-to-day tasks as well as policy and project work in a dynamic and expanding firm. The role requires the ability to multi-task, work within a team as well as independently, and liaise with all levels of people across the Firm. Principal Responsibilities <ul><li>Oversee and manage the EMEA Surveillance and Transaction Reporting Compliance Team</li><li>Compliance oversight of EMEA-based algorithmic trading, including involvement in formulating and implementing Millennium's global algorithmic compliance programme at the EMEA level</li><li>Compliance oversight of MiFID II, EU short sale and other regulatory reporting</li><li>Oversight of European compliance surveillance programme, including Nasdaq SMARTS</li><li>Lead and provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections</li><li>Interact with all facets of the Firm's trading and back-office departments</li><li>Prepare compliance reports and presentations</li><li>Assist with the Firm's compliance testing and monitoring programme</li><li>Assist in the maintenance of the Firm's general compliance programme and record keeping</li><li>Assist in the maintenance of the Firm's Risk Assessments</li><li>Undertake and lead special compliance related projects involving various inter-department stakeholders</li><li>Keep up to date on, research and track compliance, regulatory, and legal issues, trends, and upcoming developments; develop new compliance initiatives</li><li>Participate in working groups, projects and other work as needed</li></ul>Qualifications/Skills Required <ul><li>10+ years' experience working in Compliance or other relevant experience</li><li>Previous experience leading/managing a team</li><li>Experience leading regulatory enquiries, reviews and interactions</li><li>Strong regulatory background in EMEA markets with comprehensive understanding of, and experience working with, rules and regulations and compliance processes and systems</li><li>Surveillance and transaction monitoring experience with a strong forensic, analytical mindset and a solid understanding of trade and surveillance workflow</li><li>Broad product and financial services industry knowledge</li><li>Experience in interacting with trading and core infrastructure groups</li><li>Essential to have strong interpersonal skills</li><li>Must be a quick learner, detail oriented; demonstrable thoroughness and strong ownership of work</li><li>Able to multi-task and prioritise in a fast moving, high pressure, constantly changing environment; able to meet competing deadlines on a timely basis</li><li>Team player with a strong willingness to participate and help others</li><li>Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred</li></ul>

Senior Compliance Officer - Surveillance & Transaction Reporting

Job Description Salary range: £64,317 - £67,812 p.a. inc. London weighting Contract: Permanent Hours of work: 36 hours per week Location: Civic centre and other locations from time to time Join Us in Shaping Safer Homes for Our Community Brent is a tremendously vibrant London borough where the iconic arch of Wembley Stadium dominates the skyline. Spanning both inner and outer London, it is a borough of huge contrasts in terms of its economic, environmental, ethnic and social make up. Brent's diversity is evident to all who visit our borough and our long history of ethnic and cultural diversity has created a place that is truly unique and valued by those who live and work here. The council is pursuing a far-reaching transformation agenda that better meets the needs of our community so it is an exciting time to join us. The Opportunity Are you passionate about property compliance, health &amp; safety, and delivering high-quality housing services? We are looking for a dedicated Contract and Compliance Manager to play a vital role in ensuring our housing stock remains safe, secure, and fully compliant with statutory and regulatory obligations. You'll be joining a forward-thinking local authority team, where you'll lead on compliance management across a portfolio of responsibilities - from fire safety to gas and electrical systems, asbestos management, water hygiene, and much more. What You'll Be Doing As a Contract and Compliance Manager, you will: • Take operational responsibility for compliance across a wide-ranging housing portfolio. • Act as Contract Administrator, Manager, or Supervising Officer for mechanical, electrical, and service-related contracts. • Develop and deliver strategic compliance plans, policies, and programmes across multiple disciplines. • Lead on risk management, audits, inspections, and regulatory reporting. • Oversee 1-5 year programmes for testing, inspection, maintenance, and capital works. • Work closely with contractors, consultants, and internal teams to drive quality, safety, and best value. • Support the Building Safety Manager role and contribute to Building Safety Cases and emerging legislation. • Embed innovation and sustainability-including climate change considerations-into your compliance strategies. Areas You'll Lead You'll oversee compliance in one or more of the following areas: • Fire safety &amp; risk assessments • Domestic &amp; commercial gas • Electrical safety • Water hygiene (including Legionella) • Asbestos management • Lifts and access systems • HVAC systems • Tree and playground safety • Pressure vessels, lightning protection &amp; more About You You're a natural leader with strong technical expertise and a proactive, problem-solving mindset. You bring: • A thorough understanding of landlord compliance and relevant statutory obligations (e.g. Building Safety Act, CDM, COSHH). • Health and Safety qualification (IOSH/NEBOSH) or equivalent relevant experience • Significant experience in managing property compliance across large or complex property portfolios. • Strong contract management skills with a proven ability to oversee multiple service providers. • Experience of risk management, audits, and working within a regulated environment. • The ability to interpret legislation, draft policies, and communicate technical information clearly. • A track record of managing budgets, commissioning works, and driving service improvement. Our Offer to You In addition to your salary, you will also get to enjoy the following benefits: • 27 days annual leave plus 8 bank holidays, increasing to 31 days plus 8 bank holidays after 5 years continuous service • Very generous employer pension contribution • Flexible working hours and the opportunity to work from home 2 days per week (laptop provided) • A wide range of family friendly policies such as parental leave • Access to affordable parking nearby • Access to our Zipcar scheme • Access to our Employee Assistance programme for free confidential counselling • Season ticket loan for public transport • Cycle to work scheme and good onsite facilities • Access to My Brent Rewards for big brand discounts, local offers and money off for travel, cinema and shopping vouchers. Closing Date for redeployees: Wednesday 2nd July 2025 (23:59) Additional Information If you are interested in applying for this job, please start by clicking the "Apply Now" button below. You must provide a supporting statement as part of your application that clearly shows how you meet the criteria on the Person Specification. We will accept a CV in support of your application, however, you should still provide a supporting statement. This position is only open to redeployees currently working in Brent Council. External candidates are not permitted to apply for internal only roles. Forwarding 'internal only' roles to external candidates may lead to disciplinary action being taken. This position is only open to current employees of Brent Council or Temporary Agency Workers currently working in Brent Council. External candidates are not permitted to apply for internal only roles. Forwarding 'internal only' roles to external candidates may lead to disciplinary action being taken. Brent Council values the diversity of its community and aims to have a workforce that reflects this and therefore encourage applications from all sections of the community. We positively encourage all applicants to self-identify their characteristics in the diversity survey section in the application. The information we collect from you will be shared with Cifas who will use it to prevent fraud, other unlawful or dishonest conduct, malpractice, and other seriously improper conduct. Further details of how your information will be used by us and Cifas and your data protection rights, can be found at here Brent Council values the diversity of its community and aims to have a workforce that reflects this and therefore encourage applications from all sections of the community. We positively encourage all applicants to self-identify their characteristics in the diversity survey section in the application. We are committed to safer recruitment and safeguarding and promoting the welfare of children and young people and expect all staff and volunteers to share this commitment. Applicants should be aware that posts working with children, young people and vulnerable adults are subject to an Enhanced DBS check as well as other employment clearances. Brent has a positive approach to flexible working. As a disability confident employer Brent welcomes applications from people with all disabilities, including hidden disabilities and mental health conditions. We will interview any disabled applicant who meets the essential criteria. If you require reasonable adjustments to be made to any part of the recruitment process due to your disability, please contact us on <a href="mailto:recruitment@brent.gov.uk" target="_blank">recruitment@brent.gov.uk</a> Job Description

Contract and Compliance Manager

Ebury is a leading global fintech company that empowers businesses to trade and grow internationally. It offers a comprehensive suite of products, including international payments and collections, FX risk management, trade finance, and API integrations. Founded in 2009 by Juan Lobato and Salvador García, Ebury is one of the fastest-growing global fintechs, with over 1,700 employees and 38 offices in more than 25 countries. Financial Crime Compliance Analyst - Compliance - Brussels or Malaga Ebury Brussels or Malaga Hybrid: 4 days a week office based working, 1 day working from home The Role Headquartered in London and with 38+ offices worldwide with a presence in 25+ countries, the firm is a Global FinTech provider that aims to apply new technologies to enhance and automate financial services and processes. This allows small and medium-sized businesses to trade and transact internationally by eliminating boundaries related to more traditional procedures. As an FCC Analyst, you will work in the Financial Crime Compliance department in the firm's Brussels or Malaga office. Role requirements: <ul><li>Minimum 2-3 years experience either working in compliance or a financial crime-related operational role</li><li>Must have fundamental knowledge of international sanction regulations (UN, EU, UK and US)</li><li>Must be a team player but can adapt to work independently when required</li><li>Can demonstrate the ability to manage stakeholder expectations effectively </li><li>Ability to adapt to a fast-changing global business environment </li><li>Must be able to work well under pressure and be proactive in completing cases under time-sensitive conditions</li><li>Strong attention to detail and analytical skills allow the candidate to identify financial crime risks and address them accordingly</li><li>Excellent verbal, written and presentation skills</li><li>Candidate should be fluent in English and another language (desired)</li></ul>Key Responsibilities: <ul><li>Ensure that financial crime risks are identified, assessed, managed and reported promptly for EDD, Transactions, Sanction, Adverse Media Screening, PEP, and Military Exposure and Proliferation escalations;</li><li>Make decisions/recommendations on appropriate actions about financial crime issues raised by KYC analysts and front office representatives;</li><li>Be a key point of contact within the business for financial crime-related queries on an ad-hoc basis, this includes attending calls where the business may wish to discuss complex or higher-risk cases;</li><li>Respond to financial crime-related escalations in line with agreed Service Level Agreements (SLA);</li><li>Responsible for efficiently managing cases in workflow and being proactive in helping with ad-hoc tasks;</li><li>Conducting end-to-end financial crime risk assessments on new and existing clients;</li><li>Reviewing financial crime red flags raised by the first line of defence;</li><li>Making decisions/recommendations on appropriate actions concerning financial crime issues raised within the escalation framework;</li><li>Present FC risk assessments and recommendations to senior stakeholders;</li><li>Articulating policy and regulatory requirements that the firm complies with to the front office and operational KYC teams.</li></ul>#LI-CD1 #LI-HYBRID About Us Ebury is a FinTech success story, positioned among the fastest-growing international companies in its sector. Founded in 2009, we are headquartered in London and have more than 1700 staff with a presence in more than 25 countries worldwide. Cultural diversity is part of what makes Ebury a special place to be. From Sao Paulo to Dubai, Bucharest to Toronto, we enjoy sharing team experiences and celebrating success across the Ebury family. Hard work pays off: in 2019, Ebury received a £350 million investment from Banco Santander and has won internationally recognised awards including Financial Times: 1000 Europe's Fastest-Growing Companies. None of this would have been possible without our proudest achievement: our great people. Enthusiastic, innovative and collaborative teams, always ready to disrupt and revolutionise the fast-paced FinTech sector. We believe in inclusion. We stand against discrimination in all forms and have no tolerance for the intolerance of differences that makes us a modern and successful organisation. At Ebury, you can be whoever you want to be and still feel a sense of belonging no matter your story because we want you and your uniqueness to help write our future. Please submit your application on the careers website directly, uploading your CV / resume in English.

Financial Crime Compliance Analyst

Ebury is a leading global fintech company that empowers businesses to trade and grow internationally. It offers a comprehensive suite of products, including international payments and collections, FX risk management, trade finance, and API integrations. Founded in 2009 by Juan Lobato and Salvador García, Ebury is one of the fastest-growing global fintechs, with over 1,700 employees and 38 offices in more than 25 countries. Compliance Officer &amp; MLRO - Luxembourg Ebury Partners Belgium, Luxembourg Branch Hybrid: 4 days a week office based working, 1 day working from home What we are looking for: We are looking for a self-driven Compliance Officer &amp; MLRO who has gained at least three years experience within the financial industry in regulatory and AML compliance, and someone who has the ability to take ownership of a Compliance framework in a fast paced Fintech environment and keep driving this forward. The person must demonstrate proven organisational and time management skills, have excellent communications skills (both written and verbal), with the ability to gain credibility fast and influence key stakeholders. The working environment is fast paced, agile and highly results orientated so the individual must be comfortable working within this type of highly rewarding, dynamic environment. In addition, the individual must be comfortable with working autonomously, have relevant Compliance/Legal qualifications and a good level of commercial awareness. It will be pivotal to have good interpersonal skills to be the first point of contact with the local regulatory bodies as well. Key Responsibilities are, but not limited to - Reviewing policies and procedures. Conduct research on local requirements, gap analysis, and review translation. Scanning of new EU and local regulations and changes from regulators; - Implementing local requirements in the firm systems and controls and follow up with the other departments; - Drafting and preparing the regulatory periodic deliverables and drafting regulatory communications; - Performing controls &amp; monitoring of the 1LoD, when not already performed by another team; - Liaising with the other departments and gathering all information and data necessary for the reports to Senior Management; - Liaise with local regulators/FIUs in the Netherlands; - Review along the AMLCO the SARs and support drafting of external SARs where appropriate to the FIUs; - Gathering information and liaising with all necessary departments where necessary (Audits, Regulators queries, etc); - Translating local reporting requirements into operational guidelines, conduct research and help in the interpretation of the specifications; - Conducting research for ad hoc regulatory queries from other departments or Senior Management; - Assist the AMLCO on escalations relating to EDD, transactions, PEPs, exceptions, sanction review, dispensations and risk downgrades performing the first assessment; - Liaise with the front office with any questions about the policies and procedures; - Participating actively in workgroups, fora, and other meetings where compliance participation and inputs is required; - Investigating potential breaches of policies and procedures; - Keep up to date with relevant AML and Financial Crime regulations and changes; - Help improve the operational compliance processes based on the local policies (liaise with the managers and local ops teams). - Investigating complaints and preparing draft responses; Reporting to: Ebury Partners Belgium AMLCO (based in Brussels) #LI-CD1 #LI-HYBRID About Us Ebury is a FinTech success story, positioned among the fastest-growing international companies in its sector. Founded in 2009, we are headquartered in London and have more than 1700 staff with a presence in more than 25 countries worldwide. Cultural diversity is part of what makes Ebury a special place to be. From Sao Paulo to Dubai, Bucharest to Toronto, we enjoy sharing team experiences and celebrating success across the Ebury family. Hard work pays off: in 2019, Ebury received a £350 million investment from Banco Santander and has won internationally recognised awards including Financial Times: 1000 Europe's Fastest-Growing Companies. None of this would have been possible without our proudest achievement: our great people. Enthusiastic, innovative and collaborative teams, always ready to disrupt and revolutionise the fast-paced FinTech sector. We believe in inclusion. We stand against discrimination in all forms and have no tolerance for the intolerance of differences that makes us a modern and successful organisation. At Ebury, you can be whoever you want to be and still feel a sense of belonging no matter your story because we want you and your uniqueness to help write our future. Please submit your application on the careers website directly, uploading your CV / resume in English.

Institutional Solutions Compliance Officer

Corporate: Light &amp; Wonder's corporate team is comprised of incredible talent that works across the enterprise, defying boundaries to provide essential services in an extraordinary manner to ensure the success of the organization and the well-being of employees. Position Summary Job Summary: The person in this position works closely with management to ensure compliance with all Federal, State and Tribal Gaming licensing requirements, regulations and ordinances as well as regulatory related reports and information. Completes and submits all documentation related to gaming applications for the Company, its subsidiaries, management and field personnel. Essential Job Functions: <ul><li>Complete all aspects of gaming licensing applications and/or gaming submissions including, but not limited to, completing detailed forms, writing letters and gathering documentation.</li></ul><ul><li>Ensure timeliness, completeness and accuracy of each gaming applications and reports submitted on behalf of the Company.</li></ul><ul><li>Maintain summary reports and/or database systems.</li></ul><ul><li>Review and monitor the submission of license applications and/or gaming submissions.</li></ul><ul><li>Prepare and update source documents used in applications and/or submissions.</li></ul><ul><li>Review correspondence from gaming regulatory agencies and determine action required and prepare necessary correspondence, documents, check requests and other written communication.</li></ul><ul><li>Maintain appropriate communications within and between various divisions.</li></ul><ul><li>Support company policies and procedures; make appropriate recommendations.</li></ul><ul><li>Maintain electronic filing systems according to departmental procedures.</li></ul><ul><li>Maintain and secure confidential information.</li></ul><ul><li>Submit reports as required by each regulatory agency.</li></ul><ul><li>Other duties as assigned.</li></ul>Qualifications Required: <ul><li>Associates Degree, Certified Legal Assistant, Paralegal or experience deemed equivalent</li></ul><ul><li>Detail oriented with strong organizational skills</li></ul><ul><li>Ability to multi-task</li></ul><ul><li>Mature disposition with the ability to handle deadlines</li></ul><ul><li>Excellent written and verbal communication skills</li></ul><ul><li>Proficient in Excel, Outlook, Word, PowerPoint, software applications, databases and spreadsheets</li></ul><ul><li>Proficient in conducting internet research</li></ul>Preferred: <ul><li>Bachelor's Degree</li></ul><ul><li>Licensing and/or regulatory experience</li></ul><ul><li>Ability to read, write and speak Spanish or any other language</li></ul>Physical Requirements: Work Conditions: The physical demands and work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Light and Wonder, Inc. and its affiliates (collectively, "LNW") are engaged in highly regulated gaming and lottery businesses. As a result, certain LNW employees may, among other things, be required to obtain a gaming or other license(s), undergo background investigations or security checks, or meet certain standards dictated by law, regulation or contracts. In order to ensure LNW complies with its regulatory and contractual commitments, as a condition to hiring and continuing to employ its employees, LNW requires all of its employees to meet those requirements that are necessary to fulfill their individual roles. As a prerequisite to employment with LNW (to the extent permitted by law), you shall be asked to consent to LNW conducting a due diligence/background investigation on you. This job description should not be interpreted as all-inclusive; it is intended to identify major responsibilities and requirements of the job. The employee in this position may be requested to perform other job-related tasks and responsibilities than those stated above. #LI-JM1 Light &amp; Wonder is an Equal Opportunity Employer and does not discriminate against applicants due to race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class. If you'd like more information about your equal employment opportunity rights as an applicant under the law, please click here for EEOC Poster.

Licensing/Regulatory Compliance Analyst

Wij zoeken een nieuwe aanwinst! Ben jij een scherpe denker met een sterk moreel kompas? Bouw je graag aan een team én aan vertrouwen binnen en buiten de organisatie? Dan is deze nieuwe afdeling Legal, Compliance &amp; Risk op zoek naar jou. We zoeken een juridisch zwaargewicht dat overzicht houdt, koers bepaalt en risico's omzet in kansen. Iemand die leiderschap toont door voorop te gaan. Klinkt dit als jouw volgende stap? Lees dan snel verder. Dit kan zomaar jouw nieuwe rol zijn Je bent het juridische geweten van Klaverblad. Een inhoudelijk expert met gezag, maar ook een coach en verbinder. Je werkt direct met de directie samen, stuurt op integriteit en begeleidt complexe beslissingen met een heldere blik. Tegelijk geef je richting aan een nieuw team dat juridische, compliance- en risicokennis bundelt. Zo bouw je mee aan het fundament van onze toekomst. Hoe ziet jouw dag er dan uit als Manager Legal, Compliance en Risk? <ul><li>Je bent het kompas en sparringpartner. Je adviseert directie en MT over juridische vraagstukken waarbij je jouw scherpte verbindt aan bedrijfsdoelen</li><li>Je bewaakt de integriteit en reputatie van onze organisatie waarbij het juiste doen het belangrijkste uitgangspunt moet zijn.</li><li>Je brengt structuur aan in wet- en regelgeving, risico's en processen. Je integreert juridische, compliance- en risicokaders in de dagelijkse operatie, zonder dat dit verlammend werkt.</li><li>Je helpt de organisatie anticiperen op ontwikkelingen in wetgeving (AI, ESG, zorgplicht)</li><li>Je bouwt een team dat samenwerkt, meedenkt en leert. Jouw team volgt niet alleen de regels maar is ook contextgevoelig en oplossingsgericht. Lead by example is jouw uitgangspunt.</li></ul>De mensen die graag met jou willen samenwerken Je start op een nieuwe afdeling en bouwt die verder uit. Samen met bedrijfsjuristen, compliance officer, beleidsadviseurs, risicomanagers en een fraudecoördinatoren vorm je één integraal team. Je rapporteert rechtstreeks aan de directie en werkt nauw samen met collega's in de hele organisatie. Samen zorgen jullie dat we scherp blijven, zonder star te worden. Jij bent een aanwinst Een waardevolle toevoeging voor onze organisatie. En wij voor jou. Dus laat je zien! Toon lef, wees ondernemend en geduldig. Kom op een andere manier werken 'aan winst'. Werk aan zekerheid voor een duurzame toekomst. Versterk ons, met jouw kennis en kunde die mooi aansluit op het volgende profiel: <ul><li>Afgeronde master Verzekerings- en Aansprakelijkheidsrecht, bij voorkeur met economische opleiding</li><li>Minimaal 5 jaar ervaring als Advocaat of General Counsel in de financiële sector</li><li>Expertise in verzekeringsrecht, compliance en financieel toezicht</li><li>Ervaring met teamopbouw en coachend leiderschap</li><li>Sterk in stakeholder management en adviesvaardigheid</li><li>Integer, verbindend en met overtuigingskracht</li></ul>Wat wij jou graag bieden <ul><li>Flexibele werktijden; En we voegen het beste van twee werelden samen, zodat de balans tussen organisatie- en individuele behoeften goed blijft. Dit betekent dat wij gemiddeld 50% werken op kantoor en 50% vanuit huis;</li><li>Ons kantoor is goed bereikbaar, ook met het ov;</li><li>Salaris bestaande uit 14 maandsalarissen en 8% vakantiegeld;</li><li>Ruime financiële tegemoetkoming voor woonlasten en verzekeringen;</li><li>Een mooie pensioenregeling met een gunstige eigen bijdrage van 3,5%;</li><li>Veel ontwikkelmogelijkheden;</li><li>Een bedrijf met een prettige, informele werksfeer. Als collega's staan we altijd voor elkaar klaar.</li></ul>De sollicitatieprocedure Stap 1: Je solliciteert Stap 2: Eerste gesprek Stap 3: Tweede gesprek Stap 4: Aanbieding! Een assessment kan onderdeel uitmaken van procedure. Klaverblad Verzekeringen vindt integriteit belangrijk; daarom maakt betrouwbaarheidstoetsing deel uit van de selectieprocedure. Interesse? Herken jij jezelf in dit profiel en zie je jezelf werken bij Klaverblad Verzekeringen? Solliciteer dan via de 'Direct solliciteren'-knop en wij nemen snel contact met je op. Voor vragen kun je terecht bij onze Recruiter Tom Biessels via 06-13202558. Wij vinden groei erg belangrijk. Daarom wordt deze vacature ook intern uitgezet. Bij gelijke geschiktheid, heeft de interne kandidaat de voorkeur.

Manager Legal, Compliance en Risk

Job Summary NetApp's Security Team is looking for a driven and detail-oriented GRC Analyst with a strong focus on compliance to help scale and mature our governance, risk, and compliance programs. In this role, you'll be a key contributor to ensuring our organization meets regulatory, contractual, and internal security obligations across a range of compliance frameworks, including NIST 800-53, SOC 2, ISO 27001, GDPR, DORA, and others. You will be responsible for supporting and enhancing core compliance activities such as control assessments, audit readiness, customer due diligence, and policy management, while actively driving process improvements and automation initiatives. You'll work cross-functionally with product, security, legal, and customer-facing teams to ensure that our compliance posture not only meets standards but also enables trust, reduces risk, and supports business growth. This role is ideal for someone who is passionate about operationalizing compliance, thrives in a fast-paced environment, and is eager to drive impact-based results through thoughtful, customer-focused execution. Duties and Responsibilities <ul><li>Own and manage the end-to-end process for completing customer security questionnaires, RFPs, and RFIs-working cross-functionally to ensure accurate, compelling, and timely responses.</li><li>Contribute to the design and enhancement of customer-facing security product systems and documentation to support compliance transparency and trust.</li><li>Support and optimize the implementation of SaaS-based GRC tools and compliance workflows to improve efficiency and scalability.</li><li>Coordinate and help lead internal readiness activities for frameworks such as SOC 2, ISO 27001, GDPR, HIPAA, or NIST.</li><li>Participate in or lead compliance-related customer escalations, ensuring timely communication and resolution while maintaining a customer-first mindset.</li><li>Assist with internal and external audits, including evidence gathering, documentation review, and audit follow-up actions.</li><li>Analyze compliance trends, risks, and gaps, and work with stakeholders to develop actionable remediation and improvement plans.</li><li>Maintain and improve compliance policies, procedures, and control documentation in collaboration with security, legal, and product teams.</li><li>Assist in reviewing customer/partner contracts for Information Security requirements</li><li>Ensures all Security policy and procedures are documented and updated according to Global Security Standards, deadlines are met, approvals obtained, guidelines followed, repository usage understood, and repository / system of record up-to-date as defined by the Global Cybersecurity Governance program</li></ul>Minimum Qualifications <ul><li>2-4 years of experience in GRC, cybersecurity compliance, risk management, audit, or a related function.</li><li>Demonstrated experience with compliance frameworks such as SOC 2, ISO 27001, GDPR, HIPAA, or others.</li><li>Hands-on experience supporting SaaS-based security and compliance initiatives, preferably in a B2B or cloud-first environment.</li><li>Strong understanding of customer trust requirements, including handling of security assessments, questionnaires, and third-party due diligence.</li><li>Familiarity with GRC platforms (e.g., TrustCloud, SafeBase) or ticketing/project management tools (e.g., Jira, Asana, ServiceNow).</li><li>An ability to translate technical or regulatory language into clear, business-relevant terms for internal and external audiences.</li></ul>Key Soft Skills <ul><li>Results-driven: You focus on outcomes, not just tasks, and prioritize work that delivers business value and reduces risk.</li><li>Effective communicator: Skilled in cross-functional collaboration and able to confidently engage with technical teams, legal, sales, and customers.</li><li>Customer-focused: Understands how compliance supports trust and revenue; brings empathy and clarity to every interaction.</li><li>Analytical and detail-oriented: Comfortable interpreting regulations, identifying risks, and developing solutions.</li><li>Organized and self-directed: Manages multiple priorities with minimal supervision while maintaining high standards of accuracy and quality.</li><li>Adaptable and curious: Thrives in fast-paced environments and seeks continuous improvement in systems and processes.</li></ul>Education <ul><li>Bachelor's degree in Cybersecurity, Information Systems, Legal Studies, Business Administration, or a related field.</li><li>Professional certifications (e.g., CISA, CRISC, CCSK, ISO 27001 Lead Implementer) are a plus but not required.</li></ul>Preferred Qualifications: <ul><li>Information security related training or certifications such as CISSP, CISA or CRISC</li><li>Project management experience</li><li>Experience performing information security audits or risk assessments</li><li>Familiarity with security audit or risk management processes</li></ul>Compensation: The target salary range for this position is 99,450 - 147,400 USD. The salary offered will be determined by the candidate's location, qualifications, experience, and education and may be outside of this range. Final compensation packages are competitive and in line with industry standards, reflecting a variety of factors, and include a comprehensive benefits package. This may cover Health Insurance, Life Insurance, Retirement or Pension Plans, Paid Time Off (PTO), various Leave options, Performance-Based Incentives, employee stock purchase plan, and/or restricted stocks (RSU's), with all offerings subject to regional variations and governed by local laws, regulations, and company policies. Benefits may vary by country and region, and further details will be provided as part of the recruitment process.

GRC Compliance Analyst

At Arctic Wolf, we're not just navigating the cybersecurity landscape - we're redefining it. Our global team of dedicated Pack members is driving innovation and setting new industry standards every day. Our impact speaks for itself: we've earned recognition on the Forbes Cloud 100, CNBC Disruptor 50, Fortune Future 50, and Fortune Cyber 60 lists, and we recently took home the 2024 CRN Products of the Year award. We're proud to be named a Leader in the IDC MarketScape for Worldwide Managed Detection and Response Services and earning a Customers' Choice distinction from Gartner Peer Insights. Our Aurora Platform also received CRN's Products of the Year award in the inaugural Security Operations Platform category. Join a company that's not only leading, but also shaping, the future of security operations. Our mission is simple: End Cyber Risk. We're looking for a Lead Governance, Risk, and Compliance Analyst to be a part of making that happen. About the Role The Lead Governance, Risk, &amp; Compliance Analyst works with cross-functional stakeholders to understand the business and the risks and compliance needs of the organization to establish and maintain governance, risk and compliance processes. This role excels in organizing, planning and delivering results and relishes working with others to achieve critical security outcomes. This role champions the customer's right to privacy and security and build in those requirements into product offerings &amp; services as well as day-to-day business processes. Responsibilities <ul><li>Collaborate with multiple organizational stakeholders to drive development, maintenance and implementation of internal security &amp; privacy policies, standards, procedures/guidance and governance program documents that allow Arctic Wolf to comply with several security/privacy frameworks, contractual obligations and regulatory requirements.</li><li>Facilitate security and privacy policy &amp; standards lifecycle management.</li><li>Ensure approved security &amp; privacy policies and standards are communicated to appropriate audiences and accounted for in various Standard Operating Procedures.</li><li>Lead and support Arctic Wolf's internal and external audit/assessment activities</li><li>Lead and support Arctic Wolf's internal Risk and Compliance program execution.</li><li>Mature and support Arctic Wolf's Vendor Due Diligence Program execution.</li><li>Mature and support Arctic Wolf's Customer Due Diligence Program execution.</li><li>On an as-needed basis, provide advisory services to other teams on applicability and implementing/maintaining compliance with the Privacy and Security policies and standards through the course of their business operations.</li><li>Administer and operate GRC toolset to automate processes and programs to gain efficiencies.</li><li>Provide Program level metrics &amp; reporting for consumption by Senior &amp; Executive management.</li></ul>Who You Are <ul><li>Strong project management skills to ensure accountability and results.</li><li>Ability to put into practice security &amp; privacy frameworks &amp; standards such as ISO 27001, SOC2, GDPR, IRAP, FedRAMP, StateRAMP, CMMC, PCI DSS and HIPAA.</li><li>Excellent written and verbal communication skills, especially translating between business and GRC/technical terminology.</li><li>Ability to work under pressure with multiple stakeholders.</li></ul>Minimum Qualifications <ul><li>5+ years of experience in a GRC lead/program management capacity within a technology/SaaS company.</li></ul>Preferred Qualifications <ul><li>A Bachelor's Degree in Computer Science, Information Systems, Engineering, or related technical field; or equivalent experience.</li><li>Certifications such as CRISC, CISA, CISSP, CISM, etc. are considered preferentially.</li></ul>About Arctic Wolf At Arctic Wolf, we foster a collaborative and inclusive work environment that thrives on diversity of thought, background, and culture. This is reflected in our multiple awards, including Top Workplace USA (2021-2024), Best Places to Work - USA (2021-2024), Great Place to Work - Canada (2021-2024), Great Place to Work - UK (2024), and Kununu Top Company - Germany (2024). Our commitment to bold growth and shaping the future of security operations is matched by our dedication to customer satisfaction, with over 7,000 customers worldwide and more than 2,000 channel partners globally. As we continue to expand globally and enhance our technology, Arctic Wolf remains the most trusted name in the industry. Our Values Arctic Wolf recognizes that success comes from delighting our customers, so we work together to ensure that happens every day. We believe in diversity and inclusion, and truly value the unique qualities and unique perspectives all employees bring to the organization. And we appreciate that-by protecting people's and organizations' sensitive data and seeking to end cyber risk- we get to work in an industry that is fundamental to the greater good. We celebrate unique perspectives by creating a platform for all voices to be heard through our Pack Unity program. We encourage all employees to join or create a new alliance. See more about our Pack Unity here. We also believe and practice corporate responsibility, and have recently joined the Pledge 1% Movement, ensuring that we continue to give back to our community. We know that through our mission to End Cyber Risk we will continue to engage and give back to our communities. All wolves receive compelling compensation and benefits packages, including: <ul><li>Equity for all employees</li><li>Flexible time off and paid volunteer days</li><li>RRSP and 401k match</li><li>Training and career development programs</li><li>Comprehensive private benefits plan including medical, mental health, dental, disability, life and AD&amp;D, and value-added services</li><li>Robust Employee Assistance Program (EAP) with mental health services</li><li>Fertility support and paid parental leave</li></ul>Arctic Wolf is an Equal Opportunity Employer and considers applicants for employment without regard to race, color, religion, sex, orientation, national origin, age, disability, genetics, or any other basis forbidden under federal, provincial, or local law. Arctic Wolf is committed to fostering a welcoming, accessible, respectful, and inclusive environment ensuring equal access and participation for people with disabilities. As such, we strive to make our entire employee experience as accessible as possible and provide accommodations as required for candidates and employees with disabilities and/or other specific needs where possible. Please let us know if you require any accommodations by emailing <a href="mailto:recruiting@arcticwolf.com" target="_blank">recruiting@arcticwolf.com</a>. Security Requirements <ul><li>Conducts duties and responsibilities in accordance with AWN's Information Security policies, standards, processes and controls to protect the confidentiality, integrity and availability of AWN business information (in accordance with our employee handbook and corporate policies).</li><li>Background checks are required for this position.</li><li>This position may require access to information protected under U.S. export control laws and regulations, including the Export Administration Regulations ("EAR"). Please note that, if applicable, an offer for employment will be conditioned on authorization to receive software or technology controlled under these U.S. export control laws and regulations.</li></ul>

Lead Governance, Risk, & Compliance Analyst

Job Description Are you ready to write your next chapter? Make your mark at one of the biggest names in payments. With proven technology, we process the largest volume of payments in the world, driving the global economy every day. When you join Worldpay, you join a global community of experts and changemakers, working to reinvent an industry by constantly evolving how we work and making the way millions of people pay easier, every day. We're looking for a Senior Credit Risk Manager to join our ever evolving North American Credit Operations team to help us unleash the potential of every business. Are you ready to make your mark? Then you sound like a Worldpayer. About the team <ul><li>Our first line of defense Credit Operations team strives to effectively underwrite merchant account submissions, perform customer due diligence, and minimize losses via fraudulent merchant identification.</li></ul>What you'll own <ul><li>Establish a new Tier 2 Credit Ops team</li><li>Reviews and approvals for Enhanced Credit Risk underwriting requirements</li><li>Management and oversight of account data changes</li><li>Establish and enhance merchant reverification/periodic review processes</li><li>Liaise with other teams to maintain fraud oversight, compliance requirements, and network change initiatives</li><li>Audit and QA support</li></ul>What you bring <ul><li>Ten years or greater of merchant fraud and credit experience</li><li>Experience in establishing and managing teams, processes and functions</li><li>Customer due diligence/know your customer experience. FinCEN and Fintrac experience preferred.</li><li>Analysis and reporting of system rule effectiveness</li><li>Creative - You simplify the complex. Always looking forward to creating a bigger impact for our colleagues and customers.</li><li>Empowered - You use our initiative, taking calculated and thoughtful risks to progress</li><li>Accountable - You never stand still, never settle. You work at pace to achieve your goals.</li></ul>What makes a Worldpayer What makes a Worldpayer? It's simple: Think, Act, Win. We stay curious, always asking the right questions to be better every day, finding creative solutions to simplify the complex. We're dynamic, every Worldpayer is empowered to make the right decisions for their customers. And we're determined, always staying open - winning and failing as one. Does this sound like you? Then you sound like a Worldpayer. Apply now to write the next chapter in your career. #LI-AR1 #IND2025 Privacy Statement Worldpay is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how Worldpay protects personal information online, please see the Online Privacy Notice. EEOC Statement Worldpay is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is available here supplement document available here. For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis. Sourcing Model Recruitment at Worldpay works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. Worldpay does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

Senior Credit Risk Manager - Atlanta (Hybrid)

About the job Salary: £26,409 - £28,624 a year pro rata Hours per week: 37 Contract type: Fixed Term for up to 12 months This position is available as a secondment opportunity for up to 1 year. If you are a permanent LBC employee, you must have written approval (an email will suffice) from your manager prior to applying and a copy will need to be submitted with your application. Please note: we will not be able to proceed with your application form without your manager's permission. Join Our Team as a Recruitment &amp; Compliance Administrator at Luton Council! Are you passionate about recruitment? Do you have the skills to provide top-notch recruitment advice and admin support? If so, the Recruitment Team within HR at Luton Council is looking for you! Why This Role Is Exciting: As a Recruitment &amp; Compliance Administrator, you'll be at the heart of our HR recruitment services, handling all the standard recruitment administration for Luton Council employees. Your role will be crucial in ensuring that all documents and candidates are onboarded efficiently and within a timely manner. You'll respond to recruitment-related enquiries and collaborate with other HR teams to ensure a smooth onboarding process. Please note this role does not attract sponsorship. About you You are someone who is proactive and solutions-focused, always looking for ways to add value and improve recruitment services. You bring a thoughtful and informed approach to responding to complex enquiries, including those related to safer recruitment procedures and recruitment best practices. With a good understanding of how information and communications technology supports the modern workplace, you are mindful of data protection and data quality requirements in line with relevant legislation, such as the Data Protection Acts. You also demonstrate a strong awareness of equalities issues relating to recruitment practices and apply this knowledge confidently in your day-to-day work. Your inclusive approach ensures fair and effective interactions with both customers and colleagues, contributing to a positive and professional working environment. This is a public facing role so you'll need to show off your fluency in speaking and writing English About us Our ambitious Luton 2040 Vision - that no-one in Luton will have to live in poverty - is at the heart of everything we do. We recognise that our people are remarkable, talented, committed and passionate about serving our residents. The people of Luton depend heavily on this council - and that means our workforce! Are you ready to realise the remarkable and help us deliver our vision? We welcome applications from all sections of the community and are committed to developing a workforce that reflects the diversity of our borough Application Process On occasions, we may close a vacancy early due to a very high number of applications being received. Benefits We offer a range of excellent staff benefits which include: - From 25 to 32 days' annual leave: linked to length of service and grade - Buying annual leave scheme: buy up to 20 days additional annual leave - Career Pathways: step up in your career or move into a specialist area - Pension scheme: with generous employer contributions of up to 20.2 per cent (at July 2023) and 3x salary death in service grant - Generous relocation package: up to £8,000 (subject to eligibility) - Employee Assistance Programme: a free, 24/7 confidential counselling and wellbeing support service available to all employees, their partner or spouse and dependent children over 16 still living at home - Work/life balance: flexible working options including working from home where possible. We welcome requests for flexible working arrangements including part-time hours and alternative working patterns - Training and support: unlimited access to development courses, mentoring and support and clear career pathways - Staff offers: includes discounts on your MOT, gym and fitness, restaurants and salons - Arriva Travel Club: great value savings on local bus travel

Recruitment & Compliance Administrator

Administer an effective Community Reinvestment Act Policy and Program. This will include planning, developing, executing, monitoring and reporting on the CRA Program. To assist the Compliance Manager with administering the daily activities of the Bank's Compliance Management Policy, Risk Assessment and Compliance Calendar. The Compliance Officer will act as a leader and work on various compliance areas including, training, monitoring reviews, policy and procedures, and product development, with each department of the bank. This will include planning, developing, executing and reporting results. This position is responsive to new regulation as well as changes to existing regulations. In addition, the Compliance Officer is responsible for providing compliance support, communication and interpretation of compliance rules and regulations to bank employees, and researching regulatory issues as they arise. This position requires an in-depth knowledge of federal and state regulations in order to effectively assist in researching, preparing, implementing, maintaining, developing, and tracking all Bank of the Pacific compliance for new and existing products, services and delivery systems. Principal Responsibilities: Community Reinvestment Act Officer: Oversee all aspects of the Bank's Community Reinvestment Act (CRA) requirements. Specific responsibilities include the following: <ul><li>Designing, implementing, administering and monitoring all aspects of the Bank's Community Reinvestment Act (CRA) Program, and ensuring proper adherence to the provisions and intent of the CRA, with the goal of meeting the credit needs of the communities the Bank serves, including those of low and moderate income people and neighborhoods.</li><li>Ensure that the bank's community reinvestment activities are tracked, analyzed and modified as appropriate to ensure at least a satisfactory rating.</li><li>Manage relationships with business units for collaboration in developing and monitoring performance goals that meet the bank's CRA objectives.</li><li>Prepare and present a semi-annual review and self-assessment of CRA activity (analyze CRA lending, service and investment performance) to the Board CRA Committee.</li><li>Provide training and advisory services as needed to areas of the bank regarding CRA.</li><li>Assist in preparation for, and management of CRA examinations and internal audits, including coordination and the collection of information, materials and other data.</li><li>Manage software systems and act as systems administrator. Ensure that data is loaded into the system and scheduled software updates are performed.</li><li>Ensure locations are geo-coded properly and the database is current and appropriate analytical tools and reporting are in place to properly assess CRA Service test performance.</li><li>Collect CRA data and coordinate with others in the bank to identify Community Development Loans, Investments, and track Service Activities.</li><li>Prepare assessment area, census tract, and branch/ATM location mapping.</li><li>Facilitates the Management CRA Committee.</li><li>Maintain required updates to CRA notice and the Public File.</li></ul>Compliance Officer: Work with the Bank's Compliance Manager to support the activities of the bank's compliance program. <ul><li>Maintain a professional level of industry and compliance proficiency by attending banking industry and compliance seminars and subscribing to applicable periodicals.</li><li>Maintain a working knowledge of banking laws and regulations.</li><li>Works with management to ensure compliance objectives of the bank are established and met. </li><li>Establish and maintain collaborative relationships with other employees, management, external auditors, and examiners.</li><li>Serve as a central resource to provide assistance regarding compliance issues.</li><li>Participate in Management Compliance meetings as needed.</li><li>Schedule, assign, and conduct compliance training to ensure the Bank's Board of Directors, Bank officers and staff are provided with sufficient education to ensure compliance.</li><li>Develop and perform compliance monitoring programs to meet compliance objectives, for all departments of the bank. This includes reviewing, evaluating and verifying the soundness, adequacy, and application of controls and procedures.</li><li>Collect, analyze, interpret and document information which supports compliance monitoring results.</li><li>Make recommendations to bank management regarding (1) internal controls and safeguards, (2) regulatory and legal compliance, and (3) changes to the bank's policy and procedures.</li><li>Report compliance monitoring evaluations in the form of written compliance reports to management and executive management.</li><li>Evaluate management responses to all compliance reports, tracking findings, and verifying that remediation is implemented.</li><li>Review forms and documents for compliance with regulatory requirements.</li><li>Conduct research as assigned and provide information regarding regulations, regulatory changes and potential procedural impact.</li><li>Serves as a liaison for all regulatory examinations.</li><li>Assist during examinations or audits (both internal and external), including following up on and assisting in resolving cited violated and/or deficiencies.</li></ul>Specific Assignments may include: <ol><li> Complete file reviews to assess the level of compliance with specific regulations, including but not limited to Equal Credit Opportunity Act, Truth-in-Lending Act, Real Estate Settlement Procedures Act, Fair Housing Act, Home Mortgage Disclosure Act, Flood Disaster Protection Act, Fair Lending and USA Patriot Act. The review process includes but is not limited to:<ul><li>Selecting a representative sample of originated and non-originated files for review. </li><li>Conducting interviews with staff and management regarding standard practices and procedures.</li><li>Analyze selected files to determine level of compliance with specific laws and regulations.</li><li>Consolidate issues noted during review and prepare a written report of findings including a summary of overall findings, a list of detailed exceptions and recommendations for improvement.</li></ul></li><li>Perform UDAAP marketing compliance reviews.</li><li>Administer procedures for addressing customer complaints including internal points of contact.</li><li>Complete Home Mortgage Disclosure Act (HMDA) file audits on closed and non-originated loan files to ensure compliance with Regulation C/HMDA. The review process includes but is not limited to:<ul><li>Perform individual file monitoring.</li><li>Consolidate issues noted during monitoring reviews and prepare a written report of findings including a summary of overall findings, a list of detailed exceptions and recommendations for improvement.</li><li>Coordinate efforts with other departments to maintain and prepare the HMDA LAR for annual filing.</li></ul></li><li>Assist Management in new product or service initiatives to ensure compliance with applicable laws and regulations prior to implementation.</li><li>Other duties as assigned.</li></ol> Compliance: All employees are accountable for compliance with all laws, regulations and adherence to established internal controls and procedures when performing their job duties. Each employee is expected to be familiar with the legal and regulatory requirements and internal controls affecting his or her job responsibilities. It is the affirmative duty of each employee to carry out these responsibilities at all times in a manner that complies with all applicable legal and regulatory requirements and internal controls. All employees shall be responsible for communicating upward, problems in operations, noncompliance with the code of conduct, or other policy violations or illegal actions. Employees must participate in required training on pertinent compliance laws and regulations as required by the Bank of the Pacific. All employees will be committed to maintaining a high level of compliance with the Bank Secrecy Act and Anti Money Laundering, USA PATRIOT Act and Financial Recordkeeping regulations recognizing that all three acts are important tools in federal efforts to combat organized crime, terrorism and drug trafficking. Education / Experience: <ul><li>AA College Degree preferred, High School diploma or equivalent required.</li><li>Minimum five years bank experience.</li><li>Experience with mortgage lending and/or commercial lending compliance preferred.</li><li>Minimum 3 years experience in compliance, audit, or risk management function.</li><li>Demonstrated understanding of banking laws and regulations.</li><li>CRCM certification by the ABA or similar or ability to obtain within 12 months of hire.</li><li>Service Plus Certified.</li></ul>Skills / Knowledge / Abilities: <ul><li>Models integrity, honesty, responsibility, hard work and professionalism.</li><li>Demonstrated high level of personal integrity, ability to professionally handle confidential matters, and reflect appropriate level of judgment and maturity.</li><li>Able to work independently and in a team environment with people of diverse backgrounds.</li><li>Effectively uses organizational and time management skills to achieve goals and accomplish tasks timely.</li><li>Strong project management skills are a plus.</li><li>Knowledge of research and review processes and procedures, with the ability to plan, schedule and conduct regulatory reviews.</li><li>Establishes and maintains effective interpersonal relationships across all areas of the bank, including board members, examiners and external auditors.</li><li>Ability to effectively communicate with management and staff both in written and verbal communications.</li><li>Promotes a professional and cooperative climate and is recognized as approachable and resourceful. </li><li>Can discuss findings with confidence and is able to respond to objections. Skillful in finding common ground and is able to handle difficult people and tense situations with diplomacy and tact.</li><li>Strong knowledge of banking laws and regulations.</li><li>Able to accurately read and inspect documents, reports, computer printouts, letters and regulatory publications and data for errors or fraud. Ability to analyze detailed information.</li><li>Fully competent using various tools, techniques, and procedures, such as data collection, sampling, data mining, trend analysis, interviewing, questionnaires, checklists, etc.</li><li>Proficient in Word, Excel, Power Point and bank proprietary software.</li></ul>Our Mission is simple, to be the best Bank for our employees, customers, investors and community. At Bank of the Pacific, we are committed to delivering memorable service beyond the customer's expectation, to include both external and internal customers. We consistently demonstrate our values through teamwork, open communication, integrity, honesty and respect for others. Additionally, we will maintain a professional appearance through dress, conduct and an orderly work area. A successful candidate will possess these qualities and be enthusiastic, professional and of high ethics. They will embrace our Mission, Vision and Values and actively contribute to our success. Our Core Values - We Care. We consistently demonstrate this through: Teamwork and open communication ~ Integrity, honesty and respect for others ~ Enthusiasm and positive recognition ~ Professionalism, initiative and innovation ~ Accountability, focused action and timely follow-through ~ Commitment to make our company a success For your Benefit We Offer: <ul><li>Salary range: $80,000 to $115,000 annually.</li><li>The specific salary offered will depend on several factors including but not limited to applicant's knowledge, skills and experience relevant to the position.</li><li>Eligible to participate in annual incentive plan.</li><li>We offer a comprehensive healthcare benefit package that includes: Medical, Dental, Vision, EAP, LTD, STD, Group Life, VTL, AD&amp;D, FSA, DCAP, LFSA, and HSA.</li><li>Retirement Savings Plan through 401(k) with an additional Roth 401(k) option. We match 100% of your deferral up to 5% of eligible compensation.</li><li>Wellness Dollars up to $500 per year.</li><li>Weekend Wellness Hours, 4 per quarter.</li><li>Paid Birthday and Anniversary Holiday</li><li>11 paid Holidays per Year</li><li>Sick Leave Time - Earn up to 8 days each Year</li><li>Vacation - 17 days each Year (first year adjusted based on hire)</li><li>Vacation Purchase Plan</li><li>Tuition Reimbursement</li><li>Employee Banking Privileges and Special Loan Features.</li></ul>All employees are responsible for internal controls in the performance of their assigned duties. Internal Control responsibilities are established in various policies, procedures, and documents including the Code of Conduct. Bank of the Pacific is an Equal Opportunity Employer committed to diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, marital status, age, disability or protected veteran status. Salary Range Disclaimer: The base salary range represents the minimum and the maximum of Bank of the Pacific's salary range for this position. Actual salaries will vary depending on factors related to business needs and the employee's relevant knowledge, qualifications, experience, and job performance for the position. 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.

CRA & Compliance Officer

Responsive recruiter RESEARCH &amp; COMPLIANCE SPECIALIST Position Description Department:Rehab Reports to (title):Rehab Manager Hours/week: 40 Job Location: Lumbee Tribe of North Carolina Type of Position: Full-Time Classification: Non-Exempt Effective Date: 06/2025 PERFORMANCE EXPECTATIONS In performance of their respective tasks and duties all employees of Lumbee Tribe of North Carolina are expected to conform to the following: <ul><li>Uphold all principles of confidentiality to the fullest extent.</li><li>Adhere to all professional and ethical behavior standards of the tribal government. </li><li>Interact in an honest, trustworthy, and respectful manner with employees, Tribal members, visitors, and vendors.</li><li>Participate in departmental staff meetings, quality management activities and educational programs.</li><li>Comply with Lumbee Tribe's policies and procedures.</li><li>Maintain a current insurable driver's license.</li></ul>POSITION PURPOSEThe Research and Compliance Specialist will assist Tribal Staff and clients in compliance, documentation, and research of eligibility criteria and tribal law. ESSENTIAL DUTIES, FUNCTIONS, &amp; RESPONSIBILITIES <ol><li>Continue the intake follow up process with applicants for services. </li><li>Review the applicant's file for necessary documents. Contact applicant or lender/vendors to inform of any missing and necessary documents. </li><li>Perform typing, data entry, filing, records maintenance, report preparation and other assigned clerical and support duties and responsibilities to make sure that all Tribal Members are in compliance with the requirements established by the guidelines. </li><li>Update Housing database for compliance to assure data accuracy and eligibility for services in accordance with Rehabilitation, Tribal, and HUD guidelines. </li><li>Assist Homeowner Specialist and serves as a witness in Bidding Process and Contract Procurement to ensure that all company policies, procedures and guidelines has been implemented. </li><li>Maintain Qualified Bidders list by ensure that all contractors comply with the guidelines established by the Lumbee Tribe Rehabilitation Department and HUD. </li><li>Assist Intake Specialist with housing Applications in the (4) Rehabilitation Programs Offered. </li><li>Research external sources to verify client eligibility. (I.e. electronic documents lenders, tax office, criminal record check, etc.). </li><li>Process approximately 20 homeowner/vendor/contractors phone calls per day. </li><li>Compile and maintain monthly reports and provide to Program Manager. </li><li>Serves as next point of contact for Rehabilitation Dept. secretary. </li><li>Participate in orientation, training and other personal and professional development related to assigned responsibilities. </li><li>Perform other duties and responsibilities as assigned. </li></ol> MINIMUM MANDATORY QUALIFICATIONS Experience: <ul><li> Three to five years of experience. </li><li>A minimum of five years successful experience with tribal, social or community-based services is preferred. </li></ul>Education: <ul><li> High school diploma is required. </li><li>Graduation from an accredited school with a two - year degree is preferred. </li></ul>Mandatory Knowledge, Skills, Abilities, and Other Qualifications: <ul><li> Must possess good communication skills, the ability to relate to diverse populations, computer skills, organizational skills and positive working relations with both internal and external agencies and programs. </li><li>A valid NC Driver's License is required. </li></ul>WORK ENVIRONMENT Work environment: The work environment characteristics described here are representative to those an employee encounters while performing the primary functions of this job. Normal office conditions exist, and the noise level in the work environment can vary from low to moderate. Limited overnight travel may be required from time to time. Physical demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the primary functions of this job. While performing the duties of this job, the employee may be required to frequently stand, walk, sit, bend, twist, talk, hear and perform repetitive motions. There may be prolonged periods of sitting, keyboarding, reading, as well as driving or riding in transport vehicles. The employee must occasionally lift and/or move up to 50 pounds. Specific vision abilities required by this job include reading, distance, computer, and color vision. Talking and hearing are essential to communicate with clients, vendors, and staff. Mental demands: There are a number of deadlines associated with this position. The employee must be able to handle frequent interruptions and must also multi-task and interact with a wider variety of people on various and, at times, complicated issues. INDIAN PREFERENCE The Lumbee Tribe of North Carolina has implemented an Indian Preference in Employment Policy. Pursuant to this Policy, applicants who possess the knowledge, skills, and abilities required by this position, and who are members of the Lumbee Tribe will be given primary preference for hiring and employment after providing proof of tribal membership. Indian preference is integrated into the interview and scoring process for candidates for job positions. OTHER Confidentiality: All employees must uphold all principles of confidentiality to the fullest extent. This position has access to sensitive information and a breach of these principles will be grounds for immediate termination. Background Investigation: This position is subject to a criminal history background check, and a Motor Vehicle check. Candidates must successfully pass all required background checks in order to qualify for this position. Drug Screening: All applicants must successfully pass a pre-employment drug screening prior to beginning employment and will be subject to random drug testing. Disclaimer: The information on this position description has been designed to indicate the general nature and level of work performance by employees in this position. It is not designed to contain, or be interpreted as, a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this position. Employees will be asked to perform other duties as needed. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law. The Lumbee Tribe of North Carolina is an organization derived of individuals working to provide services to the Lumbee people of Robeson, Hoke, Cumberland, and Scotland Counties. We pride ourselves on selecting the best talent and are committed to providing a safe place of employment for our team members. Each application is thoroughly reviewed and carefully considered. Thank you for choosing our organization to continue your professional development. Once your application is submitted we will be in touch to determine next steps. Cheryl Chavis - Manager, Human Resources

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