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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

Compliance Manager UK (f/m/d)

The Vacancy Credit Risk Manager, Portfolio Analysis Contract Type: Permanent ¦ Full Time Location: Bradford, Petersfield or London Working Pattern: Hybrid-typically a couple of days a week in the office. Part time and flexible arrangements are considered to support work-life balance. A fear of losing your current working flexibility shouldn't hinder you from applying for new opportunities, which is why we aim to match your existing flexible working arrangements where possible. What We Offer: <ul> <li>Holidays: 25 days holiday up to 30 days (depending on service)</li> <li>Pension: We know it is important to save for the future, that is why we will contribute up to 10%</li> <li>Maternity/Paternity: We realise that family time is important, we offer enhanced maternity (after successful completion of probation) and 4 weeks paternity leave</li> <li>Workations: opportunity to work abroad 20 days a year (approved list of countries) enable you to visit family and friends or extend your trip</li> <li>Volunteering: 2 paid days to 'give back' to the charity of your choice</li> <li>Development: LinkedIn Learning for all</li> <li>Finance: Snoop Premium available to all colleagues</li> <li>Opportunities to connect: via quarterly socials, in-person and virtual company updates</li> <li>Medical: Opportunity to opt in for Private Medical Insurance</li> <li>Bonus: Discretionary annual bonus</li></ul>The Role: As the Credit Risk Manager for Portfolio Analysis, reporting directly to the Head of Portfolio Analysis and Forecasting, you will play a key role in delivering comprehensive credit risk analysis across Cards, Vehicle Finance, and Second Charge Mortgages. You'll drive the development and enhancement of portfolio analysis, reporting, and provide valuable insights into collections and recoveries, ensuring optimal risk management strategies. As a Credit Risk Manager, you will: <ul> <li>Portfolio Analysis: Conduct in-depth analysis of the credit card, loans, and vehicle finance portfolios to identify trends, patterns, and risks. Utilize statistical models and data analytics techniques to gain insights into portfolio performance, credit quality, and risk exposure.</li> <li>Portfolio Performance Monitoring: Monitor and track the performance of the credit card, loans, and vehicle finance portfolios on an ongoing basis. Identify areas of improvement and recommend strategies to optimize portfolio performance, including credit risk mitigation, pricing adjustments, and product enhancements.</li> <li>Reporting and Presentations: Prepare regular and ad-hoc reports on portfolio performance, credit loss forecasts, and risk metrics. Present findings and recommendations to senior management, stakeholders, and regulatory bodies as needed.</li> <li>Team Leadership: Manage and mentor a team of analysts responsible for portfolio analysis and loss forecasting. Provide colleagues with opportunities to succeed, devoting dedicated time to empowering people through coaching, mentoring and sharing expertise and knowledge</li> <li>Stakeholder Collaboration: Collaborate with cross-functional teams, including finance, risk management, product development, and operations, to drive effective portfolio management strategies. Build strong relationships with internal stakeholders to ensure alignment of goals and effective execution of initiatives.</li></ul>What We're Looking For: <ul> <li>5+ years' experience in portfolio analysis within the consumer credit industry.</li> <li>Knowledge of credit card, loans, and vehicle finance products and associated risk factors preferred.</li> <li>Experience of managing an analytical team, prioritising activities while providing strategic direction and maintaining motivation through coaching and colleague development.</li> <li>Strong analytical and quantitative skills, with proficiency in statistical modelling and data analysis tools (e.g., SAS, R, Python).</li> <li>Communication - ability to convert analytical information into a business narrative, and articulate complex ideas to stakeholders to influence or persuade, through delivering key messages with impact when required.</li> <li>Problem solving - finding innovative ways to address issues or risks identified</li></ul>Offers are subject to satisfactory background checks, including credit, fraud, and employment references. Who We Are: At Vanquis, we have a simple purpose: to deliver caring banking so our customers can make the most of life's opportunities. Established in 1880, we're now a FTSE All Share company and leading specialist bank. We lend responsibly, providing tailored products and services to over 1.75 million UK customers. Vanquis has been named one of the Financial Times UK's Best Employers 2025, ranking in the top 50 nationwide and seventh in Banking and Financial Services. This recognition is based on independent employee feedback, reflecting our strong workplace culture, career growth opportunities, and commitment to our people. Our dedication to making a real difference for customers and supporting our colleagues remains at the heart of what we do. We take care of our colleagues as well as our customers, working hard to create a rewarding and supportive work environment. That means competitive salaries, benefits, and a Group-wide recognition scheme. Everyone can enrol in our pension and after six months, you can join our 'Buy as You Earn' scheme. We're about more than financial rewards though. We give everyone a voice in the business and room to be their authentic self. And we know you're here to build your career, so we help every colleague with training and development opportunities. Making sure there's always something new to learn. Vanquis Bank is an Equal Opportunity Employer Here at Vanquis Banking Group, we embrace everyone's unique strengths and identities to be themselves at work. Regardless of how you identify yourself, your sexual orientation, martial or civil partner status, race, colour, nationality, ethnic or national background, faith, disability, or age - your experiences and background help enrich our teams, and most importantly help support our customers in the best way possible. At the end of the day, it's our people that help us to fulfil the reason why we're here in the first place: to help put people on a path to a better everyday life. If there's anything we can do in the recruitment process to help you achieve your best, get in touch. Whether it's a copy of our application form in another format or additional assistance, we're available to help. You can contact us at <a href="mailto:careers@vanquis.com" target="_blank">careers@vanquis.com</a> The Company At Vanquis, we've been empowering lives since 1880. As a FTSE All Share company and leading specialist bank, we lend responsibly to over 1.75 million UK customers. We're just as committed to our colleagues as we are to our customers, offering competitive salaries, comprehensive benefits, and recognition schemes. With pension plans, our 'Buy as You Earn' scheme, and ongoing training opportunities, we create a supportive environment where you can grow and thrive. Bring your authentic self, find your voice, and build your career with us-because at Vanquis, we believe in making the most of life's opportunities. The Benefits Competitive base salary and rewards Private Medical Insurance 25 days holiday entitlement one day accrued for each year of service (max 30 days) Defined contribution pension scheme Discretionary bonus scheme Perks at Work A perks platform of over 30,000 unique discounts Volunteering 2 paid days to support a charity of your choice Flexible, hybrid, &amp; dynamic working policies Personal &amp; career development opportunities Monthly and Quarterly Colleague Socials Discounted gym membership BUPA GP Service Workplace Gallery Previous Next

Credit Risk Manager, Portfolio Analysis

At a glance The Business Compliance Officer AACB LB and AACL ('BCO') is positioned in the UK Clearing Compliance Department and has a reporting line to the Head of Compliance ('HoC') &amp; Money Laundering Reporting Officer ('MLRO') Clearing Compliance UK. The Clearing compliance function centres on compliance risks. Its mission is to assist senior management in identifying, assessing and effectively managing the compliance risks of ABN AMRO's Clearing business line. It has developed a risk-based approach designed to ensure that every reasonable measure (including policies, procedures, instructions, IT systems, monitoring methods, awareness and training activities, objective-setting, incentives, deterrent measures and sanctions) is taken in order to avoid or reduce the possibility of such compliance risks occurring and to minimise the damage if such a risk should nonetheless occur. The Department is responsible for all AACB LB and AACL compliance matters, excluding prudential rules compliance: advice, policy, training, regulatory developments and monitoring regarding financial services laws, rules, regulations &amp; codes of conduct, data privacy and combatting financial crime. Your job The BCO will perform their role in a way that: • upholds the firm's legal, regulatory and ethical standards; • fosters partnerships and collaboration throughout the firm; • heightens awareness of relevant regulatory issues; • delivers consistent advice, challenge and innovative solutions; and works in collaboration within the Compliance team to deliver the desired outcomes in relation to the advisory activities performed. The BCO has the following responsibilities: • To support the HoC in the management and oversight of the UK Clearing Compliance function and provide support in defining the strategy and direction of Compliance activities; • To support the HoC on UK data protection / data privacy matters for AAB UK and ABF UK; • To develop and maintain the UK Conduct Risk framework and support senior management to identify and manage Conduct Risk across AACB LB and AACL. To develop tools that enhance the Conduct Risk framework and ensure understanding of Conduct Risk is sustained across AACB LB and AACL. • To support the HoC in embedding UK and Group Compliance and Regulatory standards, policies and procedures. Provide support to ensure key regulatory and legislative developments are embedded within the Clearing UK business line; • To support the HoC in providing input into the design and development of regulatory risk management frameworks and risk management practices; • To deputise for the HoC at relevant committees and support the reporting of compliance and regulatory matters to these committees. Provide challenge and advice in respect of key regulatory risks, issues and areas of exposure; • To provide expert technical advice and face to face training, to support the first line in relation to governance and regulation to enable them to understand and meet their regulatory obligations. • To provide support and challenge to key projects and advise the first line business team to ensure they are fully conversant and compliant with current and potential regulatory requirements. • To provide input, support and undertake compliance monitoring and testing activities and ensure that all relevant issues identified through monitoring and/or providing Compliance advice are considered and incorporated into policy, procedures, training plans and/or other materials. • To support the HoC in relation to AACB LB and AACL's relationship with the FCA and relevant exchanges, ensuring that timely and quality responses are provided to them to ensure that their expectations are consistently met; • To review and sign off relevant financial promotion literature to ensure that content is clear, fair and not misleading and compliant with internal policies and external regulatory requirements; • To provide challenge on market abuse risk issues arising, including individual suspicious transactions identified and specific market abuse risk scenarios. Your working environment At ABN AMRO we have a clear purpose: Banking for better, for generations to come. The shift towards sustainability is one of the most important challenges of our time. Supporting our clients at times that matter has always been our role and our responsibility. Together, we aim high and work towards lasting relationships that are relevant and responsible, both now and in the future. We want to be the bank that leads the way. ABN AMRO is an enterprising bank with a primary focus on Northwest Europe. We serve clients in the retail, private banking and corporate banking sectors. We are also present internationally in a number of specialist activities, such as Corporate and Commercial Banking, Asset Based Finance and Clearing. ABN AMRO UK , part of our Corporate Banking network, has established positions in Corporate &amp; Institutional Clients, Financing Solutions (Project and Leveraged Finance), Markets (Capital Markets, Sales &amp; Trading), Transaction Banking, Asset Based Finance and Clearing. Our business lines are supported by a number of functions such as Risk, Compliance, Legal, IT, Finance (including Tax), Business Management and Human Resources. Our strategy requires a culture of working together and permanent learning from each other; it's for this reason our core values of care courage and collaboration are at the heart and centre of everything we do. We currently employed around 380 people in the UK. Equal opportunities for all The success of our organisation depends on the quality of our people and the ideas that they have. Truly surprising insights and innovative solutions for our clients result from an interplay of cultures, knowledge and experience. Diversity is therefore extremely important to our organisation. To ensure that everyone at ABN AMRO can develop their talents, we encourage an inclusive culture in which all colleagues feel engaged and appreciated. Your profile • Professional qualifications, such as the CISI Diploma or equivalent. • A strong knowledge of the FCA Handbook and key Exchange rules (notably LME, LSE, ICE). • Ability to undertake broad compliance monitoring activities by demonstrating knowledge of relevant regulatory requirements in relation to Clearing UK business line. • Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally. • Ability to produce written documents articulating key aspects of issues identified, along with full impact analysis on relevant business areas. • Ability to resolve conflict and deal with confrontation through tact and skill. • Ability to work independently, but a strong team player. • Assertive, analytical, accurate and tenacious. • Display initiative in identifying and presenting solutions to support activities and plans. • Forward looking and focused on effective processes and increasing efficiency. • Practical and pro-active approach. • Self-motivated, and well organised. • A good understanding of relevant existing, and emerging regulatory requirements. • Knowledge of data privacy regulatory framework. • Excellent command of the English language both written and orally. What we offer Joining ABN AMRO means working on meaningful projects. Projects that have an impact on our clients. Working with a wide range of people with different backgrounds, opinions and ideas. In the UK, in the Netherlands or elsewhere in our international network. We offer an environment where you will be challenged on a daily basis - professionally as well as on a personal level - so that you can grow to become the professional you want to be. Interested? Are you interested? Please apply via the button below. For more information please contact Niki Champion, Senior Resourcing Partner, <a href="mailto:UKrecruitment@uk.abnamro.com" target="_blank">UKrecruitment@uk.abnamro.com</a>, +44 203 192 9342. Lees meer Wie zijn je collega's? "Grote zaken, veelzijdige teams en verschillende rechtsgebieden: je wordt hier continu uitgedaagd!" Lees het verhaal Marije Veenhuizen Legal counsel "Als legal counsel ben ik betrokken bij belangrijke zaken, geef ik regelmatig ongevraagd advies én heb ik veel contact met klanten en hun adviseurs. Dat miste ik toen ik advocaat was." Lees het verhaal Adriaan van Zijl Legal counsel "Innovatie en wet- en regelgeving gaan niet altijd hand in hand. Ik zie het als een uitdaging om de bank te helpen innoveren binnen de kaders van de wet." Lees het verhaal Margot Kuijpers Legal counsel "Bij ABN AMRO kijken we constant of onze producten nog voldoen aan de maatschappelijke normen." Lees het verhaal Maico Majado van Dreumel Business compliance officer

Business Compliance Officer AACB LB & AACL

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to enquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies. Overall Responsibilities <ul><li>Responsible for regulatory enquiries including tracking, compiling, and submitting responses and reviewing all responses/documentation received to ensure completion. </li><li>Analyse regulatory requests to evaluate initial risk to the firm, regulatory gaps, and business lines involved. </li><li>Identify regulatory gaps in responses and escalate effectively. Track regulatory requests and responses and manage timeline for each which includes managing regulator expectations and working within Marex to meet those expectations. </li><li>Guide internal teams to ensure they are well prepared for regulatory meetings/responses. </li><li>Assist with maintaining a database for management reporting of regulatory enquiries and issue tracking. </li><li>Review and approve promotional material for compliance with FCA rules.</li><li>Ensuring compliance with the company's regulatory requirements under the FCA and other UK regulators and applicable exchanges e.g. ICE, LME, LSE, EUREX, CME</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with Marex's Code of Conduct.</li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required.</li><li>To escalate risk events immediately.</li><li>To provide input to risk management processes, as required.</li></ul>Skills and Experience <ul><li>Bachelor's degree or above. </li><li>Existing regulatory enquiry experience in a financial markets context - preferred but not essential. </li><li>Excellent verbal and written communication skills</li><li>Data analysis and interpretation skills. </li><li>Organizational and time management skills. </li><li>Proficient in Microsoft Office (Word, Excel, Outlook, etc). </li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this - preferred but essential.</li></ul>Competencies <ul><li>Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion</li><li>Resilience in a challenging, fast-paced environment. </li><li>Ability to communicate across geography, business function, corporate level, and experience set. </li><li>Excellent in building relationships, networking, and influencing others. </li><li>A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Compliance Officer - Exchange and Regulator Enquiry Management

Internal Audit Manager (12 Month FTC) Department: Audit Employment Type: Fixed Term - Full Time Location: London, UK Description The Convex Internal Audit team provides audit services across the entire Group. As an Internal Audit Manager, you will oversee the end-to-end process for each audit and play a crucial role in ensuring the effectiveness of Convex's internal controls, risk management, and governance processes. You will work within a team of experienced auditors, conduct comprehensive audits across the business, and provide actionable insights to enhance the overall control environment. This role is a 12 months' fixed term contract. Key Responsibilities <ul><li>Contribute to the development and execution of the risk-based audit plan, ensuring alignment with organisational goals and regulatory requirements.</li><li>Review documentation and engage with stakeholders to understand key risks, processes and controls in areas being audited.</li><li>Prepare Audit Planning Documents and Terms of Reference for review by the Head of Internal Audit.</li><li>Perform walkthroughs and develop Risk and Control Matrices for each audit.</li><li>Execute audit testing, identifying weaknesses in internal controls and opportunities for improvement.</li><li>Draft audit reports and present key findings and recommendations to management.</li><li>Collaborate with various departments to ensure implementation of audit recommendations and monitor progress.</li><li>Provide coaching to junior team members.</li><li>Contribute to a culture of continuous improvement by improving audit processes and initiatives.</li></ul>Skills Knowledge and Expertise <ul><li>University degree (Finance-related subject not mandatory).</li><li>Professional certification such as ACA, CIA, or equivalent.</li><li>Several years of hands-on experience in internal auditing within non-life insurance.</li><li>Robust understanding of auditing standards, risk management, and internal control frameworks.</li><li>Analytical approach to problem-solving and willing to be hands-on in the process, proactively ensure you gather all relevant information.</li><li>Forward-looking, pragmatic and flexible mindset; you enjoy learning and are open to new ways of doing things.</li><li>Enjoy fostering productive working relationships within the team as well as outside of it.</li><li>Excellent written ability; you take pride in delivering your reports to a high standard.</li><li>High level of integrity and commitment to ethical standards.</li></ul>Benefits <ul><li>Competitive Salary</li><li>30 days Annual Leave</li><li>Birthday Leave</li><li>10% Employer Pension Contribution</li><li>Private Health Insurance Medical Cover</li><li>Group Income Protection</li><li>Life Assurance Cover</li><li>Enhanced Parental Leave</li><li>Annual Health Check</li><li>3 days of Volunteer Leave each year</li><li>10 days of help with care (elder/ childcare) through Bright Horizons</li><li>GBP 1,300 to spend on learning &amp; wellbeing</li><li>Give as You Earn</li><li>Cycle to Work</li><li>Season Ticket Loan</li></ul>

Internal Audit Manager (12 Month FTC)

Who are we? WA.Technology, an award-winning B2B iGaming provider, delivers cutting-edge solutions, products, and services that empower operators with unique brands, advanced tools, and seamless integration of 8,000+ games from 80+ top-tier providers. Its bespoke and fully scalable creations-WA.Sports, WA.Casino, WA.Fantasy, and WA.Affiliates-are supported by state-of-the-art managed services. A leading name in Brazil with an established presence in Latam and Africa, and proven success across global markets, WA.Technology ensures rapid market entry and long-term success for its clients. Where and how we work? We are growing our team across Malta, Lisbon (PT), Sofia (BG), London (UK), and Bucharest (RO) and are looking for talented professionals to join us! We embrace a hybrid work model, with an expectation for You to attend the office at least twice a week to connect, innovate, and grow together while also having the flexibility to work remotely. Long story short, you will As a Head of Risk &amp; Compliance you will be leading the compliance function and operational compliance teams in aligning practices and processes across markets and verticals to enable consistency. You will develop and champion a framework of internal company policies and procedures, including their maintenance, upkeep and adherence, ensuring their distribution and notification to externals. You will be reporting to the Chief Legal and Compliance Officer. The role offers flexibility in a fast-paced, dynamic environment. All the responsibilities we will trust you with: <ul><li>Deliver advice on a range of compliance issues to internal stakeholders;</li><li>Implement, manage and oversee adequate training for regulatory compliance throughout the business;</li><li>Develop, together with other key internal stakeholders, the Group's risk management framework, including the customer risk assessment, on-boarding and ongoing monitoring process, jurisdictional risk assessment and business risk assessment programmes;</li><li>Develop and maintain the Group's policies and procedures framework, as well as oversee their implementation and review;</li><li>Manage games, PAMs and all other certifications projects globally;</li><li>Manage ISMS projects, including the management of internal audits, liaising with external auditors and creating and maintaining required documentation;</li><li>Manage relationships with external advisors and other service providers appointed to assist the compliance department as well as regulators;</li><li>Provide updated and industry-specific regulatory and technical compliance advice in the Group's target markets;</li><li>Develop and oversee control systems to prevent or deal with violations of regulatory guidelines and internal policies and establish processes for monitoring compliance with standards and regulations;</li><li>Oversee the Group's compliance in all aspects which affect its activities, including without limitation remote gambling legislation, anti-money laundering, data protection, anti-bribery and corruption, information security, and other regulatory areas;</li><li>Optimise the use of tools, processes and procedures that facilitate the automation of tasks, including without limitation in the customer/supplier on-boarding and ongoing monitoring process;</li><li>Work seamlessly with the Head of Legal and the Legal Department to protect and support the Group's business ventures comprehensively and effectively;</li><li>Work alongside the commercial, technical and operational teams to develop, enhance and implement effective compliance and risk management strategies.</li><li>Provide leadership to the Risk &amp; Compliance function, fostering a high-performing team environment, and offering guidance, mentorship, and professional development to team members</li></ul>Your areas of knowledge and expertise : <ul><li>Previous experience (5+ years) as a senior compliance officer, manager or head of compliance</li><li>Expertise in multiple jurisdictions handling compliance requirements in regulated and unregulated markets</li><li>A solid grasp of the iGaming regulatory landscape and a genuine interest in keeping abreast of regulatory developments</li><li>Experience in liaising with regulatory bodies, consultants, auditors and all other externals supporting the department</li><li>A demonstrated ability to set up, roll out and steer risk management frameworks and internal audit functions</li><li>Strong communication and presentation skills</li><li>Project management skills and ability to manage several projects at once</li><li>Personal attributes: ability to work under pressure, ability to work on own initiative, leadership skills</li></ul>Why Work With Us? <ul><li>Flexible work environment.</li><li>Opportunity to work with well-connected industry leaders.</li><li>A leadership approach that fosters innovation, creativity, and trust.</li><li>Opportunity to experience the buzz of highly driven and motivated work colleagues.</li><li>Experience a start-up feel in a fast-paced growth-driven environment.</li></ul>"We are committed to fostering an inclusive workplace that values and promotes diversity. Our aim is to create a vibrant, accessible, and welcoming environment for individuals of all backgrounds, experiences, and perspectives. We believe in equal opportunity for everyone and encourage candidates from diverse backgrounds to apply, including those from underrepresented groups. Our hiring decisions are made based on the merits of skills, experience, and potential, ensuring fairness and equality for all applicants."

Head of Risk & Compliance

Scheme Compliance Analyst 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 Analyst role We are seeking a Scheme Compliance Analyst to join our expanding team. The Scheme Compliance Analyst will be responsible for ensuring scheme compliance requirements are assessed, understood and implemented swiftly by working closely with internal teams. What you will be doing as a Scheme Compliance Analyst Customer/Client Centricity <ul><li>Building the card network relationships to improve compliance understanding and communication</li></ul>Data &amp; Reporting <ul><li>Maintaining monitoring and reporting to track Thredd compliance with Scheme mandates</li><li>Documenting and tracking decisions/rationale for pursuing or not pursuing</li><li>Scheme requests; Maintaining a log for audit trail and ease of reference as Thredd's strategy evolves across new regions and new products</li></ul>Industry Knowledge <ul><li>Attending relevant card scheme industry events, working groups and webinars to ensure product and market knowledge is kept relevant</li></ul>Quality &amp; Controls <ul><li>Supporting the end to end process for handling, prioritising and maintain scheme compliance</li><li>Investigating any escalations, complaints, incidents and breach of scheme compliance or any other scheme compliance related requests</li><li>Monitoring scheme compliance regulatory changes, amendments, trends, or any other development that may impact our operations</li></ul>Innovation &amp; Design <ul><li>Working with the Head of Scheme Compliance in implementing the Scheme Compliance Framework</li></ul>Planning &amp; Prioritisation <ul><li>Identifying and implementing efficiencies in the end to end processes</li><li>Staying on top of the weekly and monthly bulletins that come in</li></ul>Product Knowledge <ul><li>Developing an understanding of Thredd business operations and payment processes</li></ul>What you will bring to the Scheme Compliance Analyst position <ul><li>Experience working with Visa and Mastercard and the compliance rules - Discover and AMEX would also be highly desirable</li><li>Technical knowledge and understanding of managing scheme rules 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>The ability to work independently</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 Analyst

JOB TITLE: Security Compliance Officer LOCATION: London Heathrow Airport/Occasional travel to UK Airports WORK PATTERN: Monday to Sunday - 5 on 2 off , 40 hours per week REPORTING TO: Head of Security SALARY: Competitive OVERVIEW OF JOB DESCRIPTION The security compliance officer will be responsible for conducting compliance monitoring throughout the security functions in aviation that ABM provide. This involves rotating between different sites on and off airport observing, assessing, and coaching agents ensuring they are completing their roles to a government required standard and in some cases to an airline standard too. The opportunity will allow the successful applicants to work with high-profile clients within aviation with exposure to working in a face pace, forever evolving, and changing environment. Main Duties &amp; Responsibilities: • Responsible for conducting compliance monitoring on and off airport on agents who conduct any security searches • Responsible for conducting covert testing on any security searches • Collating all monitoring data and complete data analysis on findings • Generate reports from data and feed any trends to the Head of Security • Generate data from convert testing • Be an expert on all security searches • Coach and re-train agents in all security search areas • Observing all areas where a security search is done (catering, secure clean, man guarding etc) • Effectively manage all data • Build effective relationship with the operational teams and agents • Develop and maintain relationships with all key stakeholders • During inspections and audits, compliance officer will support Head of Security and operational team as/when required • Provide effective and engaging leadership to the frontline agents • Extract learning from reports and work with Head of Security for rectification actions • Understand the regulator approach • Work closely with Training Team to maintain knowledge and compliance. • Leading in investigations for missed test pieces/missed items. • Conducting workshops for agents • Expanding covert testing through our security functions • Building inhouse data analysis and supporting the development of the compliance app • Supporting in the development of new material for training • Creating internal reports for trends directly linked to missed test pieces or missed items. • Creating and developing new initiatives to promote aviation security. Qualifications and Experience: • Experience working in a regulated environment • Knowledge in operational security aviation • Experience in excel, data analysis • Understanding of compliance regulations • Able to attain and retain an airside pass, including counter terrorist check • Good communication skills and ability to adapt to a changing environment • Driving license (both manual and automatic) Benefits We're proud to offer a great range of benefits including: <ul> <li>24/7 GP: Both you and your immediate family can speak to a UK-based GP from the comfort of your own home</li> <li>Mental Health support and Life Event Counseling </li> <li>Get Fit Programme</li> <li>Financial and legal support </li> <li>Cycle to work scheme</li> <li>Access Perks at Work, our innovative employee app where you can find:</li> </ul><ul> <li>Perks: discounts, gift cards, cashback, and exclusive offers</li> <li>Life: Search for resources and tools on topics ranging from family and life to health, money and work</li> <li>Support: Online chat or telephone service for urgent support in a crisis</li> </ul>For more information about ABM's benefits, visit our careers page ABOUT US ABM is one of the world's largest providers of integrated facility services. A driving force for a cleaner, healthier, and more sustainable world, ABM provides essential services that improve the spaces and places that matter most. ABM offers a comprehensive array of facility services that includes cleaning, engineering, parking, electrical &amp; lighting, energy solutions, HVAC &amp; mechanical, security, and mission critical solutions. ABM delivers these custom facility solutions to properties across a wide range of industries - from commercial office buildings to schools, airports, hospitals, data centres, manufacturing plants and distribution centres, entertainment venues and more. In the UK we're proud to service icon sites across the country with more than 10,000 team members. For more information, visit <a href="http://www.abm.co.uk" target="_blank">www.abm.co.uk</a>. ABM are committed to employment practices that promote diversity and inclusion in employment regardless of age, disability, gender reassignment, sex, marriage and civil partnership status, pregnancy and maternity status, race, religion or belief. We are proud members of the Armed Forces Covenant Employer Recognition Scheme.

Security Compliance Officer

Description Position at SEGA European Head Office Department: Privacy &amp; Compliance Location: SEGA HQ Brentford, Hybrid working (3-days per week in-office) Reporting To: Director of Compliance Our Privacy &amp; Compliance Managers work with key stakeholders throughout the organisation to support SEGA's privacy and compliance programme and will support key business functions to improve and define the privacy impacts and risks in processes. The Privacy &amp; Compliance Team will provide support and guidance to all SEGA operations in the EMEA region from our UK base. This would be a great second role in your Data Privacy career. The role will report directly to the Director of Compliance and will include a lot of variety, giving you exposure to key areas of the business. This is a great chance to be part of an engaged team driving privacy and compliance initiatives and helping to scale and implement a privacy-by-design approach across multiple teams and functions. Key Responsibilities <ul><li>Help develop and document all areas of SEGA's privacy programme including its policies, procedures and data audits and identify opportunities to improve procedures. </li><li>Manage the day-to-day activities of SEGA's compliance programme including </li><li>Assisting with implementing the privacy compliance process across specific business areas and auditing its implementation, especially the move towards automation. </li><li>Working closely with business areas to operationalise recommendations and ensure compliance with internal policies and processes, including leading initiatives on the completion of assessments and other onboarding documentation. </li><li>Managing the records of processing activities. </li><li>Assisting the Compliance Team with data subject requests and regulatory inquiries. </li><li>Working with the legal and security teams in managing vendor onboarding and due diligence. </li><li>Working on key data protection processes including Privacy Assessments, Data Subject rights documentation, training materials and Data Breach assessments. </li><li>Supporting any compliance-related enquiries. </li></ul>Knowledge, Skills And Experience Essential <ul><li>Significant experience bringing order to chaos - tracking and shepherding projects from initial enquiry to conclusion and post mortem </li><li>Ability to work independently, balance multiple activities, prioritise issues quickly and respond to tight deadlines </li><li>Able to communicate effectively with stakeholders across the business. </li><li>Detail orientated, friendly and a team player </li><li>1 - 2 years' experience of working in data privacy</li><li>Experience in other areas of compliance (related to technology, gaming) a plus</li></ul>Preferred <ul><li>Knowledge of enterprise privacy management systems (preferably OneTrust) is a plus </li><li>Relevant knowledge of privacy and regulatory frameworks including UK and EU GDPR, DPA 2018, PECR </li><li>An interest in the developing regulatory landscape, especially in regulations relevant to game development (for example UK AADC, COPPA, UK OSA). </li></ul>This job description is an accurate reflection of the duties and responsibilities of the post as at the time of writing but will be changed from time to time as the job is a career development job which will be adjusted according to the progress of the job holder. It does not form part of the contract of employment. Our Commitment to Equity, Diversity, Inclusion &amp; Belonging: At SEGA, we celebrate diversity and believe in a diverse, inclusive, and equitable world in which everyone feels valued and respected regardless of what they look like or where they come from. Whether you're a prospective employee or a full-time member of staff, we want you to feel involved and supported in all aspects of our work and to have amazing opportunities during your time with us regardless of your background. We welcome people regardless of age, race, ethnicity, disability, gender identity and expression, sexual orientation, neurotype, socioeconomic background, and whether you're pregnant or on family leave. SEGA is a place where staff have a voice which is integral to our success as a business. Our inclusive, passionate people are empowered to educate, inform, and build awareness through our inclusion and wellbeing staff led values groups which include DEN (Disability Employee Network), RISE (Reinforcing Inclusion through Solidarity and Equality), Women at SEGA, PRIDE, SEGA Minds (group supporting mental health), Momiji (group that celebrates our Japanese heritage, language, and culture) and VIBE (our social and engagement committee).

Privacy & Compliance Manager

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary <ul><li>Conduct T+1 FX Trade Surveillance on Nasdaq SMARTS and via tactical controls. </li><li>Escalating any suspicious activity findings to management and reporting to regulators. </li><li>Ensuring compliance with the company's regulatory requirements under the FCA and any other relevant regulatory bodies.</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with the FCA's Code of Conduct and Marex's Code of Conduct. </li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required</li><li>To escalate risk events immediately </li><li>To provide input to risk management processes, as required.</li></ul>Competencies <ul><li>Strong knowledge of the FX space</li><li>Strong knowledge of Trade Surveillance, MAR scenarios and vendors, specifically Nasdaq SMARTS</li><li>A collaborative team player, approachable, self-efficient</li><li>Demonstrates curiosity</li><li>Resilient in a challenging, fast-paced environment</li><li>Ability to take a high level of responsibility in a fast pace and high-volume environment</li><li>Excels at building relationships, networking and influencing others</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness</li></ul>Skills and Experience <ul><li>5+ years* transferable skills gained in a similar role / organisation </li><li>Strong team player, experience of dealing with a variety of stakeholders </li><li>Strong Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS or similar surveillance tools is essential)</li><li>Educated to degree level in a related subject would be beneficial, but not essential</li><li>Excellent verbal and written communication skills</li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.</li></ul>*candidates with the experience outside of this range will also be considered Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Surveillance Compliance Officer - FX

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. In supporting the Firm in meeting its regulatory obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations. Compliance is responsible for overseeing the adherence to regulatory requirements and expectations through compliance policies, advisory activity, training, monitoring, surveillance and supporting the firm to implement regulatory change. Central Compliance are responsible for the development and implementation of compliance policies, training, regulatory registrations, exchange returns, complaints handling, conflicts management, regulatory interactions, regulatory developments, audit requests and whistleblowing framework oversight. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary The 'Senior Compliance Officer - Central Compliance' role supports the Head of Central Compliance with the day-to-day operation of the Central Compliance function. The role will primarily focus on and support the following key areas which forms part of the Central Compliance Function: <ol><li>Training </li><li>Compliance Policy Framework </li><li>Complaints Handling </li><li>Conflicts Management (including PA Dealing processes)</li></ol> Responsibilities <ul><li>Oversee the compliance policy framework including making changes and updates to compliance policies on a periodic basis or as required. </li><li>Manage the compliance training schedule and systems, including: (i) issuing training as per the ongoing firm rollout schedule; (ii) reviewing, evaluating and enhancing compliance training content; and (iii) monitor and report on overdue training including escalating to relevant stakeholders.</li><li>Deliver face-to-face training including Compliance inductions and working with the Compliance Advisory team to deliver ad-hoc training as and when required.</li><li>Work with stakeholders to draft and issue compliance communications, as required, which may either be firm wide or targeted to certain subjects. </li><li>Develop the firms Conflicts of Interest (COI) Framework including managing compliance processes. </li><li>Develop the firms Personal Account Dealing (PAD) Framework including managing compliance processes (including oversight of the PAD tool). </li><li>Maintain departmental registers and schedules, e.g., Breaches Registers, COI Registers, Complaints registers. </li><li>Prepare Management Information reports as relevant to areas of responsibility. </li><li>Supporting the Compliance Function in responding to ad-hoc requests</li></ul>Skills and Experience Mandatory <ul><li>Experience of working within a UK regulated environment e.g. SMCR, MIFID, MAR.</li><li>Experience with drafting compliance policies and procedures. </li><li>Experience with drafting training materials. </li><li>Experience in managing conflicts of interest processes.</li><li>Excellent presentation skills and attention to detail.</li><li>Excellent interpersonal and communication skills. </li><li>Minimum 5 - 8 years'* experience of working within a regulatory environment.</li><li>Experience of working within a medium sized financial services firm</li><li>Experience of dealing with various different stakeholders (Front Office, Legal, CoSec, Risk, IT, Finance, HR, etc)</li></ul> Desirable: <ul><li>Experience of working in both a brokerage/ trading firm as well as a large financial institution (investment bank, corporate bank, asset manager, etc.) </li><li>Compliance specific industry certifications including those awarded by the ICA or CISI. </li></ul>Competencies <ul><li>A collaborative team player, approachable, self-sufficient and influences a positive work environment.</li><li>Demonstrates curiosity and attention to detail</li><li>Resilient in a challenging, fast-paced environment.</li><li>Ability to take responsibility for own delivery in a fast pace and high-volume environment.</li><li>Excels at building relationships, networking and influencing others.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. *Applicants outside of this range will also be considered Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-DG1

Senior Compliance Officer - Central Compliance

At Just we encourage a flexible and agile working environment for the majority of our opportunities. Get in touch with us to discuss in more detail. About the role We are looking for a Compliance Specialist to support our Group and Defined Benefit (DB) teams. In this role you will provide support to the Head of Compliance Group and DB and will make a significant contribution to the effectiveness of the Compliance function through the provision of comprehensive support and ongoing analysis of regulatory risk, including but not limited to conflicts of interest, Senior Managers and Certification Regime and Solvency UK documentation compliance as well as supporting on regulatory reporting and notifications.. Working within the Group's regulatory risk appetite defined by relevant Boards, you will work proactively with first line colleagues across the Group to promote best practice with the aim of reducing regulatory risk. As the Compliance Specialist you will also contribute to the development and maintenance of a robust Consumer Duty culture. Responsibilities <ul><li>Provide comprehensive and timely regulatory oversight and challenge to the Groups systems and controls with regards to compliance with, but not limited to, the following regulatory requirements: conflicts of interest, Senior Managers and Certification Regime, Solvency UK documentation and with regards to the timeliness and accuracy of data for inclusion in regulatory reports and notifications including ad-hoc requests for information.</li><li>Provide broad regulatory and compliance support and expertise to projects and/or regulatory change programmes. Delivering by business partnering with colleagues across the Group to ensure that these are delivered without increasing exposure to unacceptable regulatory risks. Assisting the business in achieving its objectives and to ensure compliance with current legislation and best practice</li><li>Provide consultancy support and technical expertise on key FCA and PRA regulatory areas of focus including but not limited to conduct, Consumer Duty and Solvency UK.</li><li>Ongoing collaboration with colleagues across other first and second line Group functions to facilitate appropriate and timely support.</li></ul>Skills &amp; Experience <ul><li>Regulatory Compliance experience in a financial services company is essential</li><li>Proven record of accomplishment in financial services compliance, preferably in the life insurance firm sector, providing regulatory assurance and advisory support.</li><li>Good understanding of the regulatory framework operating within the UK.</li><li>Excellent communication, presentation and relationship-building skills with the ability to communicate effectively to a variety of audiences</li><li>Solution oriented</li><li>Strong influencing skills and confident in providing advice and recommendations to senior stakeholders</li><li>Customer focused with the ability to apply a Consumer Duty lens to the communication and implementation of regulatory intelligence &amp; a strong understanding of all Just products and distribution channels</li><li>Excellent organisation &amp; project management skills and able to meet deadlines</li><li>Ability to work on own initiative and as part of a team</li><li>Attention to detail, with an analytical mindset</li><li>Strong report writing skills and the ability to tailor such to the required audience ensuring both accuracy and clarity.</li><li>Objective, timely and confident decision-making skills with a good understanding of Group strategy and direction</li><li>IT literate, including in the use of Microsoft Office software, in particular, Word, Excel, and PowerPoint</li></ul>Company Benefits <ul><li>A Competitive Salary, Pension Scheme and Life Assurance</li><li>Along with 25 Days Annual Leave plus an Additional Day on us for your Birthday</li><li>Private Medical Cover and Income Protection, just in case</li><li>A generous and highly achievable bonus scheme - paid annually based on individual and company performance against targets</li><li>Opportunity to progress within your career both in-role and within the company</li><li>FREE access to the Headspace App, a 24/7 Employee Assistance Helpline and Trained Physical &amp; Mental Health First Aiders (On-Site)</li><li>A variety of Employee Funded Benefits available to you via our Online Benefits Portal</li><li>Plus, several additional purchase options available for you and your loved ones</li></ul>About Us We're a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. How people work, save, and plan for the future is all changing. A new generation of retirees needs a new kind of retirement company. A company who will look for new ways of doing things - and will always put the customer first. That's who we are. We're a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement. And with you on our team, we're going to make sure they get it. We've built our sustainability strategy around the United Nations Sustainable Development Goals (SDG) and have selected goals where we believe we can make the most difference. By aligning our activity with these global goals, we can make sure we play our part in addressing the wider issues facing the planet and leave a positive legacy to the world. You can read more about our sustainability strategy here. Diversity, equity and inclusion are priorities for us. Having a diverse, talented workforce with colleagues of different backgrounds, world views and experiences is the right thing to do. It's also the most effective way to succeed, innovate and better serve our customers now and in the future. We are committed to our targets on gender and ethnicity and run a number of successful mentoring and sponsorship programmes for our colleagues from diverse backgrounds. We have multiple active employee network groups which champion issues including gender, ethnicity, sexual orientation, disability and neurodiversity. You can read more about our DE&amp;I strategy and commitments here. What's clear about working at Just is that we care. We care about our customers, our purpose, our environment, inclusivity, wellbeing and most importantly - each other. We look forward to welcoming you to the team soon.

Compliance Specialist

General Job description and person specification Job Title: Senior Compliance Officer - UK Regulatory Affairs - 12 month FTC Division: Compliance Key Relationships: Internal: Compliance Manager - UK Regulatory Affairs and Conduct, Group Head of Compliance, Global Compliance Teams, Risk Management and Second Line Assurance; Executive Management, Beazley Functions and Underwriting units. Data Management. External: PRA, FCA and Lloyd's stakeholders as required; legal and consultancy vendors as needed; industry peers and stakeholders as appropriate. Job Summary: To provide technical advice and support on Lloyd's, PRA and FCA regulatory processes and interactions, ensuring regulatory compliance across the business as it grows in size and complexity. Focus on supporting high quality reporting, regulatory returns, delivery of training and specific assurance activity as needed. Contribute to Beazley Furlonge Ltd's strategic management of the PRA, FCA and Lloyd's regulatory relationships. Support the Global Compliance function through contributions to the maintenance and development of policies, procedures, internally facing communications and horizon scanning as required. Key Responsibilities: <ul><li>Support the development and maintenance of relationships with key regulators, as well as assisting with regulatory reviews and ensuring that any follow up actions are addressed.</li><li>Develop and help to maintain high quality trackers that are useful bases for formal reporting.</li><li>Understand Lloyd's, PRA and FCA requirements and assist with the Lloyd's Oversight Principles attestation and delivery of the PRA PSM Letter actions.</li><li>Support in handling regulatory enquiries from regulators, ensuring prompt and appropriate responses/ escalation as appropriate.</li><li>Contribute to, coordinate and submit Lloyd's, PRA, FCA, MAS and other international regulator's returns.</li><li>Assist with the formal minute taking at regulatory meetings.</li><li>Maintain a good understanding of the regulatory requirements applicable to the organisation in terms of the Compliance function's mandate and leverage horizon scanning tools to triage emerging regulatory policy for relevance to Beazley Furlonge's business. Assist the business to understand the impact of changing regulations and statutes and what is required of them in line with the Compliance function's Horizon scanning framework.</li><li>Establish and maintain highly effective relationships with other stakeholders across the business, feeding into initiatives for continuous improvement and ensuring effective information sharing across the business.</li><li>Support the Compliance Manager and wider Compliance team to maintain our Compliance Framework to provide assurance that the Company is compliant with all relevant regulatory obligations.</li><li>Support the Compliance team to maintain and review the Compliance policies and relevant underlying procedural documents.</li><li>Work with the business to ensure that the organisation's procedures and policies are relevant, appropriate and comply with the relevant regulations.</li><li>Assist second line assurance in identifying areas for compliance review and providing support throughout the review process, where necessary.</li><li>Conduct tailored training with relevant business areas and provide input into system based regulatory and conduct training content.</li><li>Represent the Regulatory team at internal Global Compliance meetings.</li><li>Represent the Compliance function in required Project Working Groups, contributing to ensure the project progresses within agreed timeframes, so enabling the business to meet its strategic objectives.</li><li>Assist with the preparation of compliance papers to support the organisation's governance structure.</li><li>Provide regular progress updates both written and verbally to the Global Head of Compliance.</li></ul>General: It is important that within all your interactions both internally and externally you adhere Beazley's core values - Being Bold, Striving for Better, and Doing the Right Thing as they contribute to an internal environment of teamwork and promote a positive brand image and experience to our external customers. We also expect Beazley employees to: <ul><li>Comply with Beazley procedures, policies and regulations, including the code of conduct.</li></ul><ul><li>Undertake training on Beazley policies and procedures as delivered by your line manager, the Culture &amp; People or assurance teams (compliance, risk, internal audit) either directly, via e-learning or via the learning management system.</li><li>Display business ethics that uphold the interests of all our customers.</li><li>Ensure all interactions with customers are focused on delivering a fair outcome, including having the right products for their needs.</li><li>Comply with any specific responsibilities necessary for your role as outlined by your line manager, the Culture &amp; People or assurance teams (compliance, risk, internal audit) and ensure you keep up to date with developments in these areas. This may include, amongst others, Beazley's underwriting control standards, Beazley's claims control standards, other Beazley standards and customer relationship management.</li><li>Carry out additional responsibilities as individually notified, either through your objectives or through the learning management system. These may include membership of any Beazley committees or working groups.</li></ul>Personal Specification: Education and Qualifications <ul><li>Degree and/or relevant professional qualification</li></ul>Skills and Abilities <ul><li>Excellent verbal, presentation and written skills</li><li>Ability to work at both detailed and summary level</li><li>Strong interpersonal and influencing skills</li><li>Able to communicate effectively with others</li><li>Ability to manage time, meet deadlines and prioritise</li><li>Team player as well as the ability to use own initiative</li><li>Ability to work in a pressurised, deadline-bound environment</li><li>Good understanding of organisational processes</li><li>Excellent documentation and presentation skills</li></ul>Knowledge and Experience <ul><li>Experience (minimum 5 years) working in Compliance at a Lloyd's Managing Agent - Required</li><li>Successful track record of planning and actively delivering tangible results</li></ul>Aptitude and Disposition <ul><li>Calm under pressure and comfortable with a fast paced environment</li><li>Good attention to detail</li><li>Information seeking</li><li>Outcome focussed</li><li>Proactive</li><li>Enthusiastic and positive</li><li>Self-motivated with the ability to work autonomously</li><li>Professional approach to successfully interact with colleagues and regulators</li><li>Organised, with strong prioritisation skills</li><li>Firm but diplomatic</li><li>Flexible and pragmatic</li></ul>Competencies <ul><li>Effective communicator</li><li>Self-motivated</li><li>Problem solving</li><li>Achievement orientated</li><li>Personal Impact</li><li>Leadership</li></ul>

Senior Compliance Officer - 12 month FTC

About the Role We are seeking a Compliance &amp; Risk Manager to shape and oversee compliance frameworks for Bauer Media Audio. This newly created role will manage regulatory and operational risks across audio broadcasting, gaming/SMS competitions, and related commercial activities. Working as part of the newly established RRR function (Risk, Responsibilities &amp; Resilience), you will also work closely with colleagues in Group Legal &amp; Governance, local management teams and the Compliance Partner Network embedded across the audio business. You will ensure adherence to global standards, promote ethical conduct, and help foster a culture of accountability. Key Responsibilities <ul> <li>Lead and support the implementation of all relevant media neutral legislation and group compliance programs across Audio's nine territories. Also lead the design, development and implementation of relevant audio specific compliance initiatives of strategic importance for broadcasting, SMS competitions/gaming and other commercial activities. </li> <li>Develop and execute compliance initiatives for broadcasting, gaming/SMS competitions, and commercial activities. </li> <li>Monitor regulatory developments and ensure timely compliance. </li> <li>Oversee risk assessment, mitigation, and compliance investigations. </li> <li>Advise on licensing requirements and liaise with regulatory authorities. </li> <li>Develop and implement compliance training programs. </li> <li>Support sustainability compliance and business continuity planning. </li> <li>Facilitate an annual business risk assessment with local management, maintain a risk registers and provide strategic risk insights to leadership. </li></ul>Skills &amp; Experience <ul> <li>5+ years' experience in compliance or risk management. </li> <li>Background in media, entertainment, or technology industries preferred. </li> <li>Strong strategic thinking, problem-solving, and analytical skills. </li> <li>Excellent communication, collaboration, and leadership abilities. </li> <li>Experience working in multinational environments and regulatory frameworks. </li> <li>Degree in Law, Business Administration, or related field (compliance certifications advantageous). </li></ul>About Bauer Media Group We are a media business focused on creating content that matters to millions of people across Europe. Our offering extends from print and online publishing to audio broadcasting and entertainment, alongside investments in other media related sectors. With more than 500 million copies sold each year, we are one of Europe's largest Publishers. From women's and celebrities' magazines to TV listings to food and special interest, we own some of the most popular publishing brands in Germany, UK, Poland and France - both digital and print. But not only that. Reaching over 61 million listeners weekly, we operate over 150 radio and podcast brands in nine countries, spanning the UK, Ireland, Poland, Slovakia, Denmark, Sweden, Finland, Norway and Portugal. Family-owned in the 5th generation, Bauer Media focuses on the long-term, with a consumer-first mindset that guides us across our diverse portfolio. Our workforce of 12,000 shares a common purpose: to deliver content and services that enrich people's everyday lives. What's in it for you <ul> <li>You'll have 25 days holiday, bank holidays &amp; 2 volunteer days to use.</li> <li>Your development matters, so access to our internal training provider - Bauer Academy, is a huge win. </li> <li>We have enhanced Maternity/Adoption, Paternity and Shared Parental Leave Pay.</li> <li>You'll have the opportunity for flexible working. </li> <li>And much more! Find the full details of our benefits here</li></ul>If you have any feedback regarding our UK recruitment process, please email <a href="mailto:careershub@bauermedia.co.uk" target="_blank">careershub@bauermedia.co.uk</a> we would love to hear from you. Date: 7 Mar 2025 Location:

Compliance & Risk Manager

Company purpose: Our company purpose is to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. Our employer promise is built around three pillars: • Being a great place to work • Committed to sustainability and having a positive impact • Being dedicated to the development of our people Business area The Ethics and Compliance Department provides transversal regulatory advice and support to all the business functions performed globally across BNP Paribas. The primary focus of the Market Abuse Surveillance (MAS) function is the oversight and execution of controls focussed upon the assessment of market abuse risk associated with BNP Paribas Group's businesses, and the identification and detection of potentially market abusive behaviours by BNPP's employees and clients. The function operates automated rule based and analytical surveillance platforms which alert upon potentially anomalous behaviour and subjects the output to further manual analysis and investigation by subject matter experts within the function. Equally the function exercises oversight processes where surveillance activities are undertaken in the 1st Line of defence or by local entities outside of the core MAS teams. Job purpose The Compliance Manager, Model Risk Governance &amp; Oversight, Market Abuse Surveillance - Vice President reports to the Global Head of Model Review, Challenge and Oversight, functionally with a local reporting line to the UK Head of Market Abuse Surveillance located in London. The individual will lead the relationship with the RISK IRC function, coordinate the Model Risk processes across Group surveillance activities, and enhance governance, policy adherence, and oversight of model risk review processes in alignment with SR11-7 and other regional regulatory expectations. The role is responsible for ensuring robust governance frameworks, facilitating model risk oversight committees, and driving strategic initiatives in model risk governance. They will work closely with RISK IRC, Model Risk Management teams, model owners, information technology and independent validation teams to ensure compliance, effective governance best practices, regulatory adherence, and transparent risk reporting. In discharging these responsibilities, the role holder is expected to interact with, obtain input from and provide appropriate information back to, operational surveillance teams across the Group. Key responsibilities Strategic Governance and Oversight: - Assist the Global Head of Model Review, Challenge, and Oversight, Market Abuse Surveillance, with the execution of model risk management governance and oversight activities of the Surveillance Framework. - Lead the model governance framework, ensuring alignment with SR11-7 and regulatory requirements. - Establish and maintain risk rating methodologies for models, ensuring consistency and compliance with governance standards. - Oversee governance structures that monitor model lifecycle risk, periodic reviews, and issue remediation. - Provide senior-level oversight to model risk controls, issue tracking and regulatory risk mitigation. Regulatory Compliance &amp; Policy Leadership: - Ensure model risk governance practices align with regulatory expectations and internal policy frameworks. - Oversee regulatory and audit responses related to model risk management, including governance documentation and risk assessments. - Develop and implement policy enhancements to meet evolving regulatory expectations. - Track and report regulatory findings, issue remediation progress, and compliance milestones. Stakeholder Compliance &amp; Policy Leadership: - Chair or provide senior oversight for model governance forums and committees, ensuring transparent decision-making. - Act as a primary liaison between RISK IRC Model Risk Management (MRM), Compliance, Internal Audit, and Business Units to ensure effective governance and issue resolution. - Partner with senior surveillance leadership to drive governance enhancements and facilitate risk-based discussion on model oversight. - Maintain transparent communication with internal stakeholders to ensure timely completion of model reviews and remediation efforts. Reporting &amp; Risk Transparency: - Oversee the production of MAB model risk governance reports, dashboards, and regulatory submissions. - Provide executive-level reporting on model risk status, issue remediation progress, and compliance milestones. - Ensure accurate and timely escalation of governance concerns to senior surveillance and Compliance leadership and risk committees. - Maintain a centralized repository for all governance-related documentation, including risk rating justifications, approvals, audit trails. Process Improvement &amp; Innovation: - Identify opportunities to strengthen governance frameworks and enhance transparency in model review processes. - Oversee automation and technology initiatives that improve efficiency in model governance and reporting. - Implement best practices in risk governance, ensuring continuous improvement of model oversight frameworks. - Contribute as required to additional projects and activities as defined by the Global Head of Market Abuse Surveillance or as deemed necessary by senior Compliance Management. - Challenge existing norms, processes and mindsets and offer ideas and a different perspective, whilst contributing to the wider model risk management program. Requirements Preferred Qualifications &amp; Skills: - Master's degree in finance, risk management, economics, statistics, or a related field. - Extensive experience in model risk management, governance or regulatory compliance with a financial institution. - Deep expertise in SR11-7 and equivalent regulatory model risk governance practices, with direct experience managing regulatory interactions. - Strong leadership and stakeholder management skills, with a track record of influencing senior executives and risk committees. - Experience in overseeing model validation, risk rating methodologies, and governance frameworks. - Strong knowledge of regulatory expectations from FRB, OCC, PRA, ECB and other global regulatory bodies. - Expertise in model lifecycle governance, risk issue management and regulatory compliance frameworks. - Advanced data analytics and reporting skills, with proficiency in Excel, PowerPoint, and data visualization tools (Tableau, Power BI). - Exceptional written and verbal communication skills, with experience presenting to senior leadership and regulators. - Proven ability to lead governance enhancements and drive process improvements in a complex regulatory environment. - Strong general knowledge of bank processes and systems. - Able to achieve objectives within tight time constraints while balancing multiple competing priorities. - Excellent interpersonal, communication and influencing skills, including written skills, with the ability to interact effectively with across regions and various levels of management and maintain relationships with stakeholders at all levels of seniority. - Able to clearly communicate expectations across impacted groups (e.g., 1LoD/2LoD) and work collaboratively with people at all levels of the organization and geographic locations. - Proactive when it comes to addressing changing business needs and demonstrating problem solving skills. And of course, we expect all our colleagues to embody and practice the Group values (alignment with the Bank's strategy, commitment, work ethic, integrity and Code of Conduct). A bit more about why you should join us 1. We're a great place to work We aim for optimal work/life balance (depending on role, this includes hybrid working, flexible working and agile) We are proud of our award-winning flexible benefits and health &amp; wellbeing strategy. Our flexible benefits include: • Generous holiday allowance of at least 26 days (plus bank holidays) with option to buy and sell holidays. • Valuable financial plans a 12% non-contributory pension which has been moved to sustainable investments*, life assurance*, income protection and personal accident insurance. • Extensive wellbeing and mental health offering one of the most advanced private medical schemes in the UK, dental cover, wellbeing app, Cognitive Behavioural Therapy support, subsidised gym memberships, bespoke health assessments including genetic testing, Private GP (including digital GP services to parents of employees), Employee Assistance Programme, menopause &amp; fertility support (we are an accreditedMenopause Friendly Employer), neurodiversity assessment and support. • Key onsite services and facilities in London include physiotherapy, nutrition, massage therapy, physiology, mental health first aiders, seasonal flu vaccinations and free onsite fitness centre. • Plus, emergency back-up care for dependants, green car leasing, season ticket loan, and a range of other benefits. * Subject to relevant caps 2. As the eurozone's largest bank, we are committed to having a positive impact in the world. For example, we are committed to Net Zero in all of our financing and investment portfolios by 2050. By 2030, 80% of our energy production financing will be low carbon. But impact for us means more than climate. It means empowering our people every day. Everyone gets four volunteering days each year - in 2023, we achieved over 18,000 hours of volunteering across the UK and reaching over 4,500 young people. 3. We believe in our people We support our people to develop skills to adapt to the ever-evolving world of work and to prepare for the jobs of today and tomorrow. We do this through a comprehensive training offering, talent programmes, mentoring, career days and inhouse career tools. We are proud of the number of our people who progress and secure new roles internally. In fact, in 2023, nearly half of our positions in UK CIB were filled internally. Investing in our people also means we have a collaborative and inclusive culture: • Direct feedback from our people shows that our internal culture sets us apart from our industry peers. • Each year, nearly 30,000 employees globally are involved in professional networks that play an active role in promoting Diversity and Inclusion within the Group. These include our: Pride Network, Ability Network (which supports disabled employees), MixCity (gender equality network), Women in Global Markets, Women in Global Banking, Women in IT, Diversity Equity &amp; Inclusion in Technology, Early Careers Network, Multicultural Network and Parents &amp; Carers Network. Equal opportunities BNP Paribas is committed to providing a work environment that fosters diversity, inclusion, and equal employment opportunity without regard to age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or any other legally protected status. Adjustments We don't want anyone to be disadvantaged in our recruitment processes, so if you have a disability or health condition which may mean that you'd benefit from some adjustments or additional support, please let us know as early in the process as possible. #LI-Hybrid

Compliance Manager, Model Risk Governance & Oversight, Market Abuse Surveillance - Vice President

We are looking for a highly skilled Money Laundering Reporting Officer (MLRO)/Compliance Consultant to advise and support our organization in meeting regulatory requirements and best compliance practices. The ideal candidate will have extensive experience in risk management, policy development, and regulatory compliance within the fintech, regtech, or financial services industry. This role involves assessing compliance frameworks, implementing effective controls, and providing expert guidance on regulatory matters. Key Responsibilities: Regulatory Compliance &amp; Advisory <ul> <li>Ensure compliance with all relevant local and international regulatory requirements.</li> <li>Monitor regulatory changes and recommend necessary adjustments to policies and procedures.</li> <li>Advise senior management on compliance risks and mitigation strategies.</li> <li>Act as a liaison with regulatory bodies and industry associations.</li> </ul>Risk Assessment &amp; Management <ul> <li>Conduct risk assessments to identify potential compliance gaps and areas for improvement.</li> <li>Develop and implement risk mitigation strategies to align with regulatory standards.</li> <li>Evaluate and optimize compliance monitoring tools and frameworks.</li> </ul>Policy Development &amp; Implementation <ul> <li>Design and implement compliance policies and internal controls.</li> <li>Ensure comprehensive documentation of compliance procedures and regulatory guidelines.</li> <li>Provided guidance on AML, KYC, data privacy, and financial crime prevention policies.</li> </ul>Training &amp; Awareness <ul> <li>Develop and conduct training programs to enhance compliance awareness across the organization.</li> <li>Provide advisory support to employees and management on compliance matters.</li> </ul>Audit &amp; Investigation Support <ul> <li>Assist in internal and external audits by preparing documentation and responding to inquiries.</li> <li>Oversee the reporting of compliance-related incidents and recommend corrective actions.</li> </ul>Process Optimization &amp; Continuous Improvement <ul> <li>Assess existing compliance processes and recommend improvements for efficiency and effectiveness.</li> <li>Work closely with technology teams to enhance compliance automation and monitoring capabilities.</li> </ul>Qualifications &amp; Experience: Education <ul><li>Bachelor's degree in Law, Finance, Business, or a related discipline (Master's degree preferred).</li></ul>Certifications <ul> <li>Certified Anti-Money Laundering Specialist (CAMS) or equivalent certification is preferred.</li> <li>Additional certifications in compliance, risk management, or financial crime prevention (e.g., ICA, CFE) are a plus.</li> </ul>Experience <ul> <li>Minimum of 5 years of experience in regulatory compliance, risk management, or financial crime prevention.</li> <li>Strong expertise in fintech, regtech, or financial services compliance frameworks.</li> <li>Experience in developing and implementing compliance programs and policies.</li> </ul>Skills &amp; Competencies <ul> <li>In-depth knowledge of compliance regulations and best practices.</li> <li>Strong analytical and problem-solving skills for risk assessment and resolution.</li> <li>Excellent communication and interpersonal skills for engaging with stakeholders and regulators.</li> <li>Ability to work independently and provide strategic compliance recommendations.</li> <li>Detail-oriented with strong organizational skills.</li> </ul>

Money Laundering Reporting Officer (MLRO)/Compliance Consultant

Shape the Future of Businesses: Technology Risk &amp; Compliance Expert (London) Do you want to be a trusted advisor, guiding top companies through the digital revolution? At Riverflex, we're a motivated dynamic team redefining consulting. We combine a global network of freelance experts with our core team to tackle clients' digital challenges. This is your chance to make a real impact on both our client's success and our own growing business. What you'll do: <ul><li>Lead Consulting Projects: Manage client engagements, guiding them from start to finish and ensuring on-time, on-budget delivery.</li><li>Become a Client Expert: Build strong relationships with clients, understand their unique challenges, and deliver impactful solutions.</li><li>Drive Digital Transformation: Develop and implement strategic plans that leverage technology to optimize their business operations.</li><li>Empower Your Team: Mentor and guide junior consultants, fostering a collaborative and high-performing environment.</li><li>Navigate the Risk Landscape: Advise clients on emerging technologies and their compliance implications, ensuring alignment with industry regulations.</li><li>Develop &amp; Implement Solutions: Craft tailored compliance programs and controls to mitigate risks and safeguard client data.</li><li>Stay Ahead of the Curve: Continuously update your knowledge of evolving regulations and industry trends impacting technology risk and compliance</li></ul>We're looking for a highly motivated Tech Risk and Compliance Expert with: <ul><li>7-10 years of experience in technology risk &amp; compliance consulting.</li><li>Deep understanding of digital &amp; technology consulting and project management.</li><li>Excellent communication &amp; presentation skills (turning tech talk into business insights).</li><li>Bachelor's degree (Master's preferred) in CS, Information Systems, Business Administration, or similar.</li><li>Strong problem-solving skills and a keen eye for detail.</li><li>Ability to adapt to changing regulations and industry trends.</li><li>Willingness to travel as needed.</li></ul>Bonus points for: <ul><li>Professional certifications (e.g. CISA, CISSP, CISM, CRISC).</li><li>Experience with regulatory frameworks (e.g. NIST, PCI DSS, SOX).</li></ul>The Riverflex Advantage: <ul><li>Competitive Salary &amp; Benefits: We offer a competitive compensation package, along with 25+ days off per year.</li><li>Work-Life Balance: Enjoy flexible work options, including the ability to work remotely abroad.</li><li>Invest in Yourself: We believe in continuous learning. Our comprehensive development budget grants you access to Udemy courses and professional development opportunities.</li><li>Stay Healthy: Maintain a healthy work-life balance with a ClassPass membership included in your benefits package.</li></ul>Ready to join a passionate team and make a real difference? Apply now!

Technology Risk & Compliance Manager

About us Over the last 18 years, we have helped over a million satisfied customers move and manage their money. Our award-winning product portfolio allows our customers to make low-cost multi-currency payments across various payment products. From travel money to transfers, currency hedging, to expense management, we are focused on a single goal of making it easy for our customers to manage and move their money. As a business, we are committed to delivering value to our customers through the combination of advanced payments technology and personal expert service. We're doing this by hiring exceptional people and are now looking for a Head of Regulatory Compliance to join our team. Within our offices in London, Chester, Los Angeles and Europe, Equals comprises of three business lines and brands - Equals Money, FairFX and CardOneMoney. You will join a very close-knit, talented and supportive team from various backgrounds who believe that bringing different perspectives together helps us understand our customers' needs. United, by one thing, making money management straightforward and cost-effective for our customers. About the Role You will be responsible for ensuring the Equals Group meets all its legal and regulatory requirements, and implementing and maintaining a robust risk and compliance infrastructure. This senior role will oversee regulatory compliance area across various jurisdictions, including the UK, EU and USA, will act as a key point of contact with regulators, and embed a culture of compliance throughout the organization. You will report directly into the Chief Compliance and Risk Officer (CCRO) for the Equals Group and will be responsible for the Regulatory Compliance function to ensure a robust application of regulatory rules and compliance controls, operating under the 2nd line of defence, as part of Global Risk and Compliance function. You will have an extensive experience in the financial services industry, particularly in the payment/e-money services sector. Working with the Group CCRO, you will develop and implement a comprehensive Regulatory Compliance strategy that aligns with the business objectives and regulatory requirements. You will use opportunities for strengthening processes and controls and strive to implement and build systems and procedures that support a strong compliance culture. You will be responsible for ensuring the Regulatory Compliance roadmap and strategy is delivered to a high standard and within relevant timelines with the assistance of the Regulatory Compliance team. You should be able to influence stakeholders to promote the compliance agenda and can motivate and inspire the team members to perform to a high standard. Regulatory change will be a key focus area for you in this role, and as such you will follow new developments and trends in the regulatory landscape impacting payments firms and advising other areas of the business and key stakeholders on the changes. Responsibilities The key responsibilities of the Head of Regulatory Compliance include: <ul><li>Ensure the Equals Group is operating in accordance with all legal and regulatory requirements.</li><li>Lead a team of Regulatory Compliance subject matter experts and support the ongoing development of Compliance staff.</li><li>Execute the delivery of the Regulatory Compliance strategy and roadmap.</li><li>Support the Group CCRO and MLROs in the delivery of their prescribed responsibilities and deputise the CCRO as assigned.</li><li>Identify regulatory issues, challenges and recommend remedies to promote compliance.</li><li>Review and preparing responses to regulatory authority requests and notices.</li><li>Provide independent 2nd line 'review and challenge' to Equals Group's business units, adopting the 'advise, train and monitor' 2nd line model.</li><li>Provide high quality Regulatory Compliance advice and guidance to the business on all regulatory matters.</li><li>Establish and develop regulatory engagement in relevant markets where Equals Group has or is seeking to establish a presence.</li><li>Work closely with the other colleagues in the Global Risk and Compliance function and with the senior management and all stakeholders.</li><li>Coordinate Equals Group's initial responses to regulatory change matters, consultation papers, and advise on the changes to processes where relevant.</li><li>Develop regulatory training materials and plan in relation to policies owned by Regulatory Compliance.</li><li>Keep up to date with legal and regulatory changes and prepare implementation plans as needed.</li><li>Identify and mitigate the risks of non-compliance with regulatory requirements and implement adequate tools and controls to reduce Equals Group's exposure to any regulatory risks.</li><li>Oversee the identification and resolution of regulatory incidents as well as report relevant incidents to regulatory authorities as applicable.</li><li>Attend and provide reports to relevant Risk Committees as required ensuring the highest reporting standards are maintained.</li><li>Promote the adoption of a culture that prioritises good customer and regulatory outcomes across the organization.</li><li>Manage and develop relationships with external advisors.</li><li>Embody equals group's values of: <ul><li>Be the customer</li><li>Succeed together</li><li>Go beyond</li><li>Make it happen</li></ul></li></ul>Essential Skills <ul><li>Minimum 10 years of professional experience in Compliance and/or Legal function with at least 5 years in an Head / Lead-level role in the financial services industry.</li><li>University degree (at least Bachelor's level) in Law, or a professional Compliance qualification, such as CISI or ICA RC certifications etc.</li><li>Extensive practical knowledge of the UK and EU legal-regulatory framework(s) as well as of other relevant jurisdictions.</li><li>In-depth understanding of the Payment Services Regulations (PSRs), Electronic Money Regulations (EMRs), PSD2, GDPR and MiFID2 regulatory frameworks.</li><li>Proven experience in heading/leading Regulatory Compliance and/or Legal function within the financial services or payments industry with a focus on multi-jurisdictional compliance.</li><li>Exceptional leadership, communication and stakeholder management skills.</li><li>Strong understanding of Compliance Risk Management and Corporate Governance frameworks applicable to the UK and EU regulated entities.</li><li>Proven track record of dealing with and maintaining relationship with regulatory authorities.</li><li>Extensive experience of drafting, implementing and maintaining Regulatory Compliance policies and procedures.</li><li>Strong analytical and problem-solving skills, with an ability to promote the Regulatory Compliance agenda and foster a robust risk compliance culture across the business.</li><li>Meticulous attention to detail and organisational capabilities.</li><li>Experience working in a fast-paced environment with a focus on execution.</li></ul>Benefits <ul><li>25 Days Annual Leave</li><li>Your Birthday Off</li><li>14 Weeks fully paid Maternity Leave</li><li>2 Weeks fully paid Parental Leave</li><li>Private medical insurance via Bupa UK</li><li>Free EAP service - mental health services via Aviva</li><li>Life assurance policy</li><li>Eye care - we cover the cost of the eye test, and you can claim up to £50 towards glasses</li><li>£250 towards learning &amp; development</li><li>Interbank currency rates on travel money</li><li>Workplace pension contributions</li><li>Cycle to work scheme</li><li>Onsite gym / corporate membership</li><li>Free hot drinks, soft drinks, fruit and snacks in the office.</li></ul>Working Arrangements Where possible, we offer the opportunity to work flexibly and the opportunity to balance some remote working with time in the office collaborating, taking part in events and developing the social connections that make working with us rewarding. For this senior role a minimum of 2-3 days in the office (London or Chester) will be required, with remote working offered for the remaining working days. Further details of the working arrangements shall be agreed with the Group CCRO. Equals Group strives to create a workplace where we can all be ourselves. We believe in inclusion, equality and the power of diversity, so you'll be encouraged to bring your unique perspectives and experiences, and help us understand what you need to do your best work. No agency support required at this time - thank you.

Head of Regulatory Compliance

Company Description Checkout.com is one of the most exciting fintechs in the world. Our mission is to enable businesses and their communities to thrive in the digital economy. We're the strategic payments partner for some of the best known fast-moving brands globally such as Wise, Hut Group, Sony Electronics, Homebase, Henkel, Klarna and many others. Purpose-built with performance and scalability in mind, our flexible cloud-based payments platform helps global enterprises launch new products and create experiences customers love. And it's not just what we build that makes us different. It's how. We empower passionate problem-solvers to collaborate, innovate and do their best work. That's why we're on the Forbes Cloud 100 list and a Great Place to Work accredited company. And we're just getting started. We're building diverse and inclusive teams around the world - because that's how we create even better experiences for our merchants and our partners. And we need your help. Join us to build the digital economy of tomorrow. How you'll make an impact We are seeking a highly skilled and experienced Head of Compliance Policy &amp; Oversight to join our dynamic team. The successful candidate will be responsible for developing, implementing, and managing compliance policies and ensuring effective oversight across our global operations. This role involves working closely with various departments to ensure that our compliance policies are robust, current, and effectively integrated into our business practices. Job Description Key Responsibilities: <ul><li>Policy Development &amp; Implementation: <ul><li>Develop and maintain comprehensive compliance policies that adhere to local, national, and international regulations.</li><li>Ensure policies are aligned with Checkout.com's business goals and regulatory requirements.</li><li>Implement and disseminate compliance policies across the organization.</li></ul></li><li>Oversight &amp; Monitoring: <ul><li>Establish and manage processes to monitor compliance with policies and regulatory requirements.</li><li>Establish processes for policy gap analysis and identification of areas for improvement; implement mechanisms for waiver/exception approval and management</li><li>Conduct regular reviews and audits to ensure adherence to compliance policies.</li><li>Identify areas of improvement and implement corrective actions where necessary.</li></ul></li><li>Leadership &amp; Strategy: <ul><li>Develop and execute a strategic plan for compliance policy management and oversight.</li><li>Serve as a key advisor to senior management on compliance policy and oversight matters.</li></ul></li><li>Risk Management: <ul><li>Identify and assess compliance risks related to company policies and procedures.</li><li>Develop and implement strategies to mitigate identified risks.</li><li>Ensure effective controls are in place to manage compliance risks.</li></ul></li><li>Training &amp; Education: <ul><li>Design and deliver training programs to educate employees on compliance policies and their responsibilities.</li><li>Promote a culture of compliance and ethical behavior throughout the organization.</li></ul></li><li>Reporting &amp; Documentation: <ul><li>Prepare and present reports on compliance policy effectiveness and oversight activities to senior management and the board of directors.</li><li>Maintain thorough and accurate documentation of compliance policies, procedures, and oversight activities.</li></ul></li></ul>Qualifications <ul><li>Extensive experience in compliance policy development and oversight, preferably within the payments or financial services industry.</li><li>Strong knowledge of global regulatory frameworks and compliance best practices.</li><li>Proven track record of developing and implementing effective compliance policies.</li><li>Excellent leadership and team management skills.</li><li>Strong analytical and problem-solving abilities.</li><li>Exceptional communication and interpersonal skills.</li><li>High ethical standards and integrity.</li></ul>Additional Information Apply without meeting all requirements statement If you don't meet all the requirements but think you might still be right for the role, please apply anyway. We're always keen to speak to people who connect with our mission and values. We believe in equal opportunities We work as one team. Wherever you come from. However you identify. And whichever payment method you use. Our clients come from all over the world - and so do we. Hiring hard-working people and giving them a community to thrive in is critical to our success. When you join our team, we'll empower you to unlock your potential so you can do your best work. We'd love to hear how you think you could make a difference here with us. We want to set you up for success and make our process as accessible as possible. So let us know in your application, or tell your recruiter directly, if you need anything to make your experience or working environment more comfortable. We'll be happy to support you. Take a peek inside life at Checkout.com via <ul><li>Our Culture video <a href="https://youtu.be/BEwnpHuadSw" target="_blank">https://youtu.be/BEwnpHuadSw</a></li><li>Our careers page <a href="https://www.checkout.com/careers" target="_blank">https://www.checkout.com/careers</a></li><li>Our LinkedIn Life pages bit.ly/3OaoN1U</li><li>Our Instagram <a href="https://www.instagram.com/checkout_com/" target="_blank">https://www.instagram.com/checkout_com/</a></li></ul>Apply without meeting all requirements statement If you don't meet all the requirements but think you might still be right for the role, please apply anyway. We're always keen to speak to people who connect with our mission and values. We believe in equal opportunities We work as one team. Wherever you come from. However you identify. And whichever payment method you use. Our clients come from all over the world - and so do we. Hiring hard-working people and giving them a community to thrive in is critical to our success. When you join our team, we'll empower you to unlock your potential so you can do your best work. We'd love to hear how you think you could make a difference here with us. We want to set you up for success and make our process as accessible as possible. So let us know in your application, or tell your recruiter directly, if you need anything to make your experience or working environment more comfortable. We'll be happy to support you. Take a peek inside life at Checkout.com via <ul><li>Our Culture video <a href="https://youtu.be/BEwnpHuadSw" target="_blank">https://youtu.be/BEwnpHuadSw</a></li><li>Our careers page <a href="https://www.checkout.com/careers" target="_blank">https://www.checkout.com/careers</a></li><li>Our LinkedIn Life pages bit.ly/3OaoN1U </li><li>Our Instagram<a href="https://www.instagram.com/checkout_com/" target="_blank">https://www.instagram.com/checkout_com/</a></li></ul>

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