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Work Location: New York, New York, United States of America Hours: 40 Pay Details: $86,840 - $139,360 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Compliance Job Description: Department Overview: 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. TD Bank is seeking a Manager to coordinate across Compliance Programs to proactively prepare for audit exams. The manager is responsible for developing an annual plan to address audit requests and feedback. The role requires excellent business writing skills, strong organization skills, attention to detail, and strong executive communication skills to interact with senior compliance stakeholders and audit partners. Job Summary: The Compliance Governance &amp; Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events. Depth &amp; Scope: <ul><li>Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas</li><li>Integrates knowledge of the enterprise sub-function's or business line's overarching strategy in developing solutions across multiple functions or operations</li><li>Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services</li><li>Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists</li><li>Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity</li><li>Independently manages end-to-end functional programs</li><li>Uses sophisticated analytical thought to exercise judgement and identify solutions</li><li>Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions</li><li>Impacts the achievement of sub-function or business line objectives within the area they are accountable for</li><li>Work is guided by policies and industry standards/methods</li><li>Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders</li><li>Works autonomously as the lead and guides others within area of expertise</li></ul>Education &amp; Experience: <ul><li>Undergraduate degree or equivalent work experience</li><li>7+ years of experience</li></ul>Desired Skills &amp; Experience: <ul><li>Minimum of 8 years of experience in Compliance, Risk Management, Audit, or a related compliance role.</li><li>Strong executive writing skills for senior audiences focused on messaging, clarity, and precision.</li><li>Proficiency in Microsoft Office Suite - especially Microsoft PowerPoint, Excel, Word, and Visio.</li><li>Strong stakeholder management skills across different Compliance groups and audit.</li><li>Strong analytical and communication skills with the ability to escalate and articulate risks to senior leadership.</li><li>Exceptional attention to detail, organizational skills, and critical thinking skills.</li></ul>Customer Accountabilities: <ul><li>Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups</li><li>Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization</li><li>Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)</li><li>Assists Compliance team members in the use of Issues and Events system for tracking and reporting</li><li>Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program</li><li>Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required</li><li>Delivers relevant subject matter expertise and Compliance advice to business Compliance partners</li><li>Interacts with control functions within the organization</li><li>Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs</li><li>Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive</li></ul>Shareholder Accountabilities: <ul><li>Adheres to enterprise frameworks and methodologies that relate to activities for our business area</li><li>Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate</li><li>Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)</li><li>Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience</li><li>Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices</li><li>Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists</li><li>Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues</li><li>Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite</li></ul>Employee/Team Accountabilities: <ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest</li><li>Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques</li><li>Participates in personal performance management and development activities, including cross training within own team</li><li>Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally</li></ul>#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 If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a>. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Compliance Governance & Operations Manager (US)

Job Description Purpose of the role To use innovative data analytics and machine learning techniques to extract valuable insights from the bank's data reserves, leveraging these insights to inform strategic decision-making, improve operational efficiency, and drive innovation across the organisation. Accountabilities <ul><li>Identification, collection, extraction of data from various sources, including internal and external sources.</li><li>Performing data cleaning, wrangling, and transformation to ensure its quality and suitability for analysis.</li><li>Development and maintenance of efficient data pipelines for automated data acquisition and processing.</li><li>Design and conduct of statistical and machine learning models to analyse patterns, trends, and relationships in the data.</li><li>Development and implementation of predictive models to forecast future outcomes and identify potential risks and opportunities.</li><li>Collaborate with business stakeholders to seek out opportunities to add value from data through Data Science.</li></ul>Assistant Vice President Expectations <ul><li>To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.</li><li>Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes</li><li>If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others.</li><li>OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.</li><li>Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.</li><li>Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.</li><li>Take ownership for managing risk and strengthening controls in relation to the work done.</li><li>Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.</li><li>Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.</li><li>Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.</li><li>Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.</li><li>Influence or convince stakeholders to achieve outcomes.</li></ul>All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship - our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset - to Empower, Challenge and Drive - the operating manual for how we behave. As Fraud and Financial Crime Analyst within Fraud Analytics at Barclays, you will be responsible for the development and enhancement of fraud / financial crime detection systems. Applying advanced analytical methods and data-driven approaches, you'll improve our ability to detect and prevent fraud and financial crime across a variety of banking products and services. You'll work closely with other experts in the field, helping us stay one step ahead in addressing fraud risks. To be successful as a Fraud and Financial Crime Analyst, you should have experience with: <ul><li>A Degree in Mathematics, Statistics, Computer Science, or a related field (or equivalent work experience).</li><li>Experience in money mule, financial crime or fraud detection, scam prevention, or cybersecurity, ideally in a financial services or banking environment.</li><li>Proficiency in data analysis, with hands-on experience using tools and languages such as Python, R, SQL, SAS and machine learning frameworks.</li></ul>Some other highly valued skills may include: <ul><li>Experience in change delivery and integration, ideally within fraud systems and controls.</li></ul>You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills. This role will be located at our Northampton office.

Fraud and Financial Crime Analyst

About the Role: Grade Level (for internal use): 12 The Role: MI Compliance Director and Money Laundering Reporting Officer - S&amp;P Global Market Intelligence Division Location: London, UK - Hybrid Grade: 12 The Team: The Compliance team dedicated to the S&amp;P Global Market Intelligence division serves in an advisory capacity to the organization on the design and execution of strategy, making risk-based decisions, and evaluating opportunities while ensuring adherence to S&amp;P Global's policies and procedures. The Role: The successful candidate will be responsible for fulfilling the SMF 16 (Compliance Officer) &amp; 17(Money Laundering Reporting Officer) roles on behalf of our Public Credit Markets business. Individuals holding SMFs are responsible for key areas and decisions, and will be responsible for ensuring the division is appropriately adhering to applicable regulatory requirements. The SMF 16 role is responsible for developing, implementing, and maintaining comprehensive compliance frameworks that protect the organisation from potential regulatory breaches The SMF17 Money Laundering Reporting Officer (MLRO) role is focused on financial crime prevention and is responsible for developing and implementing comprehensive anti-money laundering (AML) strategies. Additionally, this role will be responsible for supporting the implementation and monitoring of the Compliance Program for S&amp;P Global Market Intelligence. The role involves a range of activities, including providing: (i) compliance advisory services, (ii) education &amp; training, (iii) reporting to compliance management on compliance developments, and (iv) participating in reviews, investigations, and other compliance monitoring activities. Besides technical knowledge and experience in the operation of compliance programs, the ideal candidate should have the ability to build strong relationships (within the Division, across Legal &amp; Compliance, and other key control functions), be collaborative and a team player, have excellent communication skills, and the ability to maintain a realistic balance among multiple priorities. This role will report directly to the Head of Compliance for the S&amp;P Global Market Intelligence Division. What's in it for you? <ul><li>This role provides an opportunity to make a significant and visible contribution to the divisional compliance team where the individual can develop a strong expertise around the compliance control function.</li><li>Learning and development opportunities to learn new skillsets, broaden understanding of Compliance, and take ownership/leadership of initiatives.</li><li>Exposure to the S&amp;P Global Market Intelligence senior leadership team and the opportunity to gain insights on compliance matters that impact the current business landscape.</li><li>Ability to shape the compliance program and have an impact in driving the program across the firm.</li></ul>Responsibilities: <ul><li>Fulfilling the SMF 16 (Compliance Officer) &amp; 17(Money Laundering Reporting Officer) roles on behalf of our Public Credit Markets business. </li><li>Ensuring that the company and its employees are adhering to applicable regulatory requirements.</li><li>Providing expert guidance to senior management on regulatory matters, and ensuring the organisation's operations consistently align with FCA requirements.</li><li>Partner with business leaders to provide fit-for-purpose compliance support and advice to the Division.</li><li>Set strategic priorities with the Head of Compliance for the Division to identify areas of focus and identify metrics for evaluating performance of relevant controls.</li><li>Collaborate with divisional functions to implement relevant compliance policies and procedures, fostering a culture of adherence to applicable rules and regulations.</li><li>Direct the conduct of and lead compliance-related internal investigations (or the compliance-related aspects of any wider internal investigations) of potential policy breaches, including preparing memoranda and reports of reviews conducted, conclusions, and required actions.</li><li>Identify potential areas of compliance vulnerability and risk; implement corrective action and provide general guidance on how to avoid or deal with similar situations in the future.</li><li>Review and approve content intended for external parties to ensure compliance with internal policies &amp; procedures.</li><li>Advise business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point.</li><li>Work with the team to evaluate, integrate, and automate reporting and metrics to </li></ul>highlight key insights into compliance efforts. <ul><li>Collaborate with other Divisions to share best practices and ensure valuable information sharing.</li><li>Serve as manager and mentor, helping to train and develop junior staff.</li><li>Lead or participate in compliance-related projects and initiatives, as well as providing guidance on business initiatives.</li></ul>What We're Looking For Required Skills, Experience, and Knowledge: <ul><li>Prior experience interacting with the FCA</li><li>Prior experience serving in the capacity of an SMF</li><li>In depth knowledge of financial regulations</li><li>10+ years of proven experience in a compliance role within the financial services industry.</li><li>Bachelor's degree in business, accounting, law or other finance related discipline; advanced degree such as JD/MBA highly preferred.</li><li>Demonstrated ability to develop compliance strategies and solutions in complex environments.</li><li>Independent, self-starter and problem-solver capable of working without close supervision or daily guidance; diligent and attentive to details; able to prioritize tasks and work well under pressure.</li><li>Exceptional public speaking and written communication abilities, complete with strategic influencing acumen - must be clear and concise.</li><li>Competencies to translate compliance concepts into practical applications of day-to-day operations.</li><li>Highly skilled in influencing and communications, capable of addressing complex matters with senior stakeholders.</li><li>Ability to work harmoniously with teams across regions and time zones.</li><li>Aptitude to establish an inspiring team culture with a sense of belonging and purpose based on a common set of values and behaviors.</li></ul>What's In It For You? Our Purpose: Progress is not a self-starter. It requires a catalyst to be set in motion. Information, imagination, people, technology-the right combination can unlock possibility and change the world. Our world is in transition and getting more complex by the day. We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow. At S&amp;P Global we transform data into Essential Intelligence®, pinpointing risks and opening possibilities. We Accelerate Progress. Our People: We're more than 35,000 strong worldwide-so we're able to understand nuances while having a broad perspective. Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all. From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it. We are changing the way people see things and empowering them to make an impact on the world we live in. We're committed to a more equitable future and to helping our customers find new, sustainable ways of doing business. We're constantly seeking new solutions that have progress in mind. Join us and help create the critical insights that truly make a difference. Our Values: Integrity, Discovery, Partnership At S&amp;P Global, we focus on Powering Global Markets. Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead. We start with a foundation of integrity in all we do, bring a spirit of discovery to our work, and collaborate in close partnership with each other and our customers to achieve shared goals. Benefits: We take care of you, so you can take care of business. We care about our people. That's why we provide everything you-and your career-need to thrive at S&amp;P Global. Our benefits include: <ul><li>Health &amp; Wellness: Health care coverage designed for the mind and body.</li><li>Flexible Downtime: Generous time off helps keep you energized for your time on.</li><li>Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills.</li><li>Invest in Your Future: Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.</li><li>Family Friendly Perks: It's not just about you. S&amp;P Global has perks for your partners and little ones, too, with some best-in class benefits for families.</li><li>Beyond the Basics: From retail discounts to referral incentive awards-small perks can make a big difference.</li></ul>For more information on benefits by country visit: <a href="https://spgbenefits.com/benefit-summaries" target="_blank">https://spgbenefits.com/benefit-summaries</a> Global Hiring and Opportunity at S&amp;P Global: At S&amp;P Global, we are committed to fostering a connected and engaged workplace where all individuals have access to opportunities based on their skills, experience, and contributions. Our hiring practices emphasize fairness, transparency, and merit, ensuring that we attract and retain top talent. By valuing different perspectives and promoting a culture of respect and collaboration, we drive innovation and power global markets. Equal Opportunity Employer S&amp;P Global is an equal opportunity employer and all qualified candidates will receive consideration for employment without regard to race/ethnicity, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, military veteran status, unemployment status, or any other status protected by law. Only electronic job submissions will be considered for employment. If you need an accommodation during the application process due to a disability, please send an email to: <a href="mailto:EEO.Compliance@spglobal.com" target="_blank">EEO.Compliance@spglobal.com</a> and your request will be forwarded to the appropriate person. US Candidates Only: The EEO is the Law Poster <a href="http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf" target="_blank">http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf</a> describes discrimination protections under federal law. Pay Transparency Nondiscrimination Provision - <a href="https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf" target="_blank">https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_…</a> 202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.2 - Middle Professional Tier II (EEO Job Group)

MI Compliance Director and Money Laundering Reporting Officer

About the Role Recognising that international collaborations are dynamic and complex, and an area to which governments and funders are paying increasing attention in view of national security, we are recruiting a Research Security and Compliance Manager. This role will lead a team in identifying and mitigating risks related to international collaboration and enhance assurance in line with UK legislation and funder requirements. About the Department Queen Mary University of London (QMUL) is a global university, with international collaboration forming a major part of its research portfolio. Its distinctive features are the scale and breadth of its international partnerships, the wide range of funding it accesses, and the significant impact of its research and innovation on societies and communities around the world. Enhancing our international research collaboration is one of the priorities of the University Strategy 2030. The Joint Research Management Office (JRMO) supports researchers across Queen Mary, University of London and Bart's Health NHS Trust. Our highly trained team is on hand to support a diverse range of research activities, from getting a project off the ground to ensuring its smooth running and future development. Our services include: Accurate project costing, Tender/application preparation and advice, Ongoing financial management of grants and awards, Assistance with ethics applications, Assistance with Medicines and Healthcare Regulatory Agency applications, International Research partnership building and bid development, risk assessment, export control, and research security compliance. About You This role will lead a team in identifying and mitigating risks related to international collaboration and enhance assurance in line with UK legislation and funder requirements. Managing a critical and ever-changing function in Trusted Research and security compliance, the postholder will be required to support the Head of International Research and Innovation in formulating policy and guidance to ensure Queen Mary's compliance with UK Export Control and security legislation, as well as monitoring legislative and funding compliance for international research collaborations within a global context. As part of the JRMO management team, with the potential to grow and develop the Research Security team, they will lead a team in advising Faculties on case due diligence, export licensing applications, and National Security and Investment Act (NSI Act) notifications, Foreign Influence and Registration Scheme (FIRS), and in developing University training concerning risks in international research. About Queen Mary At Queen Mary University of London, we believe that a diversity of ideas helps us achieve the previously unthinkable. We continue to embrace diversity of thought and opinion in everything we do, in the belief that when views collide, disciplines interact, and perspectives intersect, truly original thought takes form. Benefit We offer competitive salaries, access to a generous pension scheme, 30 days' leave per annum (pro-rata for part-time/fixed-term), a season ticket loan scheme and access to a comprehensive range of personal and professional development opportunities. In addition, we offer a range of work life balance and family friendly, inclusive employment policies, campus facilities and flexible working arrangements. Queen Mary's commitment to our diverse and inclusive community is embedded in our appointments processes. Reasonable adjustments will be made at each stage of the recruitment process for any candidate with a disability. We are open to considering applications from candidates wishing to work flexibly.

Research Security and Compliance Manager

About the Role A new opportunity has arisen for an experienced Estates Compliance Manager to join the Estates Team due to continued growth within the MMCG team. This is an office-based role working Monday-Friday within our Leeds Head Office, the role will also require the successful candidate to work 1 weekend in 6 on an on-call rota Salary up to £35,000 pa The role: As Estates Compliance Manager you will support the Head of Estates to ensure that the living environment for our service users are safe and of a high standard, while promoting compliance throughout the estate. You will be responsible for taking the lead and managing the estates operations, supplier performance, contracts and maintenance activity. You'll provide advice and support to ensure continued high standards of compliance across the business. Your responsibilities will include: <ul> <li>Deliver accurate reporting on statutory compliance, including fire &amp; water compliance requirements.</li> <li>Establish strong relationships with stakeholders, particularly within Operations and Finance, and manage Property service delivery standards.</li> <li>Ensure the Company fulfils all legal and statutory obligations in relation to facilitating health, safety and wellbeing of residents and staff while maintaining the structures and fabric of its property portfolio as a capital asset.</li> <li>Manage FM reactive, PPM, quoted work and supplier services and contracts, while monitoring KPI and SLA performance.</li> <li>Arrange contract meetings with suppliers and relevant Property Managers.</li> <li>Drive the provider of FRA / WRA for timely delivery of each risk assessment and ensure communication to Operations, H&amp;S and Property Services.</li> <li>Follow up FRA / WRA works and support Property Managers and Operations in the completion of the actions</li> <li>Work with the Facilities Manager to ensure PPM Compliance and Remedials completed in a timely manner and provide PPM planners for Homes.</li> <li>Provide accurate reporting, including Monthly Progress Reports and any other reports as requested.</li> <li>Ensure that all internal and external property customers are clearly communicated to, with a professional approach and attitude at all times</li> </ul>Knowledge and experience <ul> <li>Relevant work experience gained in an Administrative role</li> <li>Experience with contracts negotiation and management</li> <li>Knowledge of Health &amp; Safety legislation</li> <li>Understanding of the care industry and its property services</li> <li>Excellent planning, administration and organizational skills</li> <li>Excellent communication skills</li> <li>Strong numeracy, with the ability to interpret financial data</li> <li>CAFM System management and development</li> <li>Good IT literacy, particularly with the use of Microsoft Office suite applications</li> </ul>Who we are: We are a forward-thinking and colleague-centred care home provider with over 80 sites across the UK. The fact that we truly live and breathe our company values is what makes us really great, and our colleague's careers are at the heart of everything we do! Next steps: If this sounds like the opportunity for you, apply now and a member of our team will get in touch to discuss your CV and provide you with more details! Benefits <ul> <li>Simply Health - company funded, providing cashback for prescriptions, optical and dental costs 24/7 virtual GP access plus more for you and up to 4 children* </li> <li>Benefits platform - discounts across multiple retailers, leisure providers, hospitality etc. </li> <li>Pension Scheme with Royal London </li> <li>Flexible working patterns </li> <li>Cycle to work scheme </li> <li>Service recognition </li> <li>Training support and development opportunities </li> <li>Employee Assistance Programme </li> <li>Wellbeing support </li> <li>Discounted gym membership </li> <li>25 days holiday with the option to purchase more</li> </ul>*Benefits require completion of a 12-week probationary period before they can be accessed. Benefit subject to deduction not taking colleague below National Living Wage About us We're among the UK's largest independent care providers, employing thousands of staff in over 80 homes across the country. Investment in new technology and services is key to our reputation for high-quality care provision, as is our commitment to staff training programmes and our emphasis on progressive career paths. Our vision is to be the best quality, most highly regarded Care Provider in the United Kingdom, and an employer of choice for care workers. We truly understand... That people are unique - this means everyone we care for is one of a kind, so we surround ourselves in their stories and we celebrate their individuality. The importance of passion - it fills every one of us, it fuels our devotion for the people we care for, and it makes our homes happier. That honesty is everything - no-one wants to think about the time when a loved one needs care, but we'll be here to help when that time comes. That happiness comes with openness - we proactively support new friendships, new discoveries and better ways of living as our residents enter the next chapter in their lives.

Estates Compliance Manager

Head Of Compliance &amp; Planned Works Based in Feltham Permanent £75,000 - £77,000 40 Hour week About Lampton Group Established for over a decade, Lampton Group is wholly owned by the London Borough of Hounslow. This means we operate a commercially minded business, with a public service ethos. We work in close partnership with the Borough to provide commercial, strategic and social value to the community; any profits we make are invested back into essential services and community projects. We have three operating arms - Lampton Homes, Lampton Leisure and Lampton Services - each exists to enhance the lives of residents and support the council in supplying essential services. Why Join Lampton Group? <ul><li>We are LLW employer, offering annual pay and contract reviews</li><li>Hybrid working</li><li>25 days holiday allowance, plus bank holidays</li><li>Free GOLDgym membership </li><li>Enhanced Maternity and Paternity leave and Pension Scheme </li><li>Exclusive Discounts - save with Lampton Rewards and EE mobile offers</li><li>Refer a Friend Scheme - earn up to £250 for each new employee referred</li><li>Staff wellbeing perks - online GP access, EAP, health testing, flu Jabs, and eye care vouchers</li><li>Sustainability Perks - cycle to work and electric car salary sacrifice scheme</li><li>Career Growth - CPD training, structured development, and leadership opportunities</li></ul>About the Job Leading and managing the operational areas of Compliance and Planned Works, delivering through a combination of direct labour and sub-contractors. Striving for excellence, this role is critical in maintaining the safety, habitability, and satisfaction of our customers. Showing a flair for continuous improvement and a passion about delivering a service for our customers shaped with our customers. Key Responsibilities include: <ul><li>Oversight of the delivery of compliance (including repairs and remedial works) and planned programmes, ensuring compliance with health and safety regulations and industry standards meeting a high-quality standard of work.</li><li>Ensure a customer-focused approach to service delivery, addressing customer concerns and act on feedback promptly and effectively.</li><li>Ensure 100% compliance across any areas of compliance the service manage.</li><li>Develop, implement, and monitor compliance policies and procedures.</li><li>Ensure adherence to housing regulations, health and safety standards, and other relevant legislation.</li><li>Implement and monitor key performance indicators (KPIs) to measure and improve service delivery.</li><li>Conduct regular audits and inspections to identify and address compliance issues.</li><li>Ensure team is considered expert in the areas of compliance they manage, providing information and support to other parts of the business.</li><li>Ensure timely reporting and documentation needed by stakeholders.</li><li>Lead, motivate, challenge, support and develop the responsive repairs, complex repairs and empty homes teams.</li><li>Ensure effective performance management, training, and development of staff.</li><li>To assist and deputise for the Director of Repairs and Maintenance as required. </li><li>Secure and manage external sub-contractors and suppliers, ensuring high standards of work and compliance with contractual agreements.</li><li>To build strong and effective relations to allow collaborative working with other stakeholders, including but not limited to: client representatives, suppliers, contractors, colleagues, residents and others as required. </li><li>Ensure you remain up to date with all relevant compliance and mandatory training that will enable you to fulfil the requirements of your role.</li><li>Oversee the planning and execution of maintenance and improvement projects.</li><li>Develop and manage budgets for compliance, repairs and planned work activities.</li><li>Coordinate with contractors, suppliers, and internal teams to ensure projects are completed on time and within budget.</li><li>Monitor the quality of work and ensure it meets the expected high standards.</li><li>Develop and implement strategic plans to enhance compliance and planned work functions.</li><li>Provide regular management information, performance and budget reports to the Executive team, board and other stakeholders on compliance and planned work activities.</li><li>To work to continuously improve the productivity and service delivery and foster a culture of continuous improvement and innovation within the team.</li><li>Develop and maintain strong relationships with customers, stakeholders, and partners.</li></ul>Experience and Qualifications required <ul><li>HND / Degree or equivalent qualifications or experience in a construction related subject.</li><li>IOSH or similar H&amp;S qualification.</li><li>Demonstratable 'competent' person qualification(s) for the 'Big 6' areas of compliance, including external audits</li><li>P405 for asbestos as a minimum asbestos related qualification.</li><li>Relevant experience leading multi-disciplinary teams across multiple workstreams.</li><li>Relevant experience in social housing repairs or a similar industry sector.</li><li>Excellent leadership, communication, and organisational skills.</li><li>Strong IT skills and demonstrable data analytics skills. </li><li>Demonstrable commercial acumen and experience of managing budgets in range of £10-20m.</li><li>Ability to work collaboratively with diverse teams. </li><li>Ability to manage multiple projects and priorities effectively.</li><li>Proficiency in using compliance management software and tools and scheduling software.</li><li>Customer-focused with a commitment to delivering high-quality services.</li><li>Experience managing a large work force (100+ people) desirable. </li><li>Full UK driving license</li></ul>Due to the needs of the business and the department, we may interview suitable candidates before the closing date. This job may also close early if a large number of applications are received. You are advised to submit your application as early as possible to avoid missing your chance to apply. Diversity, equity and inclusion are at the heart of what we value as an organisation. Lampton Group is an equal opportunities employer and all qualified applicants will receive consideration for employment without regard to race, religion, sex, sexual orientation, age, disability or any other status protected by law. Our recruitment team are happy to support with any reasonable adjustments that are needed within the recruitment process.

Head of Compliance & Planned Works

The Vacancy RSK is seeking a Supply Chain Compliance Manager to join our central procurement team. This is a full time (40 hours pw) permanent role, flexible and hybrid working with an expectation of regular travel to our Helsby Office in Cheshire. This new role will be instrumental in developing and implementing a supply chain compliance programme, ensuring alignment with CSRD (Corporate Sustainability Reporting Directive), DMA (Double Materiality Assessments), supplier approval processes, and RSK's Second Nature Sustainability objectives. Key Responsibilities: Global Supply Chain Compliance &amp; Risk Programme <ul> <li>Develop and oversee a supplier compliance framework covering CSRD (Corporate Sustainability Reporting Directive), Double Materiality Assessments (DMA), supplier approval, and ethical procurement.</li> <li>Ensure global compliance while working with regional teams to incorporate local regulatory requirements and industry best practices.</li></ul>Sustainable Procurement &amp; ESG Strategy <ul> <li>Develop and track sustainable procurement KPIs, ensuring continuous improvement in supplier sustainability performance.</li> <li>Support the development of a strategy to reduce Scope 3 emissions, ensuring alignment with RSK's sustainability and decarbonisation goals.</li></ul>Supply Chain Audits &amp; Assurance <ul> <li>Develop and manage a supplier audit programme, ensuring high-risk suppliers are regularly reviewed for compliance.</li> <li>Ensure robust supplier ESG reporting, particularly around Scope 1, 2, &amp; 3 emissions, ethical sourcing, and social responsibility.</li></ul>Stakeholder Engagement &amp; Process Optimisation <ul> <li>Act as a subject matter expert in supply chain compliance and sustainability, advising internal teams and suppliers on best practices. Assist in bid preparation where required. </li> <li>Work closely with Procurement teams, Category Managers, Supplier Relationship Managers, and business units to ensure compliance is integrated into procurement decisions.</li></ul>Person Specification: <ul> <li>Extensive experience in supply chain compliance, sustainable procurement, and ESG risk management within a global or multi-regional environment.</li> <li>Strong knowledge of regulatory frameworks such as CSRD, DMA, ISO standards, and Ecovadis, as well as industry-specific compliance requirements.</li> <li>Proven ability to design and implement supplier risk management frameworks, including data-driven audit and assurance processes.</li> <li>Experience leading cultural change within procurement or supply chain functions, driving engagement and adoption of compliance programmes.</li> <li>Proficiency in procurement systems and platforms, with an understanding of their role in supporting supplier compliance and risk management.</li></ul>Salary and Benefits: <ul> <li>Salary up to £50,000 depending on experience</li> <li>Life assurance</li> <li>A flexible benefits programme, including the option to buy additional holidays and private healthcare</li> <li>Regular training and career development</li> <li>Access to mental health support</li> <li>Professional financial advice</li> <li>Discounted gym memberships</li></ul>A full job description is attached under documents RSK Group is an Equal Opportunities Employer #rskfamily RSK will not accept unsolicited CVs from agencies other than RSK PSL or Secondary agencies The Company RSK is a global leader in sustainable solutions focusing on environmental, engineering, and technical services. Working together, we address societal challenges aligned with the United Nations Sustainable Development Goals, offering integrated solutions across sectors such as water, energy, food, infrastructure, cities, mining, and waste management. We are committed to fostering an inclusive workplace that welcomes individuals from all backgrounds, experiences, and perspectives. We firmly believe that embracing and celebrating the diversity in our workforce makes us a stronger and more innovative company. By providing workplace adjustments, we make it easier for people to confidently explore and pursue our career opportunities and recognise that flexibility is key to fostering a dynamic and thriving workplace. Many of our office-based positions benefit from a flexible working arrangement, allowing our team members to achieve a balance between professional and personal commitments. We actively encourage applications from candidates of all genders, races, ethnicities, ages, neurotypes, religions or beliefs, sexual orientations, and those with disabilities. Since the beginning, our philosophy has remained the same: employ, develop and reward talented individuals. People are crucial to our company, and we recognise that our success hinges on our colleagues' growth. We're committed to preserving RSK's people-first culture, promoting innovation, and fostering a supportive and caring environment for collaboration. At RSK, we want you to be part of our successes and help you reach your career aspirations. We take pride in offering employees fulfilling and challenging careers by promoting ongoing growth and empowering individuals to excel. If you're passionate about making a difference, join us as we work together to build a brighter, more equitable, and sustainable future for all. Do you have what it takes? Our Story Benefits Life Assurance Annual Leave Purchase Cycle to Work Scheme Discounted Gym Membership Mental Health Support Electric Vehicle Salary Sacrifice Scheme

Supply Chain Compliance Manager

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

Inbound Logistics and Trade Compliance Senior Manager, EMEA

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

Senior Benefits & Compliance Specialist

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

Labor Compliance Specialist

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

Senior Regulatory Compliance Manager

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

Legal and Compliance Manager

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

Trust Compliance and Legal Officer

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

Director of Compliance

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

Compliance Administrator

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

Compliance Analyst

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

Corporate Responsibility & Compliance Analyst

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

Sr. Analyst, Enterprise Risk Management

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

Compliance Program Manager (Lending)

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

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

Head of Compliance, Commercial and Small Business Banking

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

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

Head of Compliance, Platforms & Technology, Digital and Marketing

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

Head of Compliance, RESL

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

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