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Responsibilities TikTok is seeking a Compliance Analyst to be part of the USDS Security Risk and Compliance team. The role will have a significant impact on mitigating security and compliance risk, and maturing USDS operations to meet its compliance objectives. Responsibilities include but are not limited to: - Compliance - Understand USDS compliance requirements including data security, data governance and be able to answer business driven oncall inquiries and deliver feedback to enable compliance operations - Drive compliance assessments and identify compliance risks and mitigations for new product and feature launches - Act as a compliance advisor and partner to enable business operations and Security and Privacy groups by assisting them in the implementation of data security, compliance requirements, and information security technologies - Identify security and compliance risks to the business units and ensure appropriate data security procedures are implemented in projects and technology - Program Management: - Deliver strong customer service to your global business stakeholders including responsiveness, follow through and clear communication - Develop and measure KPIs derived from business driven oncalls to help manage team performance and key compliance risks that can impact organizational compliance and regulatory requirements - Use technology to develop automated mechanisms for responding to business inquiries more efficiently - Utilize case management systems to track business inquiries and compliance assessments Qualifications Minimum Qualifications - Experience with U.S. Regulatory compliance requirements and implementing data security and governance programs - Experience identifying compliance or privacy risks for new product/feature launches - Ability to collaborate with global engineers and product managers on product/feature launches - Experience with case management tools or oncall management and ability to respond to compliance or security driven inquiries - Experience conducting data driven compliance assessments including analyzing data fields and complex data flows - Ability to collaborate with operations teams, communicate technical concepts to a broad range of technical and non-technical staff, and provide compliant solutions - Demonstrates excellent organizational direction, time management, problem-solving, prioritization, goal setting, leadership, motivation, negotiation, and interpersonal relations; 3-5+ years applicable experience Preferred Qualifications: - Start-up experience - Experience with GDPR reporting, privacy reporting, or regulatory compliance reporting - CISSP / CISA / CISM - Experience with case management tools or GRC platforms (JIRA, Archer) - Experience with risk and controls frameworks including (ISO 27001, NIST CSF, NIST RMF, FAIR, COBIT, NIST RMF, ISO 31000 etc.)

Compliance Analyst - USDS

Description Compliance Advisory Officer We are looking for a Compliance Advisory Officer in our Compliance team. The Compliance Team is an essential component of Funding Circle's second line of defence risk framework which means working to identify, control and monitor our regulatory, reputation and conduct risks. We advise and work with the Business Teams with respect to compliance with regulatory requirements and Funding Circle policies. Additionally, we monitor and test the Business Teams adherence to those requirements and policies to provide assurance to senior management and the Board of Directors. Who are we? We're Funding Circle. We back small businesses to succeed. At Funding Circle, we believe the world needs small businesses. That's why we've made it our mission to help them get the finance they need to grow. With more than a decade of expertise under our belt, we've built a game-changer of a platform with cutting-edge data and technology that's reshaping the landscape of SME lending. Say goodbye to lengthy applications and hello to lightning-fast decisions! In just minutes, SMEs across the UK can get a decision, giving them access to competitive funding in a flash. We know that good business is about good people. So we pride ourselves on providing meaningful, human support as well as fast, hassle free processes to deliver an unbeatable customer experience. The role As a Compliance Advisory Officer, you will work closely with your Compliance and Business Team colleagues to support the delivery of the UK compliance plan. You will generally be able to handle day to day work independently but will be supported on new projects or assignments. Your reporting will provide the Legal and Compliance Leadership Team and Senior Business Management with a clear picture of how the business is complying with its obligations, identify areas for development and make constructive recommendations for improvement. <ul><li>Provide advice to Business Teams and management on key compliance themes and issues, including those identified by Compliance Monitoring</li><li>Participate as an effective member of cross-functional teams addressing business processes, new regulatory requirements, or other matters that require Compliance advice</li><li>Develop and maintain effective working relationships with key stakeholders within the business. Attend key business meetings and where necessary, negotiate and influence to ensure compliance risks are adequately addressed</li><li>Participate in strategic projects and initiatives with other legal and compliance professionals relating to the business</li><li>Review and approve marketing materials, business standards and other compliance related materials</li><li>Develop and maintain compliance policies, standards and training materials, including those that support new products and processes</li><li>Develop and maintain technical knowledge of relevant regulations (i.e. SMCR, COBS), keeping up to date with new developments and the latest regulatory position</li><li>Contribute to the periodic review and update of the compliance risk assessment in line with Funding Circle's Enterprise Risk Management Framework</li><li>Proactively problem solving, identifying and confidently mitigating any risks, issues or control weaknesses that arise in your day-to-day</li></ul>What we're looking for <ul><li>Minimum of 2 years Compliance experience in a Payments environment</li><li>Practical understanding of regulations that affect Peer to Peer Lending platforms would be advantageous</li><li>Able to demonstrate working knowledge of Financial Services regulation</li><li>Practical knowledge of risk management, monitoring and audit good practices</li><li>Experience in card products would be beneficial</li></ul>At Funding Circle we are committed to building diverse teams so please apply even if your past experience doesn't align perfectly with the requirements. Want to learn more? <ul><li>We have a huge impact on the businesses that borrow through our platform, the communities they serve and the overall economy (last year £6.9bn of GDP generated). You can read our full Impact Report here: <a href="https://www.fundingcircle.com/uk/impact" target="_blank">https://www.fundingcircle.com/uk/impact</a></li><li>To see what our customers think, visit our Trustpilot page: <a href="https://uk.trustpilot.com/review/fundingcircle.com" target="_blank">https://uk.trustpilot.com/review/fundingcircle.com</a></li><li>And we're still evolving! Our award-winning multi-product platform is solving more SME finance challenges than ever before. We think big, rally together and meet the needs of SME customers like no other.</li></ul>Why join us? At Funding Circle, we celebrate and support the differences that make you, you. We're proud to be an equal-opportunity workplace and affirmative-action employer. We truly believe that diversity makes us better. As a flexible-first employer we offer hybrid working at Funding Circle, and we've long believed in a 'best of both' approach to in-office collaboration and non-office days. We expect our teams to be in our London office three times a week, where you can take advantage of our newly refurbished hybrid working space, barista made coffee and subsidised lunches (via JustEat) every day! We back our Circlers to build their own incredible career, making a difference to small businesses every day. Our Circler proposition is designed to support employees both in and out of work, and it is anchored around four pillars: Health, Wealth, Development &amp; Lifestyle. A few highlights: <ul><li>Health: Private Medical Insurance through Aviva, Dental Insurance through Bupa, MediCash, access to free online therapy sessions and exclusive discounts with Hertility for reproductive health support.</li><li>Wealth: Octopus Money Coach, free mortgage advisor partnership and discounts across numerous retailers through Perks at Work.</li><li>Development: Dedicated annual learning allowance and full access to internal learning platform.</li><li>Lifestyle: Wellhub (for fitness discounts), Electric Car Scheme and more!</li></ul>And finally, we have award winning parental leave policies supporting parents through enhanced maternity, partner and adoption leave, as well as additional leave for parental bereavement and for fertility treatments. Ready to make a difference? We'd love to hear from you. #LI-CS1

Compliance Advisory Officer

Building on our past. Ready for the future Worley is a global professional services company of energy, chemicals and resources experts headquartered in Australia.? Right now, we're bridging two worlds as we accelerate to more sustainable energy sources, while helping our customers provide the energy, chemicals and resources that society needs now. We partner with our customers to deliver projects and create value over the life of their portfolio of assets. We solve complex problems by finding integrated data-centric solutions from the first stages of consulting and engineering to installation and commissioning, to the last stages of decommissioning and remediation. Join us and help drive innovation and sustainability in our projects. Senior Compliance Manager Role Context: As a member of Worley's global Compliance team to promote, oversee and implement Worley's compliance program focusing primarily on Anti-bribery and anti-corruption framework to ensure compliance with applicable laws, Worley's Values and the Code of Conduct. You'll be: <ul><li>Overseeing the design and implementation of the global ABAC program including gifts, AML, Fraud, conflicts of interests, agents. </li><li>Ensuring that the ABAC program, including policy and objectives, is established, implemented, maintained and reviewed to adequately address the Worley's risks.</li><li>Ensure the integration of the ABAC program requirements into the Worley's processes.</li><li>Communicating internally the importance of effective ABAC program. </li><li>Ensuring that the ABAC program is appropriately designed to achieve its objectives. </li><li>Promoting an appropriate anti-bribery culture within the organization.</li><li>Provide input to the company's strategy with respect to anti-bribery and anti- corruption. </li><li>Opine on due diligence risk mitigation plans based on the ABC risks (due diligence team is separate).</li><li>Review and opine on bribery and corruption laws. </li><li>Conduct and manage global and project level risk assessments from an ABAC perspective. </li><li>Reporting on the performance of the anti-bribery management system to the CCO</li></ul>You'll have: <ul><li>A legal background with extensive work in Ethics &amp; Compliance field across multiple geographies. </li><li>A strong understanding of applicable laws, regulations, guidelines and standards of multiple jurisdictions, including Anti Bribery &amp; Corruption laws, fraud regulations, anti-money laundering provisions.</li><li>Effective application of legal knowledge and compliance experience to manage complex problems. </li><li>A strong experience in carrying out global and project risk assessments. </li><li>The ability to apply theoretical concepts in practical situations. </li><li>Excellent writing and analytical skills with strong attention to detail. </li><li>The ability to communicate clearly at all levels, set priorities, establish objectives and milestones, estimate timelines and schedule activities, identify, and allocate resources, effectively.</li><li>A strong sense of responsibility and ownership and ability to manage global time zones.</li><li>A Self-motivated and solution oriented attitude with excellent mentoring, collaboration, and team building skills.</li><li>An understanding of and adherence with Worley's Code of Conduct and values.</li></ul>Moving Forward: We want our people to be energized and empowered to drive sustainable impact. So, our focus is on a values-inspired culture that unlocks brilliance through belonging, connection and innovation. We're building a diverse, inclusive and respectful workplace. Creating a space where everyone feels they belong, can be themselves, and are heard. And we're not just talking about it; we're doing it. We're reskilling our people, leveraging transferable skills, and supporting the transition of our workforce to become experts in today's low carbon energy infrastructure and technology. Whatever your ambition, there's a path for you here. And there's no barrier to your potential career success. Join us to broaden your horizons, explore diverse opportunities, and be part of delivering sustainable change. #LI-HYBRID

Senior Compliance Manager

Work Location: London, United Kingdom Hours: 35 Line of Business: Financial Crime Risk Management Pay Details: We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role. Job Description: CUSTOMER <ul><li>Lead and manage a high performing team on delivery of AML/ATF, Sanctions, ABAC compliance programs and culture</li><li>Provide guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved</li><li>Provide strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities</li><li>Proactively advise covered TD businesses of new and changed AML/ATF/ Sanctions/ABAC regulatory and/or policy requirements and articulate the impact to their processes and controls</li><li>Contribute to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs</li><li>Work with senior business unit management / partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory / compliance issues</li><li>Provide insight, guidance, and recommendations and act as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing</li><li>Manage and provide oversight on day-to-day operations of the department and participate in enterprise wide or Customer focused special projects on behalf of FCRM</li><li>Deliver subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis</li><li>Co-ordinate/ Manage the team's participation in / responses to regulatory examinations and internal / external audits, reviewing, packaging, and tracking and providing information for department executive</li></ul>SHAREHOLDER <ul><li>Develop and oversee the implementation of business line policies and procedures</li><li>Work closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise</li><li>Plan and execute on strategic activities, review, and communicate results, and adjust tactics accordingly</li><li>Proactively identify key business opportunities, research, and recommend enhancements / modifications, develop strategies to achieve recommendations and work closely with team to execute and implement</li><li>Understand TDBG issues / parameters and guide others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC</li><li>Provide oversight on risk assessment processes as required</li><li>Protect the interests of the organization - identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary</li><li>Keep current on emerging issues, trends, and evolving regulatory requirements and assess potential impacts</li><li>Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite</li><li>Liaise with regulatory and law enforcement agencies on AML/ATF/ Sanctions/ABAC examinations and related inquiries</li><li>Ensure employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing e operational and regulatory risk by complying with Bank policy and Code of Conduct</li></ul>EMPLOYEE / TEAM <ul><li>Responsible for management of the overall team providing both leadership and guidance</li><li>Contribute to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty</li><li>Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees</li><li>Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner</li><li>Manage employees in compliance with all human resources policies, procedures, and guidelines of conduct</li><li>Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams</li><li>Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes</li><li>Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives</li><li>Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives</li><li>Act as a brand ambassador for your business area/function and the bank, both internally and/or externally</li></ul>BREADTH &amp; DEPTH <ul><li>Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required</li><li>Support the development of a high-performance business oversight team as a member of the Leadership team.</li><li>Oversee and lead a large and/or highly complex and diverse AML/ATF/ Sanctions/ABAC F function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results</li><li>Provide oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities</li><li>Maintain highly specialized expertise and in-depth knowledge to manage AML/ATF/ Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines</li><li>Provide coaching, mentorship and guidance to practitioners, business, executives within area of expertise</li><li>Manage and oversee the overall discipline and strategy for the AML/ATF/ Sanctions/ABAC area while aligning to the enterprise best practices</li><li>Position typically deals with senior/executive management</li><li>Key contact for business management, regulators, and external/internal auditors, dealing with a broad range of issues including non-routine information</li><li>Focus on longer-range planning for functional area (e.g., 12 months or greater)</li><li>May manage and prioritize multiple projects at a given time</li><li>Act as highest point of team escalation for resolution and provides direction to resolve issues or escalate</li><li>Generally reports to executive management</li></ul>EXPERIENCE &amp; EDUCATION <ul><li>Undergraduate degree or equivalent work experience </li><li>10+ years experience</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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs. Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training &amp; Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Senior Manager, Financial Crime Risk Oversight

We are seeking an exceptional Chief Compliance Officer (CCO) to join our dynamic and rapidly growing asset management firm. The ideal candidate will be a seasoned compliance professional with a proven track record in navigating complex regulatory environments, particularly within the UK financial services sector. As a key member of our executive team, you will be responsible for developing and implementing a robust compliance framework that not only meets current regulatory requirements but also anticipates future changes in the regulatory landscape. Responsibilities <ul><ul> <li> Compliance Leadership and Team Development: Lead and enhance the compliance function, managing day-to-day operations while fostering the growth and development of team members to ensure a strong and effective compliance team.</li> <li> Senior Compliance Roles: Serve as Chief Compliance Officer (CCO), holding SMF16 and SMF17 designations in a UK regulated financial firm, demonstrating expertise in senior compliance leadership.</li> <li> Professional Network Utilisation: Leverage and expand a robust network of advisors to access expert guidance and strategic insights when needed, ensuring informed decision-making.</li> <li> Alternative Investment Expertise: Apply comprehensive knowledge of Alternative Investment Funds, particularly those based in Luxembourg and the Cayman Islands, to navigate complex regulatory environments.</li> <li> Digital Assets Expertise: Demonstrate familiarity with virtual/crypto assets, tokens, and MiCA regulations to support the company's innovative initiatives and stay ahead of emerging trends.</li> <li> Regulatory Filings Oversight: Oversee all regulatory filings for both the Company and the Funds, ensuring accuracy and compliance with relevant regulations.</li> <li> SMF Roles with FCA: Assume the SMF16 (Compliance Oversight) and SMF17 (MLRO) roles with the FCA, ensuring compliance with UK regulatory requirements.</li> <li> Global Compliance Support: Support the firm on all UK and global compliance initiatives, engaging with international regulatory bodies such as SEC (USA), NFA (USA), CSSF (Luxembourg), ADGM (Abu Dhabi), MISA (Saudi Arabia), RBI (India), Bank of Italy, and others as required.</li> <li> Organizational Growth and Strengthening: Continuously grow and strengthen the organization, focusing on regulatory compliance, oversight, and risk management to ensure sustainable growth.</li> <li> Cross-Jurisdictional Compliance: Ensure regulatory compliance across all jurisdictions as the organization expands, maintaining the highest standards of ethical business practices and compliance.</li> <li> Compliance Strategy Alignment: Collaborate with senior leadership to align compliance strategies with overall business objectives, fostering a culture of compliance throughout the organization.</li> <li> Regulatory Landscape Monitoring: Stay informed about evolving regulatory landscapes, particularly in the UK and EU, to proactively address compliance challenges and opportunities, ensuring the organization remains compliant and competitive.</li> </ul></ul>Requirements <ul><li> Proven Compliance Expertise: A seasoned professional with at least 15 years of experience in compliance, demonstrating a deep understanding of regulatory frameworks.</li></ul><ul> <li> UK Regulatory Expertise: Strong background in UK-FCA compliance and regulatory affairs, with a comprehensive grasp of relevant laws and guidelines.</li> <li> Senior Compliance Leadership: Experience as a Chief Compliance Officer (CCO) with current or recent roles as SMF16 and SMF17 in a UK regulated financial firm, ensuring familiarity with senior management responsibilities.</li> <li> Asset Management Experience: Proven track record in a UK-regulated asset management firm of similar scale (100-150 employees / 4-10 billion AuM), offering insights into operational complexities and regulatory requirements.</li> <li> Professional Network: Possession of a robust network of advisors, enabling access to expert guidance and strategic insights when needed.</li> <li> Alternative Investments Knowledge: In-depth understanding of Alternative Investment Funds, particularly those based in Luxembourg and the Cayman Islands, highlighting expertise in complex financial structures.</li> <li> Digital Assets Familiarity: Familiarity with virtual/crypto assets, tokens, and MiCA regulations, providing a competitive edge in emerging financial technologies.</li> <li> Strategic Vision: A strategic thinker capable of enhancing existing compliance policies, procedures, and infrastructure while implementing scalable structures to support the safe expansion of our global organization.</li> </ul>Benefits <ul> <li>Competitive bonus scheme.</li> <li>Bupa health &amp; dental, Cycle to Work scheme, enhanced pension, and generous annual leave.</li> <li>Enhanced parental leave, special leave allowances, and charity giving options.</li> <li>Regular team events, legendary summer &amp; Christmas parties, knowledge sharing sessions, and quarterly town halls.</li> <li>Team lunches, dinners, Friday drinks, team sport activities.</li> </ul>

Chief Compliance Officer

Compliance Analyst - MI Data Department: Risk &amp; Compliance Employment Type: Permanent - Full Time Location: London Description We are seeking a passionate and skilled Compliance MI Data Analyst to join our global Risk and Compliance team. This role plays a vital part in supporting the oversight functions of regional Compliance Heads and other compliance leads, based in the UK, Guernsey, or Jersey. If you would like to join an award winning and forward thinking firm whose inclusive culture and values recognise that its people are fundamental to its success, we would love to hear from you! About the role <ul><li>Utilise digital tools to analyse client data and generate compliance dashboards and reports. </li><li>Act as primary R&amp;C contact for certain Compliance digital applications to ensure effective performance and data integrity, liaising with IT and app vendor/developer.</li><li>Lead certain global R&amp;C digital processes to ensure proper functionality and appropriate work allocation. This may include re-working existing processes to transition to digital-led or outsourcing to other teams.</li><li>Test controls focussed on digital compliance processes and risk data integrity related to R&amp;C applications such as AML screening tools.</li><li>Work collaboratively with the broader R&amp;C team, other Business Service teams and the business to ensure a joined-up approach to legal and regulatory compliance data management.</li></ul>About you <ul><li>Demonstrated experience working with client data in a Client Administration, Compliance, Risk or operational control- type function within a regulated Financial Services Business.</li><li>Good knowledge of regulated corporate and fiduciary services in Jersey and/or Guernsey, Cayman and BVI. Knowledge of corporate and fiduciary services in other jurisdictions, such as the UK or EU is beneficial.</li><li>Strong knowledge of AML regulations in Jersey and/or Guernsey, Cayman, BVI, UK.</li><li>Good IT skills in Word, Excel, Power Point and Outlook. Ability to easily learn and use new client administration systems and digital applications and workflows.</li><li>Process-oriented mindset.</li><li>Capable of working independently with substantial information, organizing and analysing data effectively, with exceptional attention to detail.</li><li>Excellent written communication skills, able to convey information professionally and succinctly. </li><li>Proactive team player with robust organizational, analytical, and time management skills.</li></ul>

Compliance Analyst - MI Data

This is your opportunity to join AXIS Capital - a trusted global provider of specialty lines insurance and reinsurance. We stand apart for our outstanding client service, intelligent risk taking and superior risk adjusted returns for our shareholders. We also proudly maintain an entrepreneurial, disciplined and ethical corporate culture. As a member of AXIS, you join a team that is among the best in the industry. At AXIS, we believe that we are only as strong as our people. We strive to create an inclusive and welcoming culture where employees of all backgrounds and from all walks of life feel comfortable and empowered to be themselves. This means that we bring our whole selves to work. All qualified applicants will receive consideration for employment without regard to race, color, religion or creed, sex, pregnancy, sexual orientation, gender identity or expression, national origin or ancestry, citizenship, physical or mental disability, age, marital status, civil union status, family or parental status, or any other characteristic protected by law. Accommodation is available upon request for candidates taking part in the selection process. Job Description: Senior Compliance Manager, Advisory How does this role contribute to our collective success? This role supports the AXIS Compliance function across the UK, Europe and Bermuda to maintain, enhance and execute a robust compliance framework to provide evidence-based assurance of compliance with applicable regulatory compliance. The AXIS Compliance function operates within a cross-jurisdictional framework with strong collaboration across the wider Compliance team and other business areas. The role holder would be expected to be the internal subject matter expert for UK regulatory compliance but also engage with the wider Compliance team on matters of European and Bermudan regulatory compliance. Reporting to the Chief Compliance Officer, UK, Europe &amp; Bermuda, the role holder will be a member of the Compliance Senior Leadership Team and will be responsible for ensuring that AXIS operates with integrity and adheres to the applicable laws, regulations and internal policies. Subject to regulatory approval, the role-holder will assume the regulatory role of SMF-16 Head of Compliance of the Lloyd's Managing Agency, AXIS Managing Agency Limited (AMA). What will you do in this role? Compliance Advisory <ul><li>Act as the lead advisor to the AMA Board and Executive Management and provide expert guidance to the business on compliance and regulatory matters, including Conduct Risk and Financial Crime.</li><li>Oversee and maintain a robust framework for implementing applicable legal and regulatory developments to support the business to comply with regulatory requirements initially and on an ongoing basis.</li><li>Provide and present quality, timely, and concise reporting to the AMA Board and Executive Management and provide reports to any other applicable governance forum in line with the Board reporting cycle.</li><li>Design and deliver regulatory training to employees, with the support of Compliance Operations, in a manner that is appropriate to their role and seniority.</li></ul>Compliance and Regulatory Assurance <ul><li>Develop and maintain a robust risk-based compliance framework and ensure that the framework enables Executive Management to effectively understand, manage, monitor and mitigate AMA's various compliance and regulatory risks.</li><li>Develop and oversee the effective delivery of an Annual Compliance Plan for AMA, including compliance monitoring activities.</li><li>Proactively liaise with the second and third line to promote an integrated assurance model, specifically on regulatory developments.</li><li>Oversee the annual corporate policy refresh and lead on the embedding of all Compliance-owned Policies and Procedures across the business.</li></ul>Regulatory Engagement <ul><li>Manage the regulatory relationships with the Prudential Regulatory Authority (PRA), the Financial Conduct Authority (FCA), Lloyd's of London, Lloyd's Europe and any other applicable regulatory bodies, to maintain an ongoing positive and collaborative relationships with our regulators.</li><li>Lead and co-ordinate on all regulatory reviews, including thematic reviews, and provide robust responses to all ad-hoc regulatory requests.</li><li>Oversee controls related to timely and accurate submission of regulatory returns to the PRA, FCA and Lloyd's of London and Lloyd's Europe.</li><li>Oversee the annual Principles for Doing Business at Lloyd's attestation process and support and provide guidance to the business where needed.</li><li>Oversee SMCR compliance and support the business with Senior Manager Function regulatory applications.</li></ul>You may also be required to take on additional duties, responsibilities and activities appropriate to the nature of this role. About You: We encourage you to bring your own experience and expertise to the table, so while there are some qualifications and experiences, we need you to have, we are open to discussing how your individual knowledge might lend itself to fulfilling this role and help us achieve our goals. What you need to have: <ul><li>Educated to at least degree level in a relevant field such as Law, Business, Insurance, Risk Management and/or relevant insurance or compliance qualifications.</li><li>Experience of managing, or holding a senior position in, a high-performance compliance function in a non-life (re)insurer, preferably with experience working in a compliance function of a specialty insurer in the UK/Irish insurance market.</li><li>In-depth regulatory knowledge across a wide range of core compliance topics such as Financial Crime and Sanctions, SMCR, Conduct Risk, and Operational Resilience.</li><li>Ability to apply knowledge regarding supervisory frameworks and activities across a range of regulators including the PRA, FCA, Lloyd's of London, Lloyd's Europe and the Central Bank of Ireland (CBI).</li><li>Strong analytical skills that enable you to extract, understand and communicate core regulatory requirements.</li><li>Excellent communication skills, both written and oral, with expert report writing skills that enables you to communicate technical concepts in a practical manner to stakeholders across the business.</li><li>Ability to impact and influence at all levels of the organisation, including senior stakeholders.</li><li>Ability to proactively manage direct deliverables independently and to a high standard.</li><li>A natural team player who is comfortable collaborating in a fast-paced environment.</li><li>Strong attention to detail and accuracy with a proactive mind-set and a desire to learn and grow.</li><li>Ability to coach and mentor junior team members to support with the development of the skills set of the wider Compliance team.</li></ul>What we prefer you to have: <ul><li>Previously held an SMF-16 Compliance Oversight role.</li><li>Experience managing other supervisory bodies such as the CBI, Bermuda Monetary Authority or others.</li><li>Experience working within a global (re)insurance group with a presence in Europe.</li><li>Possess an awareness of European and Bermudan regulatory developments and requirements.</li></ul>Role Factors: In this role, you will typically be required to attend the London office 2-3 days per week. You may be required to infrequently travel internationally. What we offer: You will be eligible for a comprehensive and competitive benefits package which includes medical plans for you and your family, health and wellness programs, retirement plans, tuition reimbursement, paid annual leave, and much more.

Senior Compliance Manager, Advisory

About Kambi Kambi Group plc is a leading B2B provider of premium sports betting services to licensed gaming operators. Our services provide an end-to-end solution for operators wanting to launch a standalone Sportsbook or bolster their existing offering with an innovative sports betting product. From front-end user interface to customer intelligence, risk management and odds compiling, all built on our in-house developed software, we strive to deliver the ultimate service and solution to our partners. Our vision is to create the world's leading sports betting experiences, together with our partners. Type of contract: permanent Hybrid model: 2 days per week in the London office The team We're looking for an individual to support the legal team with Regulatory Research and Compliance. You will be joining a team of nearly 30 people split across London and Stockholm, helping to provide support to the Kambi business globally. As a Regulatory Research and Compliance Support function, your day-to-day will look like: <ul><li>Monitoring regulatory developments across 60+ jurisdictions by conducting relevant research.</li><li>Drafting and sending regular updates to internal stakeholders.</li><li>Supporting the creation of jurisdiction-specific files containing all relevant laws, regulations and administrative/judicial decisions.</li><li>Conducting client/supplier due diligence in accordance with internal processes.</li><li>Monitoring the status of licences of suppliers and operators.</li></ul>You'll be a great fit for the role if you have: <ul><li>4+ years professional experience, preferably working within compliance and/or regulatory affairs.</li><li>Proficiency in conducting desktop research.</li><li>Good analytical skills, and ability to understand, interpret and summarise complex information.</li><li>Strong organisational skills, proactivity, and attention to detail.</li><li>Capability to work autonomously and manage assigned tasks efficiently.</li><li>Strong communication and stakeholder management skills.</li><li>Fluent in both, written and spoken English. Any additional language knowledge is welcomed.</li><li>An eagerness to learn and a team-oriented mentality.</li></ul>Let's talk about what's in it for you? <ul><li>A friendly and supportive team</li><li>Exposure to the global business</li><li>Good development opportunities</li></ul>#wearekambi Kambi's ongoing commitment to Diversity and Inclusion in the workplace If you require any reasonable adjustment during the recruitment process, please notify your recruiter, who will assist you however they can. Diversity and inclusion is at the heart of who we are and who we aim to be. While we are proud of the positive and inclusive company culture we have created, we know we can do so much more. Kambi constantly evolves its Diversity and Inclusion strategy to ensure it becomes an even more inclusive and positive place to work, with the core management team reaffirming its commitment to delivering on employee feedback. Creating an inclusive environment We believe Kambi's greatest strength is the collective talent of our employees. Kambi is committed to ensuring we create an inclusive work environment where everyone can feel valued, thrive and achieve their potential, regardless of who they are or what their background is. We know that it is only by having a balance of different voices, values and opinions that Kambi is able to be the market leader it is today. #wearekambi

Compliance Officer (Regulatory Affairs)

Role Responsibility: Transformation Compliance Manager Salary: £58,000 per annum Working hours: Monday - Friday 8.30am-5.30pm Location: Tower Hamlets, E14 0JW Excellent Company benefits including Contributory Pension and Company Car G4S Facilities Management are recruiting a Transformation Compliance Manager on a full-time basis based within the London Borough of Tower Hamlets, focusing on our critical PFI contracts. The Transformation Compliance Manager will drive compliance across our PFI contracts. By embedding a data-driven approach and collaborating with operational teams, this role will ensure effective contract management and adherence to all requirements Key responsibilities: <ul><li>Manage health and safety compliance to mitigate corporate risks.</li><li>Support Contract Management in maintaining health and safety standards.</li><li>Drive the use of business compliance tools and audits to manage and resolve non-compliance issues.</li><li>Assist with incident investigations and analysis to promote best practices.</li><li>Coach and mentor the operational and compliance teams on compliance matters.</li><li>Monitor and identify future compliance activities to prevent non-compliance issues.</li><li>Review and improve operational and compliance documentation to meet deadlines.</li><li>Foster stakeholder engagement around compliance.</li><li>Collaborate with internal and external teams to ensure effective contract delivery.</li><li>Conduct compliance inspections and audits, and recommend and support improvements.</li><li>Stay updated on regulatory requirements and ensure compliance, especially in healthcare and safe</li></ul>The Ideal Candidate: Essential: <ul><li>NEBOSH General Certificate</li><li>Proven experience in auditing and performance monitoring</li><li>Experience in data analysis</li><li>Good knowledge of Computer Aided Facilities Management (CAFM) systems and SFG20</li><li>Strong personal impact and influencing skills to build and maintain customer confidence across transformation and closure activities</li><li>Flexible approach to stakeholder engagement</li><li>Experience managing difficult and complex change</li><li>Ability to produce accurate and detailed reports</li><li>Demonstrated accountability and ownership of work</li><li>Full mobility and clean, valid driving license</li><li>Proficiency with IT packages, including Google Suite, Microsoft Word, Excel, and PowerPoint</li></ul>Benefits While working for G4S, you are entitled to a number of benefits and offers from G4S partners and other organisations, from employee assistance provided through WeCare, to RAC cover and so much more, including the below; <ul><li>25 days holiday plus bank holidays</li><li>Progression, training and development catered to you.</li><li>Refer A Friend incentives</li><li>Company pension scheme with employer contributions.</li><li>G4S Life Assurance Scheme.</li><li>Subsidised healthcare plan.</li><li>Charity work- Match-IT and Payroll Giving.</li><li>Confidential Counselling Services</li><li>24/7 support specialising in health and medical</li><li>Discounts on high street shops and brands including several leading high street brands, retailers and travel suppliers.</li></ul>#Ll-RG1

Transformation Compliance Manager

FINALTO Senior Operational Risk Manager City, London Senior Operational Risk Manager Location: City, London Job Description Finalto is a leading financial services provider specialising in liquidity and trading solutions for institutional and retail investors. We are seeking an experienced and proactive Senior Operational Risk Manager to lead the development and enhancement of our operational risk framework. This role is ideal for a professional with a deep understanding of operational risk and the ability to apply industry-recognised techniques to drive value for the business and strengthen its operational resilience. As a key member of the team, you will collaborate with departments across the organisation, gaining exposure to all facets of risk management while working to embed a robust operational risk framework throughout the company. The ideal candidate will have a strong knowledge of operational risk and its integration into business processes, an understanding of technical systems and a proven ability to build effective working relationships across teams. This is a unique opportunity to make a meaningful impact on our organisation`s risk management practices while partnering with a dynamic and collaborative team. Key Responsibilities: <ul> <li>Risk Framework Development and Maintenance: Design, implement, and continuously enhance the operational risk management framework, policies, and procedures. Ensure alignment with industry best practices and regulatory requirements.</li> <li>Risk Identification and Assessment: Develop the understanding of identification and assessment of operational risks, including process inefficiencies, technology failures, fraud, compliance gaps, and external threats. Conduct regular risk and control assessments and scenario analyses to evaluate potential impacts and recommend mitigation strategies.</li> <li>Risk Monitoring and Reporting: Create risk reports for all levels from daily monitoring to board level reports -presenting clear and concise information to drive improvements and prioritisation. Develop and maintain key risk indicators and dashboards to monitor operational risks, identify trends and recommended areas of focus. Provide detailed and actionable risk reports to senior management, risk committees, and stakeholders.</li> <li>Incident Management and Analysis: Oversee the investigation of operational risk incidents, including root cause analysis, linking to risks and controls and documentation of lessons learned. Work with the business areas to implement actions to prevent recurrence and improve resilience.</li> <li>Business Continuity Planning: Review and develop Business Continuity Plans to ensure they are up to date, tested, effective and meet regulatory expectations. Work with technical teams to understand their processes in depth, including Disaster Recovery Plans to ensure they are tested and effective and meet regulatory expectations.</li> <li>Stakeholder Engagement and Advisory: Act as a trusted advisor to business units, providing guidance on operational risk matters. Collaborate with internal and external auditors, regulators, and third parties on risk-related issues. Working with departmental managers to develop policies and processes, presenting this in clear and understandable manner relevant to the users, utilising tools such as flowcharts.</li> <li>Training and Awareness: Develop and deliver operational risk training programs to build risk awareness and promote a culture of risk ownership within the organisation.</li> <li>Continuous Improvement: Stay updated on emerging risks, regulatory changes, and industry trends. Drive innovation in risk management practices and tools.</li> </ul> Skills and Qualifications: Qualifications <ul> <li>Professional qualification in Risk Management (IRM, IOR or similar). </li> <li>3+ years` experience in Operational Risk Management or Audit functions.</li> </ul>Technical Skills <ul> <li>Proficient in Microsoft Office programs (Excel, Word, PowerPoint).</li> <li>Experience with operational risk management software (knowledge of SharePoint is a plus).</li> <li>Strong written, verbal, and interpersonal communication skills.</li> <li>An understanding of and experience with financial products.</li> </ul>Personal Attributes <ul> <li>Approachable and able to collaborate effectively with individuals at all levels of the organisation.</li> <li>Strong presentation skills, including the ability to deliver training sessions to large groups.</li> <li>Self-motivated, responsible, and eager to enhance risk management expertise.</li> <li>Excellent problem-solving, analytical thinking, decision-making, and time-management abilities.</li> </ul>Our culture We combine a high level of professionalism and innovation with an excited and relaxed attitude; we host many nationalities and cultures within our company. Finalto Financial Services is part of the Finalto Group with offices in Denmark, United Kingdom, and Singapore. Travel can be expected for training and assistance to clients. For any questions or to submit your application, please contact Vicki Lawrence at <a href="mailto:vicki.lawrence@finalto.com" target="_blank">vicki.lawrence@finalto.com</a> .

Senior Operational Risk Manager

General Job Title: Head of Enterprise Risk Management Key Relationships: Risk and Compliance, Group Actuarial, Internal Audit, Culture &amp; People, Finance and Operations teams. Risk &amp; Regulatory, Underwriting Governance, Operations and other relevant group committees. Job Summary: Enable business strategy, protect clients, and embed and steward a strong risk culture. Lead implementation, ongoing oversight, and regular review of the group's enterprise risk management framework ensuring it complies with all relevant rules and obligations. Work collaboratively with the second line SLT. This role will ensure sound and mature business judgement is applied to advise and facilitate on risk management and governance. Key Responsibilities: <ul><li>Implement, maintain, and raise awareness of the Enterprise Risk Framework, including: Corporate Risk Profile; Risk Appetite; Risk Taxonomy; Key Risk Indicators; and Governance.</li></ul><ul><li>Develop, implement, and maintain an effective enterprise, emerging and operational risk frameworks across the group.</li><li>Leading the ongoing development of our GRC system, supporting processes and enhancements in the control environment.</li><li>Maintain risk policies and standards, develop suitable KRIs and other relevant risk metrics.</li><li>Liaise with key stakeholders to complete risk appetite monitoring.</li></ul><ul><li>Ensure effective Risk and Control Self-Assessments (RCSA) are performed across the group.</li><li>Articulate the key risks to senior management and the relevant governance forums. This includes identifying areas for process/control improvement.</li><li>Support key operational initiatives including business continuity planning, disaster recovery, information security, and operational resilience.</li><li>Contribute to the production of risk reports for the Board, Risk Committee, and others as required.</li><li>Administer the process for the capture of loss events and near misses and investigate and document the root cause of incidents and planned remedial actions.</li><li>Maintain records and progress trackers of all ERM activities.</li><li>Contribute to an effective ORSA process and report, including a focus on individual syndicates.</li><li>Provide training to the business to support and implement a strong risk culture.</li></ul>Senior Leadership Team- As member of the 2nd line assurance function <ul><li>Be an active SLT member ensuring that the 2nd line vision and strategy is periodically refreshed and delivered. Communicate the vision and strategy to the function and other stakeholders.</li><li>Ensure that the team are informed of and represented on relevant business projects and seen as business enablers from a risk challenge and support perspective.</li><li>Provide leadership, direction, and support to direct reports and team as per the organisation chart.</li><li>Proactively champion a continuous improvement mindset, unconstrained by current technologies or processes.</li><li>Able to identify value-adding quick wins and longer-term improvement opportunities.</li></ul>Team Leadership: - As a Beazley Manager, you are expected to <ul><li>Provide leadership, direction, and support to the team.</li><li>Foster a spirit of inclusion, teamwork, and unity that reflects Beazley's overall workplace culture, values, and appreciation of the benefits of diversity.</li><li>Act as a manager, mentor, and coach to direct reports to enable them to fulfil their potential, ensuring continuous development of them and the wider team.</li><li>Ensure direct reports are supported in contributing to the delivery and achievement of the overall team and business objectives.</li><li>Provide effective performance feedback on a regular basis, ensuring employees are recognised and rewarded for their contribution. Conversely, provide timely feedback to address poor performance, taking disciplinary action as appropriate.</li><li>Maintain transparent and effective communication through department meetings, one-to-one meetings, email, etc.</li><li>Encourage knowledge sharing and effective delegation to minimise key person dependencies.</li><li>Work with other team managers to ensure team resources are effectively utilised and people are appropriately challenged.</li><li>Encourage direct reports to think proactively about their careers, signposting development and stretch opportunities for strong performers where possible.</li><li>Work with Culture &amp; People as appropriate to escalate performance concerns, to ensure set objectives are clear and measurable and progress is tracked accordingly.</li></ul>Personal Specification: <ul><li>Skills and Abilities:</li><ul><li>Excellent management skills with the ability to influence and manage a team of professionals.</li><li>Accomplished relationship manager.</li><li>Readily able to influence and negotiate at senior levels within the business.</li><li>Ability to manage time, meet deadlines, and prioritise.</li><li>Motivational skills, team worker as well as able to work on own initiative.</li><li>Ability to work under pressure and to tight deadlines.</li><li>Change management skills - have a track record for designing and implementing robust change management to review and improve existing practices and procedures.</li><li>General commercial and financial knowledge.</li><li>Strong communication skills, able to communicate at all levels, both verbally and in writing.</li><li>A demonstrable track record of strategic thinking.</li><li>Hands-on implementer, able to drive through change where appropriate.</li><li>Technical expertise - in-depth knowledge of insurance/reinsurance through practical application, including a thorough understanding of the key functions across insurance and reinsurance firms.</li><li>Ability to develop high performing teams, including a culture of continuous improvement where the function is seen as "value add".</li><li>Strategic thinker capable of grasping the bigger picture.</li><li>Ability to articulate complex messages to senior management in order to facilitate effective monitoring and decision making.</li><li>Ability to quickly analyse complex issues, making the correct recommendations.</li><li>Strong problem-solving capability.</li><li>Ability to effectively challenge the 1st line, as required.</li></ul></ul><ul><li>Knowledge and Experience:</li><ul><li>Clear definition of 1st and 2nd line understanding and responsibilities.</li><li>Experience in managing 1st and 2nd line challenge and articulating 2nd line risk perspective.</li><li>Significant experience in the developing and updating Risk Management frameworks.</li><li>Significant experience and knowledge in financial services, preferably in insurance.</li><li>Experience in implementing effective ORSA, including a focus on individual entities or syndicates.</li><li>Evidence of 2nd line challenge.</li><li>General commercial and financial knowledge.</li></ul></ul><ul><li>Aptitude and Disposition:</li><ul><li>A strong communicator.</li><li>Outcome focussed, self-motivated, agile, and flexible.</li><li>Able to understand and articulate the strategic "big picture".</li><li>Technically innovative, a problem solver and solution builder.</li><li>Professional approach to interact successfully with colleagues.</li><li>Able to work with multi-cultural and multi-location teams.</li><li>Ability to work closely in a team environment and develop productive working relationships.</li></ul></ul><ul><li>Competencies:</li><ul><li>Information seeking</li><li>Technical expert</li><li>Strategic thinker</li><li>Continuous improvement</li><li>Time management</li><li>Influencing others</li><li>Quality focused</li><li>Initiative</li><li>Customer focused</li><li>Analytical thinking</li><li>Team working</li></ul></ul>

Head of Enterprise Risk Management

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Overview PIMCO is seeking a highly skilled and motivated Compliance Expert to join its EMEA Regulatory Compliance team in London. This role will focus on Client Facing Activities, Marketing, and Environmental, Social, and Governance (ESG) compliance within the EMEA regulatory frameworks including oversight on client facing activities and applicable regulatory framework for PIMCO's branches and licenses in EMEA. The successful candidate will be responsible for maintaining a best-in-class compliance program, providing pragmatic regulatory advice, and ensuring compliance across PIMCO's legal entities and branches in key locations, including London, Munich, Milan, Madrid, and Zurich. The role requires a proactive approach to managing compliance initiatives related to new products, ESG requirements, marketing strategies, and regulatory changes. Key Responsibilities <ul><li>Compliance Program Management: Maintain and enhance PIMCO's EMEA Compliance program for Client Facing, Marketing, and ESG activities, ensuring it meets industry standards and regulatory requirements</li><li>Branch and License Oversight: Maintain and enhance PIMCO's EMEA Branch and license oversight program, ensuring compliance of PIMCO's branches and licenses with applicable regulatory frameworks</li><li>Regulatory Advisory: Provide practical compliance advice on policies and procedures to support business operations, ensuring alignment with applicable regulations</li><li>Monitoring and Testing: Conduct compliance monitoring and testing to ensure adherence to regulatory frameworks, identifying areas for improvement and implementing necessary changes</li><li>Regulatory Horizon Scanning: Perform ongoing analysis of the regulatory environment, including "horizon scanning" for changes and expectations from regulators, to enhance the compliance program</li><li>Collaboration and Project Involvement: Actively contribute to the global regulatory compliance team, focusing on Client Facing, Marketing, ESG, and Branch and License Oversight, while participating in local, regional, and global projects and working groups</li><li>Training and Development: Facilitate training sessions and workshops to educate staff on compliance policies, procedures, and best practices</li></ul>Requirements <ul><li>Experience: Proven experience in managing compliance monitoring programs, with a strong emphasis on risk-based and audit-ready frameworks</li><li>Regulatory Knowledge: In-depth understanding of UK and EU regulatory requirements relevant to PIMCO EMEA, with the ability to interpret and apply these regulations effectively. Regulatory knowledge for Middle East and Africa would be a plus</li><li>Communication Skills: Excellent organizational and communication skills, with the ability to present complex information clearly and concisely to diverse audiences</li><li>Attention to Detail: Diligent record-keeping and a meticulous, detail-oriented approach to compliance functions, ensuring accuracy and thoroughness in all activities</li><li>Team Orientation: A collaborative team player with a strong client service orientation, capable of fostering positive working relationships across various departments</li><li>Adaptability: Flexibility in addressing complex regulatory matters while maintaining a clear understanding of business needs and objectives</li><li>Professional Standards: Commitment to the highest professional standards and a client service orientation, ensuring that compliance practices support the overall business strategy</li></ul>Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Regulatory Compliance Officer - Client Facing Branch Oversight (London)

We are looking for an experienced compliance professional to join the Amazon Payments UK (APUK) team to support compliance operations of the firm. The Compliance Manager will be responsible for supporting regulatory compliance of the payments propositions within the UK. The Compliance Manager will be part of the 2nd line Compliance Office and responsible for providing regulatory oversight and approval for new programs, providing expert advice to stakeholders and supporting strategy design with regulatory input. This opportunity requires a subject matter expert to contribute within a fast-paced, growing team. You will champion customer outcomes and use your knowledge of the industry and regulatory horizon to ensure sustainable, compliant solutions are formed. You will comfortably handle ambiguity, and provide pragmatic challenge to colleagues, peers and leadership and you are not afraid to roll up your sleeves and dive into the details. You think outside of the box, coming up with solutions in times of ambiguity. Key job responsibilities • Assist in ensuring APUK's payment activities operate in accordance with all legal and regulatory requirements by monitoring the compliance of business activity • Applying working knowledge of FCA regulations such as Consumer Duty Regulations and Payment Services Regulations and Policies to articulate customer/control impact and drive alignment across teams. • Assist with the development, documentation and maintenance of policies and procedures • Provide compliance awareness and training to the business • Prepare reporting to internal governance committees • Review, challenge and approve risk records, policy breaches and matters for escalation • Work with business leads to identify and collate relevant information to respond to requests for information from auditors and regulators (ad hoc and regulatory returns). • Maintain up to date knowledge of relevant regulations by monitor regulatory change and emerging risk from regulatory sources, to proactively communicate key developments to internal stakeholders and support the implementation of regulatory change. BASIC QUALIFICATIONS - Minimum of four years compliance experience in financial services working in risk and compliance, or within a financial regulatory body or consultancy practice - A good understanding and previous experience of working with Payment Services Regulations 2017 and FCA regulations, in areas such as complaint handling, safeguarding, operational resilience and consumer duty. - Excellent team player with the ability to work closely with others to deliver results, identify and resolve issues; shares information and keeps team members and management informed - Excellent organisational skills with the ability to prioritise workload and manage various tasks simultaneously. - The ability and willingness to learn new skills and upskill quickly to be an SME on new requirements - Strong and demonstrable influencing, stakeholder management, presentation and communication skills. - Resilient and able to thrive and lead in a fast paced, entrepreneurial environment - Strong judgment and analytical thinking - Strong ownership and delivery orientated, to perform independently with minimal supervision PREFERRED QUALIFICATIONS - Experience within the payments sector and/or fin-tech environment - Experience of relationship management with regulatory bodies - Demonstrated experience working with FCA regulations and compliance requirements such as Payment Services Regulations (2017), Electronic Money Regulations (2011), Consumer Duty and other applicable FCA regulations and policies Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. Our inclusive culture empowers Amazonians to deliver the best results for our customers. If you have a disability and need a workplace accommodation or adjustment during the application and hiring process, including support for the interview or onboarding process, please visit <a href="https://amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://amazon.jobs/content/en/how-we-hire/accommodations</a> for more information. If the country/region you're applying in isn't listed, please contact your Recruiting Partner.

Regulatory Compliance Manager, Amazon Payments UK (Compliance)

About CLS: CLS is the trusted party at the centre of the global FX ecosystem. Utilized by thousands of counterparties, CLS makes FX safer, smoother and more cost effective. Trillions of dollars' worth of currency flows through our systems each day. Created by the market for the market, our unrivalled global settlement infrastructure reduces systemic risk and provides standardization for participants in many of the world's most actively traded currencies. We deliver huge efficiencies and savings for our clients: in fact, our approach to multilateral netting shrinks funding requirements by over 96% on average, so clients can put their capital and resources to better use. CLS products are designed to enable clients to manage risk most effectively across the full FX lifecycle - whether through more efficient processing tools or market intelligence derived from the largest single source of FX executed data available to the market. Our ambition to make a positive difference starts with our people. Our values - Protect, Improve, Grow - underpin everything that we do at CLS and define and shape a supportive and inclusive working environment in which everyone is encouraged to be open and forward-thinking. Job purpose - major duties and responsibilities of the job This position is to support the Operational Risk team by being responsible for coverage of the COO business unit (which includes Operations, Product, Resilience, Workplace Services, Enterprise Data Management, and Human Resources) from a 2LOD operational risk perspective ideally with subject-matter-expert (SME) knowledge of Operations-related and/or data-related and business continuity and recovery-related subjects. An Operational Risk Manager is expected to work independently with his/her stakeholders in 1LOD and in Business Risk &amp; Control (BRC) to drive, guide and partner with them to facilitate implementation of the operational risk framework and deliverables while maintaining communication and engagement with the broader Operational Risk Management team. The primary role of the individual is focused on the following: <ul><li>Support refinements of ORM and ERM framework by educating and engaging with stakeholders to implement the framework</li><li>Provide 2nd Line of Defense review and challenge across the CLS Risk Taxonomy in all components of the ORM Framework whist assisting business partners with their identification of process / control related issues which may surface during the completion of the risk self-assessment.</li><li>Work with business partners to facilitate the completion of business risk-self assessments and targeted operational risk assessment in projects</li><li>Perform root cause analyses on identified risk events to recommend improvements to prevent risk events from re-occurring in future.</li><li>Analyze and identify trends in the key risk indicators, Incidents and Issues Management reported to Risk Management.</li><li>Driving and instilling a good Risk Culture with stakeholders</li><li>Actively participating in relevant governance fora as required (i.e., the Operational Risk Council)</li><li>Manage stakeholders at all level of the corporation</li></ul>Strategic <ul><li>Monitor Framework adherence and develop tools/communicate requirements to key stakeholders to ensure adherence with ORM risk policies, procedures and best practices</li><li>Interface with key stakeholders and Senior Management Committees</li><li>Partner with area subject matter experts and executive management to ensure appropriate ORM governance</li><li>Identify and appropriately escalate operational risks that exceed risk appetite.</li><li>Identify opportunities for process improvements to deliver increasing operational efficiencies</li><li>Participate as part of business project workstreams to provide ORM subject matter expertise and guidance</li></ul>Operational <ul><li>Works with business units to establish, maintain and continuously improve risk management capabilities across CLS.</li><li>Facilitates and participates in enterprise-wide risk assessments and recommendations.</li><li>Conducts risk management education and training as appropriate.<ul><li>Collaborate with business units to minimize operational issues emanating from CLS</li></ul></li></ul>Leadership <ul><li>Act as stakeholders' main point of contact representing ORM - creating opportunities to provide education related to ORM topics and "lead by example" (i.e., timely resolution of items that need to be addressed, providing suggested solutions/guidance when required/appropriate, taking initiative to manage required deliverables and stakeholder resources/capacity)</li></ul>Knowledge, skills and abilities - competencies required for successful job performance In order to carry out the duties of the position effectively, the individual will need to possess the following attributes: <ul><li>Judgement and decision making</li><li>Communication &amp; Influence</li><li>Teamwork &amp; Professionalism</li><li>Able to work independently, as required</li></ul>Qualifications / certifications <ul><li>Background/subject-matter-expert (SME) of Operations-related and/or data-related and resilience / business continuity and recovery-related subjects (able to articulate anticipated areas of risk, knowledge of industry practice/standards related to relevant processes and practices)</li><li>Experience in MS Office suite, including Excel, Word, Powerpoint and Visio, RSA Archer, Reporting Platform including PowerBi or Tableau</li><li>Minimum 10 years of relevant work experience</li></ul>Our commitment to employees: At CLS, we celebrate diversity and consider this to be one of our strongest assets. We are committed to fostering an environment in which everyone feels comfortable to be who they are, and inclusion is valued. All employees have access to our inclusive benefits, including: <ul><li>Holiday - UK/Asia: 25 holiday days and 3 'life days' (in addition to bank holidays). US: 23 holiday days.</li><li>2 paid volunteer days so that you can actively support causes within your community that are important to you.</li><li>Generous parental leave policies to ensure you can enjoy valuable time with your family.</li><li>Parental transition coaching programmes and support services.</li><li>Wellbeing and mental health support resources to ensure you are looking after yourself, and able to support others.</li><li>Affinity Groups (including our Women's Forum, Black Employee Network and Pride Network) in support of our organisational commitment to embrace and always be learning more about DE&amp;I.</li><li>Hybrid working to promote a healthy work/life balance, enabling employees to work collaboratively in the office when needed and work from home when they don't.</li><li>Active support of flexible working for all employees where possible.</li><li>Monthly 'Heads Down Days' with no meetings across the whole company.</li><li>Generous non-contributory pension provision for UK/Asia employees, and 401K match from CLS for US employees.</li><li>Private medical insurance and dental coverage.</li><li>Social events that give you opportunities to meet new people and broaden your network across the organisation.</li><li>Annual flu vaccinations.</li><li>Discounts and savings and cashback across a wide range of categories including health and retail for UK employees.</li><li>Discounted Gym membership - Complete Body Gym Discount/Sweat equity program for US employees.</li><li>All employees have access to Discover - our comprehensive learning platform with 1000+ courses from LinkedIn Learning.</li><li>Access to frequent development sessions on a number of topics to help you be successful and develop your career at CLS.</li></ul>

Director, Operational Risk Manager

THE ROLE We are seeking a highly motivated Compliance Analyst to join our team and support a strong and ethical compliance framework. This role offers a unique opportunity to work closely with the Compliance team, ensuring adherence to UK FCA regulations and maintaining high governance standards. As a key member of the team, you will be responsible for managing FCA Connect Filings, overseeing regulatory data submissions, maintaining compliance records, and supporting updates to policies and procedures. This position will provide hands-on exposure to compliance reporting requirements, regulatory oversight, and operational compliance functions. If you are a detail-oriented compliance professional with a strong understanding of UK FCA regulations, excellent communication skills, and the ability to work both independently and collaboratively, we would love to hear from you. KEY RESPONSIBILITIES <ul><li>Working with the Compliance team to promote a strong and ethical compliance framework</li><li>Responsibility for completion of UK FCA Connect Filings non-financial reporting pursuant to SMCR including Statement of Responsibilities and Fitness &amp; Proprietary certifications. Ensure leavers, new joiners and changes to individuals' circumstances are reflected on the FCA Directory and maintain appropriate records working alongside HR as necessary</li><li>Responsibility for oversight of outsourced service providers in UK FCA Reg Data Filings (excluding Annex IV) associated with the Firm's business activities including managing Reg Data access and timetable</li><li>Assist with updates and advisory on Policies and Procedures including the Compliance Manual, Compliance Policies and Procedures Manual and Compliance Registers</li><li>Ensure annual and periodic (including new joiner) Staff Attestations are complete and issued on time working alongside IT as necessary</li><li>Assist in the management of day-to-day compliance activities including ownership of Compliance SharePoint Dashboard for information maintenance on compliance-related issues (e.g. oversight and monitoring of staff Personal Account Dealing, Gifts and Entertainment and trading preclearance requirements)</li><li>Assist as necessary in responses to Investor Due Diligence questionnaires and Audit Requests for Information</li><li>Any other task assigned from time to time or arising from initiatives of NextEnergy Group of companies.</li></ul>SKILLS &amp; COMPETENCIES To be successful in this role, you will demonstrate: <ul><li>Generalist compliance knowledge including administration of compliance systems, regulatory filings and monitoring</li><li>Proficient in Microsoft office suite and excellent IT skills to manage Compliance SharePoint</li><li>Excellent written &amp; communication skills, attention to detail and a precise approach</li><li>Self-starter with a pro-active approach and ability to work independently</li><li>Ability to develop strong relationships and be a trusted advisor within the team</li></ul>EXPERIENCE &amp; QUALIFICATIONS <ul><li>Undergraduate University degree, at a minimum</li><li>Recognised compliance certification desired</li><li>2-3 year's UK financial services compliance experience and knowledge with experience gained from Private Equity, Private Infrastructure or generalist consulting experience</li><li>Knowledge and experience of FCA compliance matters</li><li>Prudential regulatory knowledge a plus</li></ul>WHAT WE OFFER <ul><li>A busy role in a supportive team, with plenty of opportunities to learn</li><li>International scope - we operate in over 8 countries</li><li>Hybrid working - we will need you in the central London (Mayfair) office at least twice a week, but you will normally be able to work remotely for the remainder of the week</li><li>30 days' holiday per year (3 of which are taken during the festive shutdown in December)</li><li>Private pension</li><li>BUPA Healthcare for you and qualifying dependents</li><li>Cycle to work and electric vehicle leasing schemes</li><li>Annual discretionary bonus.</li></ul>HOW TO APPLY If you are interested in this opportunity, please follow the link to apply or send your application to <a href="mailto:careers@nextenergygroup.com" target="_blank">careers@nextenergygroup.com</a>. If you have been shortlisted for the next stage, we will be in contact within 14 days. By selecting "Apply" or sending us your CV, you indicate you have read and acknowledged NextEnergy Group's Candidate Privacy Notice. DIVERSITY AND INCLUSION Our approach to diversity and inclusion is a natural extension of our values. Our entrepreneurial culture inspires us to try new things, be open to different viewpoints and be bold. Our Group is committed to cultivating and preserving a culture of connectedness that values difference and gives space for individual expression. The collective sum of our individual differences, life experiences, knowledge, innovation, self-expression, and talent and hard work form the bedrock of who we are and who we aspire to be. We are committed to equal employment and advancement opportunity irrespective of race, color, ancestry, social background, religion, gender, national origin, sexual orientation, age, citizenship, marital status, disability and gender identity. ABOUT US NextEnergy Group was founded in 2007 to become a leading market participant in the international solar sector. Since its inception, it has been active in the development, construction, and ownership of solar assets across multiple jurisdictions. NextEnergy Group operates via its three business units: NextEnergy Capital (Investment Management), WiseEnergy (Operating Asset Management), and Starlight (Asset Development). NextEnergy Capital manages the Group's investment activities and has invested in over 520 solar plants, exceeding 2GW in capacity across its institutional funds. <ul><li>NextEnergy Solar Fund (NESF): Listed on the London Stock Exchange, NESF manages 102 solar and energy storage assets in the UK and Italy, with a total installed capacity of 983MW and a gross asset value of £1,014m.</li><li>NextPower II (NPII): A private fund of 105 solar plants (149MW) focused on Italy, successfully divested in January 2022, delivering net IRRs exceeding its 10-12% target.</li><li>NextPower III ESG (NPIII ESG): A private fund targeting solar infrastructure in OECD countries (e.g., US, Spain, Italy), with $896m raised, exceeding its $750m target.</li><li>NextPower UK ESG (NPUK ESG): A private fund dedicated to new-build solar plants in the UK, with ~£600m raised.</li><li>NextPower V ESG (NPV ESG): A private OECD solar fund investing in solar and adjacent technologies like battery storage. To date, it has raised $745m, targeting $1.5bn ($2bn ceiling).</li></ul>WiseEnergy® is NextEnergy Group's operating asset manager. WiseEnergy is a leading specialist operating asset manager in the solar sector. Since its founding, WiseEnergy has provided solar asset management, monitoring, technical due diligence and under construction services to over 1,500 utility-scale solar power plants with an installed total capacity in excess of 3.4 GW. WiseEnergy clients comprise leading banks and equity financiers in the energy and infrastructure sector. Starlight is NextEnergy Group's development company that is active in the development phase of solar projects. It has developed over 100 utility-scale projects internationally and continues to progress a large pipeline of c.10GW of both green and brownfield project developments across global geographies. NextSTEP is the venture capital fund of NextEnergy Group, dedicated to investing in innovative startups in the field of environmental sustainability. The fund primarily focuses on investments in Italy and the United Kingdom but also extends its reach to the rest of Europe and the United States, targeting startups in the pre-seed and seed stages. NextSTEP pays particular attention to emerging entities from incubators, startup accelerators, universities, and research centers, supporting projects that address global challenges in crucial areas such as Climate Change, Energy Transition, CO2 Capture and Sequestration, Circular Economy, Sustainable Cities, Sustainable Mobility, Sustainable Fashion, Waste Management, Water and much more. NextEnergy Foundation is a non-profit organisation founded in 2016 by the NextEnergy Group that operates internationally and whose mission is to proactively participate in the global effort to reduce carbon emissions by providing clean energy sources in regions where they are not yet available and thereby contributing to poverty reduction. As the main sponsor of this foundation, the NextEnergy Group donates at least 5% of its consolidated net profits each year. The NextEnergy Foundation has no overhead costs and therefore 100% of the funds raised go to donations for the various projects. Since 2016, in 8 years of operation the foundation has donated more than £1.2 million, supporting over 30 projects in 27 different countries around the world.

Compliance Analyst

Join us in this role where you'll be responsible for setting the risk culture and building and implementing an Operational Risk Management Framework for our newly formed Generation business to strengthen our resilience towards risks in an increasingly complex and ever-changing world. Welcome to Generation You'll be part of Generation Commercial. Here, your mission will be to ensure that the Generation business effectively identifies, assesses, manages and monitors all risks to achieve its strategic objectives. You'll take the lead in ensuring that a common risk language is used and understood across Generation, and that there is clear accountability and consistent delegation of risk decisions. You'll work closely with colleagues from our Enterprise Risk and Project Risk teams and with risk owners right across the Generation business, building on existing risk management processes and policies to strengthen and enhance our risk set-up. As a department, we work in a highly collaborative way, supporting each other to develop and learn by making use of each team member's skillset and experience. You'll play an important role in: <ul> <li>designing, building, implementing and maintaining a Generation Risk Management Framework that establishes governance, analysis, process and reporting requirements</li></ul><ul> <li>proactively supporting the Generation business and other risk teams within Ørsted in understanding and applying the Generation Risk Management Framework</li></ul><ul> <li>driving focused initiatives to strengthen risk management across Generation</li></ul><ul> <li>owning the interface for Generation with the Enterprise Risk team and other risk teams across Ørsted, and supporting on the delivery of enterprise-wide assessments</li></ul><ul> <li>chairing regular Generation Risk Reviews as well as a Best Practice Peer Group focused on the quantification and assessment of risks in Generation</li></ul><ul> <li>nurturing and maintaining a sound risk culture across Generation.</li></ul>To succeed in the role, you: <ul> <li>hold an academic degree in risk management, business administration or management, economics, or similar</li></ul><ul> <li>have extensive experience in operational risk management, preferably working with major infrastructure assets</li></ul><ul> <li>are experienced in designing and implementing operational risk management frameworks and reporting on risks, preferably at the enterprise/ business unit level and in the energy industry</li></ul><ul> <li>demonstrate great stakeholder management and influencing skills and have good experience in proactively collaborating with management and specialists in different areas of the business to drive initiatives forward</li></ul><ul> <li>have strong analytical skills and the ability to work with, exploit, and analyse data</li></ul><ul> <li>have excellent communication and presentation skills and the ability to tailor your approach and present complex information to broad audiences.</li></ul>Maybe you've read the above and can see you have some transferable skills, even though they don't quite match all the points. If you think you can bring something to the team, we still encourage you to apply. Shape the future with us Send your application to us as soon as possible. We'll be conducting interviews on a continuous basis and reserve the right to take down the advert when we've found the right candidate. As an applicant or employee, you may request reasonable work and position accommodation or adjustments via <a href="mailto:accommodation@orsted.com" target="_blank">accommodation@orsted.com</a>. Please note that for your application to be taken into consideration, you must submit your application via our online career pages and answer the screening questions relevant for your country. We don't take applications or inquiries from external recruiters or agencies into account for this position. About the job Application deadline: 3 April 2025 Location:

Head of Operational Risk Management in Generation

The successful candidate will support engagement with IMG, providing proactive and pragmatic advice and guidance on governance, regulatory compliance and conduct matters relevant to Vanguard's the strategic and operational priorities of the business, consistent with Vanguard's board approved risk-appetite. Primary Location: 25 Walbrook, London Working Pattern- Hybrid (Tuesday - Thursday office) Vanguard's purpose is to take a stand for all investors, to treat them fairly and to give them the best chance of investment success. With a rapidly growing business in Europe, we are seeking a proactive, commercially minded, experienced Compliance professional to partner with Vanguard's Investment Management Group (IMG), with a primary focus on fixed income expertise. IMG is responsible for portfolio management and trading across a number of asset types including Equity, Fixed Income, and FX. Our Fixed Income Team capabilities span both active and index funds, covering the entire fixed income universe from government securities to corporate bonds across developed and emerging markets, including money market funds. Summary of Role With an ambition of continued growth across Europe and a core objective of delivering superior outcomes to our customers and clients, an exciting opportunity has arisen for a compliance specialist to join our Investment Management Compliance Advisory team. The successful candidate will support engagement with IMG, providing proactive and pragmatic advice and guidance on governance, regulatory compliance matters relevant to Vanguard's investment management activities. This position will report directly into the Head of Investments and Product Compliance and will join a team of expert compliance professionals supporting the European IMG team. The IMG team is London based; collaboration with colleagues in US and Australia offices is essential for the success of the role. The successful candidate will also collaborate and support Compliance colleagues in other teams. Our second line of defence Compliance Advisory team are trusted advisers and we are pro-active in our understanding of the business functions, their strategic goals and initiatives. You will provide guidance and oversight of investment-related regulations impacting fixed income trading on matters related to portfolio management and execution such as best execution, allocations, crossings, derivative use, trade/transaction reporting, portfolio management, investment restrictions, and broader UCITS and ETF matters. Our ideal candidate will have at least seven years relevant experience with a leading investment manager and will have a track record of providing commercial and value-adding regulatory advice, in collaboration with the Investment team, Risk and Legal colleagues as required. The successful candidate will exhibit strong partnership, technical and relationship management skills and the ability to build trust with stakeholders. Core Responsibilities <ul><li>Provide the Investment Management business with guidance and advice on investment-related regulations impacting trading and portfolio management activities, with specific focus on Fixed Income active and indexing desks.</li><li>Advise on and overseeing new business initiatives from a Compliance perspective.</li><li>Provide Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives.</li><li>Advise on and interpreting regulation on Vanguard global and local policies in relation to investment decisions, issues and potential breaches.</li><li>Liaise with other IMG Compliance Advisory teams based in Malvern, U.S. and Melbourne, Australia on global issues.</li><li>Build and maintain stakeholder relationships with IMG, the risk team (RMG), other members of the Office of the General Counsel (Compliance, Legal, Investment Stewardship and Government Relations) and other teams supporting the operations of Vanguard's funds.</li><li>Provide advice on the anticipation, impact assessment and response to regulatory developments.</li><li>Design and delivering effective regulatory training initiatives to the business.</li><li>Maintain a deep knowledge and awareness of the investment industry. Stay abreast of current market, regulatory and industry relevant news.</li><li>Contribute to the creation of management reporting and communication on Compliance matters to senior management, business stakeholders, Boards and governance bodies such as Oversight Committees.</li></ul> What it takes <ul><li>A minimum of 7 years related work experience, within an asset management compliance function, with a preference for Fixed Income desk coverage.</li><li>A curious mindset, commercial, tenacious, lateral thinking and relationship orientated</li><li>Strong knowledge of UCITS products and EU / UK MiFID investment regulations.</li><li>Undergraduate degree or equivalent combination of training and experience.</li><li>Ability to work well as part of a team and independently.</li><li>Ability to develop a broad understanding of Vanguard's business and the investment industry (including understanding of ETF funds).</li><li>Detailed knowledge and understanding of trading fixed income instruments and broader understanding of variety of asset types.</li><li>Positive relationship management skills, including ability to interact with individuals at various levels both internally and outside the company.</li><li>Proven ability to function in a fast-paced environment while managing multiple and diverse responsibilities and keeping to deadlines.</li><li>Excellent judgment and decision-making skills; ability to analyse and respond to issues.</li><li>Excellent verbal and written communication skills.</li><li>Willingness to assist in areas outside of direct assignments when necessary, and commitment to self-improvement and completion of team objectives.</li><li>High degree of familiarity with regulatory environment and a genuine desire to continually develop such knowledge.</li></ul>Special Factors Vanguard is not offering sponsorship for this position. How We Work Vanguard has implemented a hybrid working model for most of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. Most teams work Tuesday-Thursday in the office, but for some jobs we need our crew to be in Monday-Friday. We will discuss the working pattern for your role during the interview process. Inclusion Statement Vanguard's continued dedication to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing". We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values. When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose. Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. How We Work Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

Investment Compliance Specialist

Job Description: Job Title Market Risk Manager - Foreign Exchange (FX) Location London Corporate Title AVP As a Market Risk Manager responsible for global coverage of Metals within the Global Foreign Exchange (GFX) business, you will work within a team whose mission is to achieve the expansion of the Precious metals business, continued build-out and oversight of DB's re-entry into the Base Metals trading business of other potential Commodity offerings. You will be responsible for managing market or fair value risk within Deutsche Bank and will carry out this responsibility in an independent and neutral way, providing a comprehensive and independent view of market risks to management. What we'll offer you A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its centre. You can expect: <ul><li>Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them</li><li>Competitive salary and non-contributory pension</li><li>30 days' holiday plus bank holidays, with the option to purchase additional days</li><li>Life Assurance and Private Healthcare for you and your family</li><li>A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits</li><li>The opportunity to support a wide ranging CSR programme + 2 days' volunteering leave per year</li></ul>Your key responsibilities <ul><li>Driving of the build out of various aspects of the franchise, including limit, stress and reporting set-up</li><li>Partner with other Market Risk teams, and other Risk management functions (e.g. Valuation Control, Market Risk Analysis and Control, and Risk Methodology Strats)</li><li>Engaging Front Office (FO) desk heads and senior traders with respect to exposures, valuations, new business, market activity, risk culture, controls, and risk appetite</li><li>Ensure risk completeness and accuracy, ensure that the limit framework and appetite is commensurate with infrastructure, and develop and implement the Risks-not-in framework</li><li>Highlighting key risks and new important trades/products and escalating emerging risks, concentrated positions, and any risk position that is particularly vulnerable to plausible stress scenarios or current market conditions</li><li>Challenging the desk on the key risks as above, and work co-operatively to allow the growth of the business within the firms' risk appetite</li></ul>Your skills and experience <ul><li>Significant experience in market risk management, either within the second line (market risk) or first line (trading, structuring).</li><li>Experience in Metals markets-related roles, and knowledge of Metals products and market</li><li>Strong technical and analysis skills including Excel, VBA, statistics and time series</li><li>Experience and ability to work in a fast-paced team environment, working with a variety of teams, and communicating well and concisely</li><li>Knowledgeable of market risk controls and governance frameworks</li><li>High standards of integrity and a commitment to 'doing the right thing'</li></ul>How we'll support you <ul><li>Training and development to help you excel in your career</li></ul><ul><li>Flexible working to assist you balance your personal priorities</li></ul><ul><li>Coaching and support from experts in your team</li><li>A culture of continuous learning to aid progression</li><li>A range of flexible benefits that you can tailor to suit your needs</li><li>We value diversity and as an equal opportunities' employer, we make reasonable adjustments for those with a disability such as the provision of assistive equipment if required (e.g. screen readers, assistive hearing devices, adapted keyboards)</li></ul>About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named in The Times Top 50 Employers for Gender Equality 2024 for five consecutive years. Additionally, we have been awarded a Gold Award from Stonewall and named in their Top 100 Employers 2024 for our work supporting LGBTQ+ inclusion. We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

Market Risk Manager - Foreign Exchange (FX)

Job Summary Group Internal Audit (GIA) provides an independent view to the Board and Executive Management. It does this by assessing management's approach to manage risks and protect the assets, reputation, and sustainability of the Bank. We are looking for a talented model developer or validator to join our specialist team as an Audit Manager for Model Risk. Audit experience is not essential for this role, but a successful candidate must be interested to develop this skill as they further grow their model risk knowledge. This role supports the Model Risk Head of Audit (HOA) to develop and deliver an enterprise-wide audit strategy to provide assurance over model risk management. The Bank uses models in a variety of areas to support its activities and considers Model Risk as a key risk. This risk continues to grow with increased use, evolution of modelling techniques, and regulatory prescription. Audit is a key party engaging enterprise-wide to provide an independent third-line view on the effectiveness of controls to manage model risk. Key Responsibilities <ul> <li>To participate as a subject matter expert in model risk related audits by performing testing, concluding opinions in detailed workpapers, and supporting the drafting of audit issues</li> <li>To support audit Team Leaders on assigned audit work involving model risk across the Group. This will include helping to create Audit Planning Memos and Controls Documentation, as well as reviewing issue text and action plans ahead of Team Manager review</li> <li>To confirm that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards</li> <li>To clearly identify the risks and impact of issues during issue writing, agreeing these issues with management and obtaining quality management action plans to mitigate the risks raised</li> <li>To support the design and implementation of department wide exercises such as annual planning, risk assessment, and training</li> <li>To support GIA audit teams by providing model risk knowledge and expertise for their audits relating to the individual's area of responsibility</li> <li>To support senior model risk audit team members attendance of model committees to enable effective engagement and challenge</li> <li>To support the tracking and validation of assigned audit issues, in accordance with GIA methodology, to confirm that the risks have been mitigated by the timely delivery of management action plans agreed during audit fieldwork</li> <li>To act as a team member on assigned audit work involving model risk across the Group. Supporting Audit Leads to deliver the Audit Planning Memo, Controls Document, agree issues and action plans with management and submission of draft report to the Team Manager for review</li> <li>Produce audit deliverables that meet quality standards and timelines in line with the GIA methodology</li> <li>Provide business/audit technical knowledge and management skills to team leaders and team members to facilitate audit delivery</li> <li>Provide technical input and challenge on audit work being undertaken within the scope of assigned product / country area of responsibility. This will include working with the audit team to produce high quality outputs which address the risk</li> <li>Adhere to GIA methodology in all areas of the audit engagement, as well as raise team members' awareness and understanding of the methodology</li> <li>Demonstrate sound knowledge of both business/technical areas and expert knowledge in the audit process, including the GIA system, to ensure that audit work is carried out to a high standard that meets all methodology and GIA system requirements</li> <li>Have a good understanding of the regulatory landscape and to ensure that all key regulatory concerns are covered in the audit scope</li> <li>Monitor the implementation of the agreed audit plans, provide advice on resolution of issues to auditees/action plan owners and escalate audit findings that remain unresolved</li></ul>Skills and Experience <ul> <li>In-depth understanding of Quantitative Model Risk management, processes and associated control requirements</li> <li>Modelling experience (development or validation) in key areas such as credit risk (IRB, IFRS9), market risk (IMA), or counterparty credit risk (IMM) to meet various regulatory needs (e.g. PRA, MAS, HKMA)</li> <li>Clear understanding of model risk management practices, challenges, and controls. </li> <li>Strong and impactful communicator, both within reports and verbally, with ability to clearly articulate controls to be tested and risks identified to both internal and business stakeholders </li> <li>Confident and courageous to raise and escalate ideas or concerns in a professional and timely manner</li> <li>Ability to exercise professional judgment, objectivity, and discretion to build relationships and work within a global team</li> <li>5 years of experience across banking or consulting, with quantitative degree e.g. mathematics or finance, or professional certifications FRM / CFA</li> <li>Strong communicator, both written and verbal, with ability to clearly explain risks and controls</li> <li>3+ years of Experience within Model Development or Model Validation</li> <li>Experience in key model areas such as credit risk (IRB, IFRS9), market risk (IMA, FM), or Counterparty Credit Risk (IMM), though experience of other modelling areas such as Financial Crime and the use of Artificial Intelligence is also desirable</li> <li>Core understanding of regulatory guidance and requirements around Model Risk management. This should include UK and European (CRR and EBA) requirements, or Asian regulators such as Singapore (MAS) or Hong Kong (HKMA)</li> <li>Audit experience is desirable, either conducting or participating in audit reviews, a professional audit certification is an added advantage</li> <li>Coding and data visualisation experience is desirable</li></ul>About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us. Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we: <ul> <li>Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do</li> <li>Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well</li> <li>Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term</li></ul>What we offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing. <ul> <li>Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations</li> <li>Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum</li> <li>Flexible working options based around home and office locations, with flexible working patterns</li> <li>Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits</li> <li>A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning</li> <li>Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential</li></ul>Recruitment Assessments Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process. Visit our careers website <a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> <a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> 23511 Apply now &gt; Back to search results

Audit Manager, Model Risk

Job Summary Join our dynamic team as a Risk Manager for B&amp;C Solutions in the UK or France. In this role, you will be pivotal in identifying, assessing, and mitigating risks within the Markets business. Collaborating with internal teams and stakeholders, you will ensure regulatory compliance, implement risk management strategies, and support operational excellence across jurisdictions. Key Responsibilities <ul> <li>Risk Strategy: Develop and maintain a robust risk framework for the Markets team, ensuring alignment with industry standards and regulatory requirements (e.g., EMIR, MiFID, Dodd-Frank).</li> <li>Incident Management: Respond to and manage risk incidents, ensuring timely reporting, stakeholder communication, and policy adherence.</li> <li>Audit Preparedness: Lead preparation for audits, document concerns, and serve as a focal point during fieldwork.</li> <li>Regulatory Compliance: Collaborate with operations, risk, and compliance teams to address incidents requiring regulatory reporting.</li> <li>Risk Oversight: Ensure risks are accurately logged in the bank's monitoring systems, including M7, and escalate as needed to relevant committees.</li> <li>Control Implementation: Oversee the integration of policies and procedures into BAU activities, including RCSA completion, service management, and business continuity planning.</li> <li>Stakeholder Engagement: Build strong relationships with Trading, Sales,</li></ul>Skills and Qualifications Skills <ul> <li>Expertise in operational risk management within financial markets.</li> <li>Strong knowledge of regulatory frameworks (e.g., EMIR, MiFID, Dodd-Frank).</li> <li>Proven ability to manage change and drive process improvements.</li> <li>Exceptional communication and stakeholder management skills.</li> <li>Experience with operational tools like M7 and risk assessment methodologies.</li></ul>Qualifications <ul> <li>University degree preferred.</li> <li>Background in operations, process improvement, or Middle Office functions.</li> <li>Demonstrated ability to navigate complex regulatory environments and mitigate risk.</li></ul>About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us. Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we: <ul> <li>Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do</li> <li>Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well</li> <li>Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term</li></ul>What we offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing. <ul> <li>Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.</li> <li>Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.</li> <li>Flexible working options based around home and office locations, with flexible working patterns.</li> <li>Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits</li> <li>A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.</li> <li>Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.</li></ul><a href="http://www.sc.com/careers" target="_blank">www.sc.com/careers</a> 23452 Apply now &gt; Back to search results

Market Business and Clients Solutions Business Risk Manager

Job Description Compliance Analyst - Market Data Services At J.P. Morgan, we are committed to delivering exceptional value and experience to our clients. As a Compliance Analyst within our Market Data Services team, you will be at the forefront of managing market data compliance and fostering key relationships with exchanges, brokers, and market data vendors worldwide. This role offers a unique opportunity to work in a global team environment, driving cost efficiency and ensuring adherence to market data policies throughout JPM globally. Job Summary: As a Compliance Analyst in the Market Data Services team, you will be the primary contact for market data relationships, implementing licensing for proprietary applications, and managing external audits. You will collaborate with internal and external stakeholders to identify and mitigate compliance issues, ensuring our operations align with industry best practices. Your role will be pivotal in driving cost efficiency and improving service delivery across the firm. Job Responsibilities: <ul> <li>Serve as the primary contact for market data relationships with exchanges and brokers globally.</li> <li>Implement market data exchange and broker licensing for proprietary applications.</li> <li>Manage external market data audits, working directly with exchanges and third-party auditing companies.</li> <li>Onboard applications to strategic infrastructure, ensuring compliance with exchange licensing policies.</li> <li>Identify and mitigate market data compliance issues within proprietary applications.</li> <li>Communicate and interact with lines of business on exchange price and policy changes.</li> <li>Work with stakeholders to drive cost efficiency and improve service.</li> <li>Provide advice on operational and technical standards, best practices, processes, and procedures.</li> <li>Develop and manage key relationships with firm and industry contacts to facilitate understanding of business direction and best practices.</li></ul>Required Qualifications, Capabilities, and Skills: <ul> <li>Familiarity with Market Data vendors and associated technologies.</li> <li>Strong verbal and written communication skills.</li> <li>Strong team player with confidence and ability to interact with line of business stakeholders at all levels of seniority.</li> <li>Self-motivated, customer-focused, innovative, and analytical.</li> <li>Strong time management skills, efficient multi-tasking, and ability to work under pressure to deliver multiple business demands on time and to a high standard.</li> <li>Resourceful in using various tools and technology for analytical work.</li> <li>Compliance mindset with alertness to potential issues for review and resolution.</li> <li>Cost-conscious and able to adopt cost efficiency strategies across the firm.</li></ul>Preferred Qualifications, Capabilities, and Skills: <ul> <li>Knowledge of Market Data Technology systems and platforms (DACS, B-pipe, FITS).</li> <li>Understanding of external Market Data audits.</li> <li>Understanding of Market Data policies and licensing.</li> <li>Cloud computing experience (AWS).</li> <li>Use of AI based tools.</li></ul>Additional Information: This role offers a unique opportunity to work in a highly dynamic global team, supporting all lines of business and collaborating across both internal and external stakeholders. Join us and be part of a team that is at the heart of driving innovation and excellence in market data services. About Us J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives. We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation. About the Team J.P. Morgan's Commercial &amp; Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial &amp; Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.

Market Data Compliance Analyst

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham, Bristol and Manchester. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients' needs. Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are fast becoming an employer of choice in our sector. We have over £30 billion in funds under management and circa 700 staff. Job Description Business Unit: The role of the Compliance team is to establish, implement, maintain and monitor on behalf of the Firm's Governing Board and Management Board, adequate policies and procedures sufficient to ensure the Firm's compliance with its obligations under the regulatory systems in which it operates and to counter the risk the Firm may be used to further financial crime. In addition, the team provides support to new business initiatives and advises on day to day issues which may arise. Brief Role Objective: Member of the Compliance team reporting directly to the Senior Compliance Officer (Advisory). The role will sit within the Compliance Advisory sub-team of the overall Compliance team. This varied role will provide exposure to several aspects of Compliance and opportunities to work closely with various stakeholders within the Firm. Key Responsibilities: <ul><li>Provide regulatory guidance and advisory services to all internal business areas, including but not limited to LGTWM Investment Management, Wealth Planning, Business Development, Portfolio Management (e.g. the Centralised Investment Team, Model Portfolio Services) and Alternative Investments.</li><li>Contribute to reporting due from the Compliance team which include regulatory reporting, LGT Group reporting and local Management Board and Governing Board reporting. </li><li>Will be assigned the delivery of some Compliance initiatives, these being 'mini-projects' and developments within the team, with a focus on efficiency, intelligent use of data and, where appropriate, help introduce automation.</li><li>Analyse, plan and execute actions so to take forward relevant regulatory developments which affect both the Compliance team and/or the wider business.</li><li>Improve the efficiency of the team with the intelligent use of data and, where appropriate, help introduce automated processes or develop those already in place.</li><li>Provide advice and input into the Firm's fund management operations, particularly with regard to compliance rules monitoring and regulatory reporting.</li><li>Handling and processing market abuse alerts generated by third party systems.</li><li>Contribute where relevant to ensuring audit recommendations, compliance monitoring recommendations and external audit recommendations are dealt with to the required standard.</li></ul>Requirements Key Skills and Technical Requirements: <ul><li>Good understanding of the wealth management business gained through similar roles at other firms.</li><li>Good knowledge of the FCA Handbook, in particular COBS.</li><li>Knowledge and understanding of fund management and regulatory knowledge of UCITS and AIFMD requirements is an advantage.</li><li>Experience in Bloomberg is an advantage.</li><li>Industry or professional Compliance qualification desirable.</li></ul>Other Skills and Attributes: <ul><li>Motivated and conscientious with strong interpersonal skills.</li><li>Ability to manage, motivate, guide and develop those under management.</li><li>Excellent organisational skills, including the ability to prioritise and meet deadlines.</li><li>The ability to produce well structured accurate (in terms of technical knowledge, grammar and spelling) written communications.</li><li>Ability to question politely but firmly to obtain accurate answers to questions asked as part of any testing undertaken.</li><li>The ability to work both independently but as part of a team, both in terms of the Compliance team and with other colleagues throughout the Firm.</li><li>Team player who supports other members of the wider Compliance team.</li></ul>Contact Information We are looking forward to receiving your online application. For any further information please do not hesitate to contact us. LGT Wealth Management UK LLP Human Resources Alex Johnson

Compliance Officer - Advisory (12 month FTC)

Scheme Compliance Manager About us Thredd is the trusted next-gen payments partner for innovators looking to modernise their payments offering. Certified by Mastercard, Visa and Diners &amp; Discover, we process billions of debit, prepaid and credit transactions annually, supporting consumer and corporation FinTechs, digital banks and embedded finance providers across the globe. Our unique offering is our client-centric approach, combining hands-on support with modern, reliable and scalable technology. Our assured solution accelerates the development and delivery of consumer and corporate payments components embedded within digital banks, as well as for expense management, B2B payments, crypto, lending, credit, Buy Now Pay Later, FX, remittance, and open banking innovators. About the Scheme Compliance Manager role We are seeking a Scheme Compliance Manager to join our expanding team. The Scheme Compliance Manager will be responsible for leading the assessment of relevant scheme mandates and processing rules to ensure Thredd fulfils their commitment to remain compliant with the schemes globally. You will be responsible for overseeing the end to end process of scheme compliance, with a key focus on prioritising initiatives and driving accountability across the relevant teams. What you will be doing as a Scheme Compliance Manager Customer/Client Centricity <ul><li>Building and maintaining strong relationships with internal and external stakeholders to enhance collaboration</li><li>Leading investigations into escalations and complaints, identifying root causes and implementing long-term solutions</li><li>Maintaining a customer oriented focus and building an understanding of their business and needs</li><li>Delivering insightful presentations regarding impacts and reasons for compliance changes and adjustments</li></ul>Data &amp; Reporting <ul><li>Establishing and managing monitoring and reporting, leveraging insights to inform strategy and decision-making</li><li>Using data to drive decision making and advocate for product changes that improve the accuracy and efficiency of the platform in line with scheme requirements</li></ul>Industry Knowledge <ul><li>Representing relevant industry events, working groups and webinars to ensure product and market knowledge is kept relevant</li><li>Keeping abreast of Thredd and industry developments</li><li>Understanding the competitive landscape of the cards industry</li></ul>Quality &amp; Controls <ul><li>Owning documentation of key decisions and rationales, providing transparency and continuity in strategic direction</li><li>Escalating issues, providing clear and factual information and communicating with the necessary teams</li><li>Documenting business requirements and managing these with the product team going into engineering</li><li>Act as an SME within Thredd, driving best practices and influencing key decisions</li><li>Managing senior stakeholders including C-Level</li></ul>Innovation &amp; Design <ul><li>Advising on and enforcing best practices, shaping policies and frameworks to improve operational effectiveness</li><li>Investigating opportunities to streamline processes through AI/automation</li></ul>Planning &amp; Prioritisation <ul><li>Driving clear and proactive communication of requirements, ensuring alignment and engagement across teams</li><li>Collaborating with cross-functional teams, including account management, product development, engineering, and operations to ensure alignment that milestones are achieved</li></ul>Product Knowledge <ul><li>Monitoring scheme changes and industry trends, assessing potential impacts and opportunities</li><li>Building and maintaining a strong knowledge of the Thredd proposition</li><li>Providing support to the Head of Scheme Compliance across various initiatives and tasks</li></ul>What you will bring to the Scheme Compliance Manager position <ul><li>Experience reviewing, analysing and disseminating Mastercard and Visa mandates, rules and standards, and either communicating them to relevant business units or leading a team responsible for this task</li><li>Experience with schemes such as AMEX/Discover and debit/credit processing experience is desirable</li><li>Technical knowledge and understanding of managing scheme rules and process, from identification to implementation</li><li>Experience working in the payments industry</li><li>Detailed understanding of how card and payment programmes operate and interact with different partners (Issuers, BIN sponsors, Schemes, Card manufacturers)</li><li>Experience with tools such as JIRA, Confluence, Salesforce, Slack, Miro and Sharepoint</li><li>Reporting, data analysis and presentation skills</li><li>The ability to take high level requests and break them down into actionable plans</li><li>Comfortable working with a range of stakeholders such as the schemes, customers and internal teams</li></ul>

Scheme Compliance Manager

About Lendable Lendable is on a mission to make consumer finance amazing: faster, cheaper, and friendlier. We're building one of the world's leading fintech companies and are off to a strong start: <ul><li>One of the UK's newest unicorns with a team of just over 500 people</li><li>Among the fastest-growing tech companies in the UK</li><li>Profitable since 2017</li><li>Backed by top investors including Balderton Capital and Goldman Sachs</li><li>Loved by customers with the best reviews in the market (4.9 across 10,000s of reviews on Trustpilot)</li></ul>So far, we've rebuilt the Big Three consumer finance products from scratch: loans, credit cards and car finance. We get money into our customers' hands in minutes instead of days. We're growing fast, and there's a lot more to do: we're going after the two biggest Western markets (UK and US) where trillions worth of financial products are held by big banks with dated systems and painful processes. Join us if you want to <ol><li>Take ownership across a broad remit. You are trusted to make decisions that drive a material impact on the direction and success of Lendable from day 1</li><li>Work in small teams of exceptional people, who are relentlessly resourceful to solve problems and find smarter solutions than the status quo</li><li>Build the best technology in-house, using new data sources, machine learning and AI to make machines do the heavy lifting</li></ol> About the role As a Compliance Monitoring Officer (Financial Promotions), you will be part of the Compliance team and supporting our Marketing team. The Compliance team supports the business in delivering its objectives by adopting a customer-centric approach, conducting risk-based monitoring, and making recommendations to support the continued delivery of good customer outcomes. This particular role will be embedded in the Marketing team (part of our wider Growth function), working on financial promotions to ensure external marketing materials - like the company website and social media adverts - are compliant with our internal policies and regulatory requirements. This person will provide guidance to colleagues in the Marketing and Product Teams, as well as oversight to senior management on the outcome of monitoring activity. They will be part of the process to make great promotions from the very beginning and help our Growth team deliver at pace high quality marketing materials that are clear, fair and not misleading, and enable customers to understand how our products work to help them achieve their financial objectives. What you'll be doing <ul><li>Review and approve a broad range of financial promotions created to be distributed either by the business itself or via third-parties, including digital and social media content.</li><li>Ensure financial promotions adhere to the relevant regulatory requirements, industry standards and internal policies by providing clear advice and feedback to stakeholders.</li><li>Identify potential areas for improvement with the internal financial promotions process to ensure it remains in line with regulatory changes and the business' objectives.</li><li>Maintain accurate records and documentation of compliance monitoring activities including review outcomes, actions taken, and follow-up activities.</li><li>Collaborate with relevant teams, such as Growth, Product, Customer Experience, and Operations, to implement enhancements that drive better customer outcomes while maintaining compliance.</li><li>Contribute to risk assessments to identify and mitigate compliance risks which could arise from non-compliant financial promotions.</li><li>Stay up-to-date with relevant laws, regulations, regulatory updates, industry best practices and news sources and monitoring changes to identify potential impacts on compliance requirements.</li></ul>What we're looking for Essential: <ul><li>Minimum 1 year of experience with financial promotions, monitoring, quality assurance or governance within financial services (ideally the consumer credit industry).</li><li>Knowledge of financial services regulations and requirements, specifically the Consumer Duty, CONC, COBS and the Consumer Credit Act.</li><li>Confident providing constructive feedback to stakeholders where required.</li><li>An understanding of risk assessment methodologies and compliance monitoring techniques.</li><li>Demonstrable experience in conducting compliance monitoring activities, including risk assessments, reviews, and analysis.</li><li>Proven track record of successfully identifying compliance risks, implementing effective controls, and driving positive outcomes for customers.</li></ul>Preferred: <ul><li>Experience of working in a marketing function and involved in the creation of financial promotions.</li><li>Evidence of excellence in something that you are passionate about.</li></ul>Who you are <ul><li>Excellent verbal and written communication skills - effectively able to convey complex information and interact with stakeholders at all levels.</li><li>Strong attention to detail - ensure accuracy and precision in compliance monitoring activities.</li><li>Strong problem-solving skills - proactively identify compliance risks, propose solutions, and implement effective controls.</li><li>Strong organisational skills - ability to manage multiple conflicting priorities and meet deadlines in a fast-paced environment.</li><li>Collaborative and team-oriented approach - the ability to work effectively with cross-functional teams and build positive working relationships.</li><li>Curious and self-motivated attitude with a continuous improvement mindset - independently trying new things, sharing ideas and enhancing processes.</li><li>Resilience and adaptability - navigate through challenges, embrace change, and thrive in a dynamic regulatory environment.</li><li>High ethical standards, integrity - ability to handle sensitive and confidential information appropriately.</li></ul>Interview process <ul><li>A quick phone call with one of the team</li><li>A take home task to complete in your own time</li><li>Final stage interviews (in-person or virtual)</li></ul>Life at Lendable <ul><li>The opportunity to scale up one of the world's most successful fintech companies.</li><li>Best-in-class compensation, including equity.</li><li>You can work from home every Monday and Friday if you wish - on the other days, those based in the UK come together IRL at our Shoreditch office in London to be together, build and exchange ideas.</li><li>Enjoy a fully stocked kitchen with everything you need to whip up breakfast, lunch, snacks, and drinks in the office every Tuesday-Thursday.</li><li>We care for our Lendies' well-being both physically and mentally, so we offer coverage when it comes to private health insurance</li><li>We're an equal-opportunity employer and are looking to make Lendable the most inclusive and open workspace in London</li></ul>Check out our blog!

Compliance Monitoring Officer (Financial Promotions)

Upvest, founded in 2017, enables any financial institution to offer great investment experiences to its customers. We are an investment firm regulated by the German supervision authority (BaFin) and the UK Financial Conduct Authority (FCA). The company currently employs 160+ people across Europe with its headquarters based in Berlin, Germany. Upvest is on a mission to make investing as easy as spending money. The company empowers businesses to offer a wide range of investment products and the best experience in the field of capital market investment and retirement planning. Upvest's Investment API is easy to integrate so that fintechs and enterprises alike can save resources and fully focus on their core business. Upvest is one of the few fintechs in Europe that can provide its B2B clients with the full range of investment opportunities in the areas of principal broking business, proprietary trading, and safe custody business for traditional securities. The company was founded in 2017 by Martin Kassing and currently employs more than 180 people across Europe. The latest €100m fundraising round (Series C) was led by Hedosophia and Sapphire Venture, with continued support from existing investors including Bessemer Venture Partners, BlackRock, Earlybird, HV Capital, Motive Ventures, and Notion Capital This position is based in the UK central london (hybrid), with some travel expected to the Upvest office in Upvest HQ in Berlin. Your mission: <ul><li>Working with Upvest teams toward full UK launch, uniting fast growth and compliance for Upvest and our clients</li><li>Building an easily accessible investment product with regulatory excellence reaching 100m end users</li><li>Develop Upvest Securities Ltd's Compliance and AML function to the next level in close collaboration with the managing directors and the Upvest GmbH Compliance and AML team</li></ul>Team's mission Our ambitions in the UK are substantial mighty. With the FCA licence granted in September 2024, and go-live with our first clients planned for early this year, we are looking for an individual to manage the Compliance and AML-related activities within Upvest Securities Ltd, ensuring alignment with regulatory requirements and industry best practices. This role will give you the opportunity to: <ul><li>Oversee the compliance strategy, implementation, policies and in-house controls to ensure adherence to FCA rules and related legislation and ensuring AML procedures and controls align with regulatory expectations.</li><li>Manage Suspicious Activity Reports, provide AML guidance &amp; training, and maintain oversight of financial crime risks, including fraud and bribery.</li><li>Maintain compliant KYB/KYC processes on Clients and Vendors, and perform risk analysis at regular intervals and on an ad hoc basis. Establish compliance monitoring programmes and reporting.</li><li>Ensure that conflicts of interest are prevented or that unavoidable conflicts of interest are adequately taken into account.</li><li>Work in close cooperation with the Growth, Product and Operations departments to ensure compliance with internal standards and regulations, taking an active part in all new product processes.</li><li>Engage with the senior management, and external parties (e.g., FCA, auditors) to maintain effective communication and compliance alignment.</li><li>Create and maintain written policies and procedures to meet changing regulatory and business requirements, particularly by keeping abreast of legal and regulatory developments in the fintech space.</li><li>Conduct and maintain regular training and foster a compliance focused culture.</li><li>This role provides the right individual the opportunity to progress to a Senior Manager Function role i.e. Compliance Oversight Function (SMF16) and / or MLRO (SMF17) for Upvest Securities Ltd.</li></ul>Job requirements: <ul><li>4+ years of experience in financial services firms regulated by the FCA, covering functions related to securities trading Compliance and AML.</li><li>Demonstrable knowledge of UK regulations applicable to an investment firm, such as the FCA COBs rules as well as UK financial crime law such as POCA 2002 and the MLRs.</li><li>Ability to thrive in a fast-paced hybrid environment and learn quickly.</li><li>Passion about the future of fintech and desire to drive it from a front-row seat.</li><li>If you're someone who likes to build things from the ground up, enjoys being hands-on and wants to get more insight into the fintech space, this opportunity could be the one you've been looking for.</li></ul>Why Upvest? <ul><li>We're working on solving a hard problem: fixing the European securities financial infrastructure that empowers more people to be able to invest. You have the opportunity to contribute to this change.</li><li>We invest in you. From access to a personal coach, development budget and plenty of opportunities to grow in your role.</li><li>We take hiring seriously with a strong focus on keeping a high bar when interviewing (equally important is that we hire decent people, who are passionate about their craft and helping us achieve our shared mission).</li><li>While we're not quite fully-remote, we are committed to being a flexible employer, as we understand you don't have to be in the office to do your best work.</li><li>We live a culture of empowerment, trust (that we hire the best people and get out of their way) and openness (there's a greater advantage in sharing information than keeping it to ourselves).</li></ul>Our values: <ul><li>Learn and grow. We aim high to shape our future. We give and request honest feedback knowing that we develop together. Progression over Perfection.</li><li>Team first. We make it easy for others. We value our differences and are open to others' opinions. We win and celebrate together! Team over Egos.</li><li>Own the outcome. Whether we win or we lose, we stand together. We are proactive and get the job done. Outcome over Process.</li><li>Tell the story. We always start with the why. We share knowledge to empower others. Transparency over Complexity.</li></ul>Upvest is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees

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