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

Financial Crime Compliance Analyst / Officer

A career without limits As the nation's flag carrier, we take great pride in connecting Britain with the world and the world with Britain. It's something we've been doing for over 100 years, ever since we launched the world's first international scheduled air service between London and Paris! This originality has been in our blood since day one. It's the spirit we share with the people that fly with us, our partners, and our colleagues. So, whether you are a reassuring voice on the end of a phone, a smile at the door, under a wing keeping the turbines spinning or landing us gently in far-flung places, a job at British Airways is yours to make. We know great things can happen when you're inspired to think big and bring your ambition to work every day, which is why, at British Airways the sky is never the limit. The role: Customs and Logistics Compliance Manager To deliver an outstanding logistics solutions which enables the Maintenance operation. You will be responsible for ensuring that our worldwide shipping agents and BA own logistics movements are delivering key materials on schedule to plan and in accordance with all rules and regulations, including but not limited to BA / DfT&amp;I / HMRC regulations. You are responsible for the seamless integration of BA, its 3rd party MROs and our service providers to ensure timely delivery of materials to meet all operational, planned and ad hoc requirements. What you'll do: <ul> <li>Accountable for ensuring logistics service providers (including internal) deliver timely movement of engineering material, meeting the operational, quality and financial requirements of BA's maintenance operation.</li> <li>Responsible for timely and compliant resolution of the issues relating to priority goods movements including ; customs clearance, export controls and trade sanctions, dangerous goods certification</li> <li>Works within procedures owned by the manager(s) responsible for customs and logistics compliance . Accountable for compliance where a decision is made to vary.</li> <li>Provides feedback relating to procedures and master data to the manager(s) responsible for customs and logistics compliance to ensure continuous improvement.</li> <li>Provides status updates and ETA of material movements to key stakeholders, Strives to improve the timeliness and accuracy of such information, using IT where feasible.</li> <li>Establishes and leverages relationships with key suppliers and stakeholders for the betterment of performance.</li> <li>Works closely with the manager responsible for logistics contracts to ensure a holistic approach to the management of the logistics providers.</li> <li>Works within the logistics budget, Identifies opportunities to reduce cost whilst maintaining of improving service level.</li> </ul>What you'll bring to British Airways: <ul> <li>Extensive experience working in an international logistics operation, as a provider of customer (aviation industry experience desirable but not essential).</li> <li>Considerable experience of working autonomously and managing competing priorities</li> <li>Experience using Continuous Improvement processes to improve business performance</li> <li>Considerable experience working in a fast-moving operational environment.</li> <li>An appropriate supply chain or proven operational management experience</li> </ul>Skills: <ul> <li>Familiarity with the documentation required to enable goods to cross international boarders compliantly.</li> <li>Expert at rapidly resolving issues relating to incomplete or inaccurate documentation</li> <li>A track record of effective Supplier management.</li> <li>Able to make informed trade-offs between different modes of transport, e.g. air vs. road, speed vs certainty, vs cost.</li> <li>Excellent stakeholder management and communication skills</li> <li>Demonstratable capabilities for working in a time critical operational environment (where minutes are critical)</li> <li>Experience importing into a range of Europe countries (desirable)</li> </ul>Inclusion &amp; Diversity We recognise that all our colleagues are uniquely different and bring their own originality, creativity, and identity to work. We encourage people from all backgrounds to be part of our journey to become a Better BA!

Customs and Logistics Compliance Manager - 6 Months Fixed Term

AMBITIOUS? BRIGHT? RIGHT? GAM is one of the world's leading independent asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors. Together we share a common set of values rooted in teamwork, integrity, entrepreneurial flair and professional excellence. Our employees are our most valuable asset. Being able to offer an attractive work environment where talented minds from various backgrounds are keen to work is key to the long-term success of our company. We firmly believe in the importance of maintaining the open culture of a small company, aiming to avoid bureaucracy and encouraging a flexible, accessible and hands-on working style across the Group. In turn, our people reward us with their loyalty. Function: Legal and Compliance Department: Compliance - UK Purpose This is a key role within Compliance as this role focuses on providing regulatory guidance and support to GAM's Marketing, Sales &amp; Distribution Teams. The role will also involve developing a global approach for GAM in relation to marketing approvals and compliance participation in marketing / distribution initiatives as well as developing a global approach to regulatory development to support the GAM Group. The role will also be responsible for supporting the wider Compliance team for statutory obligations regarding regulatory filings, SM&amp;CR filings, Operations and HR Regulatory support. Main Duties &amp; Responsibilities <ul><li>Act as a centre of excellence and principal Compliance contact to provide advisory and regulatory technical support to Product Development, Sales, Marketing and Distribution</li><li>Provide specialist knowledge for MiFID and other global regulatory rules relating to Product Governance and Target Market / Sales considerations</li><li>Provide regulatory guidance to those individuals holding Senior Management Functions or acting as Certified Persons within Sales, Marketing and Distribution following the introduction of SM&amp;CR</li><li>Contribute to regulatory development both for the UK business and the wider Group, taking the lead in keeping UK Business Heads up to date</li><li>Provide compliance support to new product and new market initiatives as required</li><li>Focus on providing regulatory guidance and support to the Request For Proposal (RFP) team</li><li>Oversee the marketing approvals process where required</li><li>Support and implement global Regulatory Policies in accordance with an approved framework, to achieve rapid development and deployment of new and improved policies</li><li>Assist in driving forward a global approach in relation to providing compliance support to Product Development, Sales, Marketing and Distribution activities</li><li>Support the filings and updates in the FCA, SEC and NFA systems to support GAM regulatory responsibilities</li><li>Assist the wider Compliance team in general activities related to Financial Crime, Market Abuse and Conflict of Interest management</li></ul>Qualifications &amp; Experience <ul><li>Extensive understanding of asset management; good product knowledge including equities, fixed income and derivatives. Good fund knowledge expected</li><li>Sound knowledge of asset management regulation including EU regulations and the UK FCA Handbook, particularly in the areas of Sales, Marketing and Distribution. Good up to date knowledge of MiFID II expectations required in these areas</li><li>Proven track record of working collaboratively across multiple business lines with stakeholders and colleagues at all levels and across different jurisdictions</li><li>Computer literate, including Microsoft Word, Excel and PowerPoint</li></ul>Personal Attributes <ul><li>Strong oral, presentation and written communication skills</li><li>Able to set priorities and deliver on them</li><li>Team player who gets along with others, shares knowledge and supports collective decision making</li><li>Someone who enjoys working in an environment where they can drive change forward</li><li>Ability to work independently with minimal direction in a fast-paced environment but also someone who is willing to be part of a Group function and is able to collaborate with Compliance Officers based overseas</li><li>Willingness to challenge the status quo, propose enhanced processes and motivate colleagues for progress</li><li>Resilience</li></ul>Benefits GAM offers a comprehensive range of benefits and performance-based compensation, along with a variety of lifestyle and family benefits to promote well-being in and out of the workplace. These benefits vary according to local market conditions. Please contact the local Human Resources team for further details. Employing Company/ies: GAM (UK) Limited Reporting to: UK Head of Compliance &amp; Group Legal and Compliance COO Contract: Fixed Term (Fixed Term)

Compliance Officer, Asset Management - 6 month Fixed Term

Job Description Role purpose : Primary responsibility to manage and coordinate the Regional Regulatory Services team. Working with the Regional Compliance Officer and Deputy Regional Compliance Officer, support the positive development of Chubb's regulatory relationships in the UK and France, and providing support on regulatory interactions across Chubb EMEA. Direct management and supervision of three team members as well as direction of regulatory interaction work undertaken by local Compliance staff within the region. Key responsibilities : <ul><li>Manage and supervise the Regional Regulatory Services team to ensure that work is completed on a timely basis and is of a high standard. Encourage and develop the engagement of staff within the team and work to develop their professional skills and competencies. Ensure team procedures are developed and maintained, including for individual returns. </li><li>Working with the Regional Compliance Officer and Deputy Regional Compliance Officer, support the positive development of Chubb EMEA's regulatorry relationships and ensure that their expectations are met. Work with their line managers, Head of Compliance UK and Senior Compliance Manager - CE, as necessary.</li><li>Manage the overall framework for coordinating regulatory interactions across the region, through the maintenance of protocols for regulatory engagement and reporting. Ensure records of regulatory interactions are retained.</li><li>Construct and maintain effective working relationships with key stakeholders within the Chubb EMEA business that have routine regulatory interactions and with contacts at our key regulators.</li><li>Act as point of escalation for regulatory interactions. Be directly involved in or have oversight of material regulatory interactions, such as onsite regulatory reviews. </li><li>Proactively oversee, analyse and provide regular information regarding regulatory interactions.</li><li>Draft and maintain a team plan. Ensure that this is operationalised, for example, through team and individual objectives.</li><li>Ensure that regulatory meetings and other communications are monitored and that actions from these are captured and tracked, escalating any issues.</li><li>Oversee Compliance's work on individual accountability regimes in the UK and France, ensuring that applications are made and that associated documentation such as Management Responsibility Maps and Statements of Responsibility are maintained.</li><li>Working with L&amp;C Operations (who are responsible for maintaining overseas reinsurance licences), ensure that Chubb EMEA has the necessary licences and has made and maintains the relevant passporting applications / notifications in order that it can trade in the UK, across the EEA and overseas, as relevant.</li><li>Manage and supervise the Regional Regulatory Services team to ensure that work is completed on a timely basis and is of a high standard. Encourage and develop the engagement of staff within the team and work to develop their professional skills and competencies. Ensure team procedures are developed and maintained, including for individual returns. </li><li>Working with the Regional Compliance Officer and Deputy Regional Compliance Officer, support the positive development of Chubb EMEA's regulatorry relationships and ensure that their expectations are met. Work with their line managers, Head of Compliance UK and Senior Compliance Manager - CE, as necessary.</li><li>Manage the overall framework for coordinating regulatory interactions across the region, through the maintenance of protocols for regulatory engagement and reporting. Ensure records of regulatory interactions are retained. Construct and maintain effective working relationships with key stakeholders within the Chubb EMEA business that have routine regulatory interactions and with contacts at our key regulators.</li></ul>Qualifications Qualifications : University Degree (desirable) Languages : Working knowledge of a European language an advantage, in particular French, but not a strict requirement. Experience : The candidate should have a strong knowledge of the insurance industry. They must also have a good understanding of the European regulatory environment and of managing regulators. Some knowledge and experience of other regulatory environments in Europe, in particular France, would be helpful. The candidate should have the ability to manage a small team of compliance professionals. They should be adept at managing competing priorities with excellent time management and organisation skills. The candidate should also have strong inter-personnel skills and be skilled at communicating compliance and regulatory issues to key stakeholders, both verbally and in writing.

Compliance Manager - Regulatory Services

Location/Office Policy: London (St Mary's Axe) or Belfast (Ann Street) Remote Centric <ul> <li>Do you want to be part of a highly skilled and collaborative risk management team?</li> <li>Are you able to grasp complex, high impact risk management challenges and distil their primary risk drivers? </li> <li>Can you provide clear, informed, risk challenge to our first line colleagues, to help them manage financial risks within our business?</li></ul>What is the Role: The Risk Function is an independent, second line of defence function that monitors, controls and supports risk-taking activities across AIB. The purpose of the Risk Function is to provide advice and guidance in relation to risk while providing independent oversight and reporting on AIB's risk profile. The Risk Function's main objective is to ensure AIB has a robust risk management framework and culture in place to ensure risks are taken within the risk appetite set by the Board, in support of AIB's customer franchise and social responsibility. Reporting to the UK Head of Financial Risk, the successful candidate will support the evolution of the UK Financial Risk team. Key accountabilities; We're looking for someone who would be interested in: Leading the second line independent review and challenge of AIB UK's ICAAP including collaborating with colleagues from across the UK Risk Function to form a single UK Risk opinion. Leading the review and challenge of UK specific elements of the Group's Recovery Plan. Overseeing the Bank's suite of risk appetite metrics as they relate to Capital and Business Model Risk, including drafting of the team's monthly submission to UK Risk Committee. Leading the team's involvement in key annual risk management processes for Capital and Business Model Risk (eg Risk Appetite formulation, Material Risk Assessment process and Framework/Policy reviews). Leading the UK Risk review &amp; challenge of the annual Business Plan and Strategy. Lead second line deep dives to evaluate key capital adequacy risks, ensuring accuracy of information and alignment with policy and standards. Provide in depth analysis and communicate findings including appropriate recommendations to mitigate identified risks concisely to senior management through UK ALCo, UKRC and Board papers. Writing risk opinion papers in relation to material changes proposed by the business and presenting findings to UKRC or UK ALCo. Engaging with external firms or industry forums to inform business strategies and policy and ensure these continue to reflect current legal and regulatory requirements. What you Will Bring ; <ul> <li>Strong experience in a Capital Management or ALM role within a banking institution, with direct exposure to either the preparation of an ICAAP or the second line review and challenge of an ICAAP.</li> <li>In-depth knowledge of regulatory frameworks related to Capital Risk and Recovery Planning (eg Basel Committee guidelines, PRA/EBA standards).</li> <li>Strong analytical, problem-solving, and communication skills.</li> <li>A degree in Finance, Economics, Mathematics, or related Risk/Finance based discipline.</li> <li>Proven people management experience, including ability to upskill staff in technically complex topics. </li></ul>Why Work for AIB We are committed to offering our colleagues choice and flexibility in how we work and live and our hybrid working model enables our people to balance their time between working from home and their designated office, subject to their role, the needs of our customers and business requirements. Some of our benefits include; <ul> <li>Market leading Pension Scheme</li> <li>Healthcare Scheme</li> <li>Variable Pay</li> <li>Employee Assistance Programme</li> <li>Family leave options</li> <li>Two volunteer days per year</li></ul>Please click here for further information about AIB's PACT - Our Commitment to You. Key Capabilities <ul> <li>Collaborates</li> <li>Ensures Accountability</li> <li>Negotiation and Influence</li> <li>Depth of Technical Knowledge</li> <li>Risk Analysis</li> <li>Emerging Risks &amp; Trends</li></ul>External If you are not sure about your suitability based on any aspects of the role advertised, we encourage you to please contact the Recruiter for this role, Tim at <a href="mailto:careers@aib.ie" target="_blank">careers@aib.ie</a> for a conversation. AIB is an equal opportunities employer, and we pride ourselves on being the first bank in Ireland to receive the Investors in Diversity Gold Standard accreditation from the Irish Centre for Diversity. We are committed to providing reasonable accommodations for applicants and employees. Should you have a reasonable accommodation request please email the Talent Acquisition team at <a href="mailto:careers@aib.ie" target="_blank">careers@aib.ie</a> Disclaimer: Unsolicited CV's sent to AIB by Recruitment Agencies will not be accepted for this position. AIB operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our recruitment partners. Application deadline : 30th May 2025

Second Line Risk Manager

Immigration Compliance Operations Manager (Academic Enterprise) Vacancy ID 11680 College/Service Academic Department/Team Research Knowledge Exchange and Enterprise Location Hybrid - UAL High Holborn/Home Grade Grade 5 Salary £43,762 - £52,246 per annum Contract Permanent Term Full time - 35 hours per week Job family Professional &amp; Administrative Advertised External and internal Apply by 18 May 2025 23:55 Interviews 9th June 2025 Job description The opportunity An opportunity to use your knowledge of UKVI immigration regulations and UK Higher Education experience to play a key role in the operational management of immigration compliance procedures within the Academic Enterprise (AE) department, and UAL Short Courses Ltd (UALSC) at University of the Arts London (UAL). In this role you will provide operational leadership and oversee student related UKVI compliance activities across AE and UALSC in line with policy, regulations and procedures set by UAL, assessing how changes to the UKVI policies might impact on current and future AE and UALSC activities. You will lead on the continual evaluation and improvement of immigration compliance procedures and act as a leading point of contact on all aspects of immigration compliance related to student admissions, enrolments, and post enrolment activities across AE and UALSC. You will also manage the team of Immigration Compliance Administrators as well as any other temporary staff employed during busy times and will be responsible for their ongoing training and development. About you You will need significant knowledge of UKVI immigration regulations related to the Points Based System, as well as strong administrative experience within UK Higher Education, and experience of developing robust data and compliance processes. You will also be experienced in analysing and applying complex regulatory guidance with good working knowledge and experience of using the UKVI Sponsorship Management System (SMS). The ability to communicate clearly and effectively, both orally and in writing, conveying complex regulatory information to a variety of stakeholders, is equally important. Application process We operate a fair and open anonymous selection process. Thus, you will need to create an account and submit an application through our job board. As part of this, you will need to answer some competency questions to demonstrate your suitability. Our recruitment process involves: Application, Shortlisting, Interview, Onboarding. We understand the benefits of using AI in work. But, if you are thinking of using it to submit an application, we ask you to think about what value it adds. AI tools tend to lack the personal touch and authenticity we value in candidates. We encourage you to showcase your unique knowledge and skills using your own voice. If we receive a high volume of applications, the closing day date might close early. We aim to communicate any changes to the closing date with at least 24 hours' notice. If you have any general questions or have accessibility needs, please contact <a href="mailto:agstaffrecruitment@arts.ac.uk" target="_blank">agstaffrecruitment@arts.ac.uk</a>. What we offer To recognise the hard work of our staff and their contributions, we provide a wide range of benefits - please check our careers site/Canvas for further information as conditions and exclusions apply: • 34 days of annual leave and 2 days off to volunteer plus bank holidays • Flexible and Dynamic working options available from the first day • Discounted Medical Insurance including Digital GP service, therapies, in-patient and day-case treatment • Free counselling and advice via our Employee Assistance Programme (EAP) • Sector-leading Equal Parental Leave policy (6 months full pay for both parents) • Defined-benefit LGPS pension scheme • In-house training and development including apprenticeships and free places on creative courses • Interest free loans on travel and tech, discounts on gym memberships, nursery fees, eye care and much more • Various opportunities to attend student shows and exhibitions We are UAL University of the Arts London (UAL) generates and inspires the creativity the world needs for a better future. Since 1842, our colleges have been defining creative education. With curiosity, imagination and intent we make work which creates lasting change for people and our planet. London is core to who we are, a place where we meet and share ideas with people from different backgrounds and cultures. Our creative network influences learning, culture, industry and society on a global scale. Our academics and practitioners deliver creative education and inspire new ways of thinking through research and innovation. We work with students at every level from pre-degree and short courses to postgraduate and online learning, enabling them to build the careers they want. Together, we are a community of makers, thinkers, pioneers and storytellers redesigning the future. As a University, we are ranked second in the world for Art and Design. We are formed of 6 Colleges with unique histories and identities: Camberwell College of Arts, Central Saint Martins, Chelsea College of Arts, London College of Communication, London College of Fashion and Wimbledon College of Arts. UAL also has 4 Institutes, 5 Research Centres, 1 Pre-Degree School and 2 subsidiary companies delivering specialist activities. Please read through our page before applying.

Immigration Compliance Operations Manager (Academic Enterprise)

About us Bondsmith is a fast growing platform focused on helping customers make the most of their savings by offering access to a wide range of deposit products. We work with financial institutions like wealth managers, fintechs, banks, and advisors, providing them with tools to get better returns on cash, engage more effectively with clients, and simplify their operations. Our goal is to help savers get the most out of their cash. At Bondsmith, our core values are rapid and continuous improvement, delivering good customer outcomes, and taking end to end ownership. Our team is made up of experienced professionals who are passionate about delivering excellent service and finding new ways to solve challenges in financial services. Joining us means working in a fast-paced environment where you will be making an impact on the financial lives of thousands of savers. We're regulated by the Financial Conduct Authority in the UK. Job overview: We're looking for a smart, curious and driven Financial Crime Analyst to join our team on a 1-year fixed-term contract. You don't need prior experience in compliance-just a sharp eye for detail, a willingness to learn, and a genuine interest in how financial crime gets detected and stopped. You'll report to our Head of Compliance &amp; MLRO, and after an initial 1-2 week onboarding in our London office, you can choose to work remotely or from the office-whatever works best for you. We'll give you the tools, training and support to hit the ground running and build real experience in a high-growth, fast-moving environment. Key Responsibilities: <ul><li>Customer Due Diligence (CDD) Conduct onboarding checks for individual and legal entity customers. Tasks include: <ul><li>Reviewing eKYC results</li><li>Reviewing identity verification (ID&amp;V) documentation</li><li>Screening and reviewing PEP and sanctions alerts</li><li>Assessing and documenting customer risk profiles</li></ul></li><li>Ongoing Monitoring Perform continuous monitoring of individual and legal entity customers. Tasks include: <ul><li>Reviewing daily PEP screening alerts</li><li>Reviewing daily sanctions screening alerts</li><li>Reviewing daily adverse media screening alerts</li></ul></li><li>Transaction Monitoring Support the detection of suspicious activity through transaction monitoring. Tasks include: <ul><li>Analysing transactions flagged by internal monitoring systems</li><li>Identifying trends or red flags indicative of financial crime</li><li>Escalating concerns with clear supporting rationale</li><li>Contributing to the refinement of transaction monitoring rules to improve effectiveness</li></ul></li><li>Enhanced Due Diligence (EDD) Reviews Conduct EDD for higher-risk customers and scenarios. Tasks include: <ul><li>Gathering and verifying source of funds (SOF) and source of wealth (SOW)</li><li>Assessing the customer's intended use of products or services</li><li>Performing enhanced adverse media checks</li><li>Escalating findings to the MLRO, where appropriate</li></ul></li></ul>What You'll Bring <ul><li>Willingness to Learn: You may not have prior compliance experience, but you are curious, motivated, and eager to build a career in financial crime prevention.</li><li>Regulatory Awareness: An interest in learning about UK financial regulations, particularly around AML, CTF, and the role of the FCA.</li><li>Tech-Savvy: Confident using technology as part of daily work, with a willingness to learn tools like KYC and transaction monitoring systems.</li><li>Team Collaboration: Good communication skills and a willingness to support internal teams and customer operations with compliance-related queries.</li><li>Attention to Detail: A careful and thorough approach to tasks, especially when handling data or documentation.</li></ul>What Would Make You Stand Out <ul><li>Genuine curiosity about financial crime prevention, especially AML/CTF, and a desire to grow within the compliance field</li><li>Confidence in taking ownership of tasks and showing initiative in a fast-moving, delivery-focused environment</li><li>An eagerness to learn quickly and contribute ideas that help improve how the team works</li><li>Enjoyment in working collaboratively with others and contributing to a high-performing team culture</li><li>A strong work ethic, pride in delivering high-quality outcomes, and attention to doing things the right way</li><li>An enthusiasm for creating innovative, customer-first solutions</li></ul>Salary range £24,000-£27,000 GBP What makes Bondsmith unique <ul><li>Early-stage startup: You will join an early-stage startup with less than 50 members. This means you'll have an opportunity to make a real impact and shape the future of Bondsmith.</li><li>Customer demand: Unlike other startups who are still finding their way and pivoting on products, we have strong demand from our enterprise clients for our products, we just need to keep building them.</li><li>Next fintech growth story: We are doubling in headcount year on year and hiring across a range of positions</li></ul>Company Benefits <ul><li>Competitive salary </li><li>Healthcare </li><li>Pension scheme </li><li>Share scheme participation </li><li>All the right equipment to make sure you're working at your best </li><li>Fun and social office in Shoreditch </li><li>Deliveroo for working late in the office </li></ul>

Financial Crime Analyst (1 year FTC)

Pleo is a dynamic and forward-thinking organisation dedicated to excellence in handling risks across everything we do. We're looking for a visionary Internal Audit Manager to establish and lead our Internal Audit function. This is a unique opportunity to take full ownership of creating an internal audit framework, ensuring best practices, and driving a culture of integrity, accountability, and continuous improvement across the company. Key Responsibilities: <ul><li>Establish the Internal Audit function: Develop and implement a comprehensive internal audit framework, tailored to the needs of a regulated financial services organization.</li><li>Audit planning and execution: Design and execute risk-based audit plans, ensuring coverage of key operational, regulatory, and financial risks.</li><li>Stakeholder collaboration: Work closely with senior stakeholders, including board members, executive leadership, and operational teams, to ensure alignment on audit objectives and findings.</li><li>Co-sourcing: Manage co-sourced audit projects, collaborating effectively with third-party experts on specialised topics to deliver robust and insightful audit results.</li><li>Foster an audit culture: Build and promote a culture of accountability, transparency, and continuous improvement throughout the organization.</li><li>Regulatory alignment: Ensure the audit function supports compliance with relevant regulatory requirements, particularly those applicable to payment service providers and e-money institutions.</li><li>Reporting and communication: Present clear, concise, and actionable audit findings and recommendations to the Board and other governance committees.</li></ul>Qualifications and Experience needed: <ul><li>Proven experience in the financial services sector, ideally within payment service providers or e-money institutions.</li><li>A track record of establishing or significantly evolving an Internal Audit function in a regulated environment.</li><li>Experience managing teams and collaborating with third-party service providers in a co-sourcing model.</li><li>Strong interpersonal and communication skills, with the ability to build trust and collaborate effectively with stakeholders at all levels.</li><li>Deep understanding of regulatory requirements for financial services in the UK and EEA, particularly for e-money institutions.</li><li>Analytical mindset with the ability to assess complex issues and deliver practical solutions.</li><li>A self-motivated individual ready to take ownership, set strategic direction, and execute with excellence.</li></ul>Show me the benefits! <ul><li>Your own Pleo card (no more out-of-pocket spending!)</li><li>Lunch is on us - with catering in our Lisbon, Copenhagen and London offices or a monthly lunch allowance paid directly together with your salary in other markets </li><li>Private health insurance to ensure you're fit in body and mind to do your best work</li><li>We offer 25 days of holiday + your public holidays</li><li>For our teams we offer remote working options</li><li>Option to purchase 5 additional days of holiday through a salary sacrifice</li><li>We're trialling MyndUp to give our employees access to free mental health and wellbeing support with great success so far </li><li>Access to LinkedIn Learning - acquire new skills, stay abreast of industry trends and fuel your personal and professional development continuously </li><li>Paid parental leave - we want to make sure that we're supportive of families and help you feel that you don't have to compromise your family due to work </li></ul>Why join us? Working at Pleo means you're working on something very exciting: the future of work. Our mission is to help every company go beyond the books. Pleo itself means 'more than you'd expect', and it's been the secret to our success over the last 8 years. So it's only fitting that we'd pass this philosophy onto our customers to help them make the most of their finances. We think company spending should be delegated to all employees and teams, that it should be as automated as possible, and that it should drive a culture of responsible spending. Finance teams shouldn't be siloed from the rest of the organisation - they should work in unity with marketing, sales, IT and everyone else. Speaking of working in unity, our values tell the story of how we work at Pleo. We have four core values, the first of which is 'champion the customer', which means we address real pain points that businesses face. Next up is 'succeed as a team', which highlights how our strength lies in our diversity and trust in each other. We also 'make it happen' by taking bold decisions and following through to deliver results. Last but not least, we 'build to scale', creating lasting solutions that address today's challenges and anticipate tomorrow's needs. So, in a nutshell, that's Pleo. Today we are a 850+ team, from over 100 nations, sitting in our Copenhagen HQ, London, Stockholm, Berlin, Madrid, Montreal and Lisbon offices -and quite a few full-time remotes in 35 other countries! Being HQ'd out of Copenhagen means we're inspired by things like a good work-life balance. If you don't work in the office with us, we'll help you set up the best remote setup possible and make sure you still have time to connect with your team. About your application <ul><li>Please submit your application in English; it's our company language so you'll be speaking lots of it if you join </li><li>We treat all candidates equally: If you are interested please apply through our application system - any correspondence should come from there! Our lovely support isn't able to pass on any calls/ emails our way - and this makes sure that the candidate experience is smooth and fair to everyone </li><li>We're on a mission to make everyone feel valued at work. That's only achievable if our team reflects the diversity of the world around us - and that starts with you, hitting apply, even if you are worried you might not tick all the boxes! We embrace and encourage people from all backgrounds to apply - regardless of race/ethnicity, colour, religion, nationality, gender, sex, sexual orientation, age, marital status, disability, neurodiversity, socio-economic status, culture or beliefs.</li><li>When you submit an application we process your personal data as a data processor. Find out more about how your data is used in the FAQs section at the bottom of our jobs page.</li></ul>

Internal Audit Manager

Local Compliance Officer (12 months maternity cover) You will assist the local Compliance team in meeting the objectives of their annual plan and help execute the compliance cycle for DLL which includes risk assessments, monitoring actions, incident handling, and reporting. Find out more here about how you can unleash your full potential at DLL Day to day: <ul> <li>Ensuring adherence with Group &amp; local policies and procedures.</li> <li>Identifying and implementing new regulatory requirements both UK &amp; Global.</li> <li>Monitoring of compliance themes as per the Group Monitoring process.</li> <li>Performing impact assessments of new or revised policies.</li> <li>Supporting employees with clear advice regarding the applicable laws and regulations, on a transactional basis , but also in terms of policies, procedures and processes.</li> <li>Internal and external reporting, including FCA returns and quarterly dashboard reports.</li> <li>Conducting investigations and monitoring of business processes.</li> <li>Running awareness sessions for the business.</li> <li>Point of Contact with the Regulator, ensuring that reporting and information requests are accomplished in a timely manner.</li> <li>Oversight on privacy incidents and requests</li> </ul>All members enjoy <ul> <li>Two working days per year volunteering for a local charity.</li> <li>Health and Wellness program including healthy food, free health checks, fun health &amp; vitality activities.</li> <li>Flexible hours with possibility to work from home</li> <li>Career development opportunities: online learning, member development programs.</li> <li>Click this link for an overview of all the benefits in your region.</li> </ul>"We lead the way in meeting the need for flexibility and transparency which our customers increasingly expect" Essentials: <ul> <li>The ability to articulate regulatory requirements to multiple stakeholders across the organisation.</li> <li>Ability to manage multiple tasks and re-prioritise effectively as new projects and tasks arise.</li> <li>Proficient in managing multiple key projects alongside daily operational tasks.</li> <li>Rapid learner with a strong ability for acquiring new skills.</li> <li>Skilled in producing clear and concise reports.</li> <li>Effective and confident communicator.</li> <li>Proven ability in critical analysis and thinking.</li> <li>Able to work effectively within a cross-functional team</li> </ul>Extras: <ul> <li>Knowledge or interest in Compliance topics such as Anti-Money Laundering &amp; Fraud</li> <li>Skilled in Microsoft applications, specifically Excel</li> <li>Approachable and friendly attitude</li> </ul>Choose wellbeing DLL's wellbeing ambition is to educate, equip and empower members to build connections, manage their mental, emotional, physical and financial wellness and maintain balance between work and the other priorities that make up their lives. Our four wellbeing categories are as follows: <ul> <li>Connection - Build meaningful connections with other DLL members</li> <li>Health - Manage mental, emotional and physical health</li> <li>Finance - Provide learning opportunities to help members achieve personal financial health</li> <li>Lifestyle - Maintain balance between work and life priorities</li> </ul>These are the things that matter to our members and the wellbeing of our members matters to DLL Settling in At DLL, we are many things. We are team members, family members, community member. We are members of society, members of different cultures and nationalities. Members of change. We each have different beliefs, different passions, different viewpoints, talents and interests. We come from different backgrounds, cultures, nationalities and histories. But for all of our differences, we share one thing in common: each of us are members of DLL. Our company was founded in the Netherlands. But today we are truly a multinational business. Our unique culture is rooted in higher collaboration, less hierarchy and a honest directness that enable us to integrate, ideate and innovate across country lines. Many companies say they are European, American, Asian or Australian, at DLL we are all these places and more. We are a cross-culture collaborative - an interconnected network - that comes together every single day with one goal in mind: Partnering for a better world Good to know: <ul> <li>Deadline for application: May 25th (Due to high volume of applications this requisition may close prior to posted close date)</li> <li>The selection process may involve an assessment.</li> <li>Applications via email will not be reviewed. Please apply online via our career website.</li> <li>DLL's referral program applies</li> <li>#LI-NATALIE</li> <li>For more information, you can contact Natalie Gray, Talent acquisition partner via <a href="mailto:ukrecruitment@dllgroup.com" target="_blank">ukrecruitment@dllgroup.com</a> </li> </ul>DLL appreciates the time you spend applying to our openings. We advise only those who qualify for an interview will be contacted. Hiring subject to successful completion of a background check. DLL is an equal opportunity employer. We are committed to inclusive, barrier-free recruitment and selection processes and work environments. If contacted for an employment opportunity, please advise Human Resources if you require accommodation in accordance with our values and all applicable legislation.

Local Compliance Officer (12 months maternity cover)

Job Description The Role This Group Enterprise Risk Manager will support and enhance the Group Enterprise Risk Management (ERM) function within a growing (re)insurance firm. Reporting directly to the Head of ERM, the successful candidate will play a crucial role in ensuring effective risk governance, regulatory compliance, and strategic risk oversight. The role also involves maintaining a robust and regulatory compliant risk framework, embedding a strong risk culture throughout the business, and supporting the articulation of risk appetite statements and tolerances and horizon scanning and assessment of emerging / evolving risks to the organisation. The ideal candidate will have extensive experience in risk management within the insurance sector, strong analytical and communication skills, and the ability to convey complex matters to senior stakeholders. Additionally, we seek someone who will advocate for and drives innovation and efficiencies in risk management processes and enhancements in risk analysis using risk system and tools available. Key Responsibilities: <ul> <li>Provide leadership and guidance to business and risk colleagues to implement the evolving risk and control framework.</li> <li>Support leadership in identifying key risks to the organisation's strategic objectives.</li> <li>Work with the business to identify, assess, and report on risks, and develop risk mitigation activities, processes, and controls to support a strong risk management culture.</li> <li>Design, implement, and maintain a comprehensive risk register for the relevant group/business unit.</li> <li>Facilitate Risk and Control Self-Assessments (RCSAs) and conduct in-depth risk deep dives, through stakeholder workshops and desktop reviews, as needed.</li> <li>Support the business in the reporting, investigation, and root cause analysis of risk events materialising.</li> <li>Analyse risk management information on trends and themes to support management decisions and actions.</li> <li>Lead the development and delivery of high-quality risk reports, this could include Own Risk and Solvency Assessment (ORSA) and CRO reports for senior leadership and Board level.</li> <li>Maintain and develop a robust, coherent, and regulatory compliant risk framework suitable for a Group/business unit matrix organisation, including clear risk taxonomy, risk roles &amp; responsibilities, governance and feedback loops.</li> <li>Horizon scanning and oversee high-quality emerging risk reporting and maintain an effective emerging risk framework across Canopius.</li> <li>Provide risk training for audience of various levels within the organisation.</li> <li>Support senior leadership in the articulation of risk appetite statements and tolerances appropriate for the organisation's strategic objectives and work with the business to develop Key Risk Indicators (KRIs) for monitoring risk appetite.</li></ul>Skills and Experience: <ul> <li>Previous working experience in a second line risk management department within the Lloyd's / London Insurance Market.</li> <li>Proven experience in the practical implementation of a risk framework (including supporting processes) in a global business, identifying gaps or areas of improvement, and leading/delivering risk management remediation actions.</li> <li>Ability to understand and analyse complex and interrelated business and risk processes and information, and have a big picture view of the risks and implications on what matters most to the organisation.</li> <li>Clearly and coherently convey complex findings or themes for a comprehensive view of risk management across the organisation to senior leadership, the Board, and external stakeholders. </li> <li>Experience with Risk Management Information System implementation projects and efficiencies in risk management processes and analysis enhancements using risk systems and tools available </li> <li>Strong planning, analytical (including attention to detail), written communication, and presentation skills, with proficiency in MS Office, including MS Excel (Macros, V-Lookups, and Pivot tables) </li> <li>Experience with stakeholder engagement at various levels of the organisation to encourage collaboration, share knowledge, and facilitate the adoption of risk management best practices.</li></ul>About Us Our benefits We offer all employees a comprehensive benefits package that focuses on their whole wellbeing. This includes hybrid working, a competitive base salary, non-contributory pension, discretionary bonus, insurances including health (family) and dental cover, and many other benefits to enhance financial, physical, social and psychological health. About Canopius Canopius is a global specialty lines (re)insurer. We are one of the leading insurers in the Lloyd's of London insurance market with offices in the UK, US, Singapore, Australia and Bermuda. At Canopius we foster a distinctive, positive culture which enables us to bring our whole selves to work to flourish as people, and build a business which delivers profitable, sustainable results. Based in incredible new offices in the heart of the City of London, Canopius operates a flexible, hybrid working model and is committed to providing an environment that challenges employees to be their best and where everyone's unique contributions are recognised, valued and respected. We are fully committed to equal employment opportunities for all applicants and providing employees with a work environment free of discrimination and harassment. All employment decisions are made regardless of age, sex, gender identity, ethnicity, disability, sexual orientation, socio-economic background, religion or beliefs, marital or caring status, or any other status protected by the laws or regulations in the locations where we operate. We encourage and welcome applicants from all diverse backgrounds. We make reasonable adjustments throughout the recruitment process and during employment. Please let us know if you require any information in an alternate format or any other reasonable adjustments.

Group Enterprise Risk Manager

Job Description Overall purpose of the role. The incumbent will act as a core member of the Business and Functions Compliance team, supporting a broad range of Advisory Compliance activities across the various business units and functional areas within the UK branch, including Banking and Markets desks. The individual will act as a primary point of contact to the Private Side businesses as well as working closely with the Regulatory Developments and Implementation Officer, and supporting the Head of Business and Functions Compliance directly on projects and matters impacting across the branch. This will involve developing relevant local compliance policies and procedures as well as coordinating and monitoring the effectiveness of compliance support for the designated private side business within the framework of the overall Natixis global compliance strategy and the compliance strategy set by the UK Head of Compliance. The incumbent is required to establish a strong relationships with business and infrastructure colleagues locally and also with relevant Head Office Compliance staff. Compliance Policies and Procedures <ul> <li>To provide that there are adequate, current, clear and sufficiently detailed compliance policies and procedures in place for the designated Private side business so that relevant UK regulatory and legal requirements, regulations, rules and Head Office requirements are properly disseminated and understood.</li> <li>To work closely with the Regulatory Implementation Officer to ensure there is an effective and targeted regulatory watch process on an ongoing basis, so as to identify new laws, regulations and best market practices/regulatory expectations that will affect these businesses. Provide that the Compliance Internal Procedures Manual is up to date in relation to defined areas of responsibility by providing the relevant information in a timely manner to the Central Compliance team.</li> <li>To assist in developing business-wide global policies and procedures for designated Private side side businesses in conjunction with other Business Compliance Officers.</li></ul>Regulatory Advice and Queries <ul> <li>To provide effective and co-ordinated compliance advice in a timely manner to management and staff across the UK branch, as well as providing for an appropriate and timely two-way flow of information between Compliance and the business. Compliance advice will include consideration of best practice, the regulatory requirements of competent authorities, as well as compliance with internal procedures and directives.</li> <li>In respect of inquiries from Regulatory bodies, to work with the relevant functions (such as Operations, Legal, etc) to provide an accurate and considered response within the required deadline.</li> <li>Assist in the evaluation of new business initiatives/products impacting the UK branch and risk assess any such initiatives including regulatory impact and ensure compliance with internal requirements;</li></ul>Training and Awareness <ul> <li>To develop, organise and deliver regular business specific compliance training, targeted themed training, induction training and general awareness campaigns (in conjunction with the Central Compliance team), so as to maintain awareness by UK branch employees of applicable rules, regulations and best practice. </li></ul>Compliance Monitoring Programme <ul> <li>To support the Compliance Monitoring Programme for the UK branch, including reporting on identified weaknesses and monitoring implementation of agreed action points. Compliance monitoring is currently undertaken by the Compliance Controls team, but this should not preclude the incumbent from initiating monitoring in areas not covered by the agreed plan.</li> <li>Support the annual Compliance Risk Assessment programme for the UK branch ensuring risks and controls are correctly identified and recorded.</li></ul>Rolling Business Reviews <ul> <li>Once implemented, to provide input into the planning of, and participate in, regular risk-based business reviews across the UK branch (in conjunction with other members of the Compliance Department as applicable), reporting on identified weaknesses and following through to ensure implementation of agreed action points.</li></ul>Conflicts Management <ul> <li>To work with the Control Room/other Private side Compliance officers to monitor that any conflicts have been identified and recorded, then appropriately managed in accordance with Natixis procedures, and to raise any specific issues for discussion with the Global Control Room. </li></ul>SMCR, Exchange Registration &amp; Conduct <ul> <li>To assist the Central Compliance team with queries and FCA registration/Certification requirements in connection with UK branch staff.</li> <li>To escalate Conduct breaches/issues to relevant Management and the Head of Business and Functions Compliance in a timely manner.</li></ul>Management Reporting <ul> <li>To support the development and production of complete accurate and meaningful monthly Management Information and ensure that it is delivered on time for routine Compliance reports to business management and the Head of Business and Functions Compliance.</li></ul>Relationship with Head Office Private side Compliance and Global Control Room Teams <ul> <li>To foster the relationship between the UK and Head Office, providing that where possible there is consistent application of compliance standards that Head Office is aware of relevant cross border business, and that cross border issues are escalated where appropriate.</li> <li>Monitor performance of London Branch SLA with HO Private side Compliance and Global Control Room and escalate potential issues or shortfalls in expected services.</li></ul>Relationship with the Business and Functions Compliance Team <ul> <li>To act as a team player within the Business and Functions Compliance team, fostering and developing cohesion in approach to different asset classes and roles and responsibilities. Maintaining an effective working relationship within the team, providing that where possible there is consistent application of compliance standards across both the Private Side and Global Markets businesses.</li></ul>Audit Points <ul> <li>Support addressing relevant audit requirements for the UK branch in a timely manner and avoid overdue recommendations.</li></ul> Ad Hoc <ul> <li>To assist the Head of Business and Functions Compliance and senior management with ad-hoc tasks and projects that may be assigned from time to time. The incumbent may also be required to represent Compliance on internal and external committees and steering groups from time to time, as agreed with the Head of Business and Functions Compliance.</li></ul>

VP -Business and Functions Compliance Officer (14-month Maternity Cover)

Get to know OktaOkta is The World's Identity Company. We free everyone to safely use any technology-anywhere, on any device or app. Our Workforce and Customer Identity Clouds enable secure yet flexible access, authentication, and automation that transforms how people move through the digital world, putting Identity at the heart of business security and growth. At Okta, we celebrate a variety of perspectives and experiences. We are not looking for someone who checks every single box - we're looking for lifelong learners and people who can make us better with their unique experiences. Join our team! We're building a world where Identity belongs to you. The Subscription License Compliance TeamThe Subscription License Compliance Team's mission is to increase ARR by recovering lost revenue due to compliance overages. We do this by educating and enabling our customers, partners, and employees. The Senior Subscription License Compliance Manage Opportunity Reporting to the Head of Subscription Compliance, this role will be responsible for all compliance-related activities in Europe, the Middle East, and Africa ("EMEA"). You will work with internal tools and systems to determine if Okta's customers are in compliance with the terms and conditions of their agreements. When subscription violations are identified, You will collaborate with Sales and other internal teams to resolve the compliance issues and drive revenue growth while ensuring a positive sales experience for the customer. You have strong leadership skills and are capable of driving action across many functions. You are a confident business partner, a critical thinker, and extremely analytical. You are comfortable operating at all levels, with an eye on the strategic big picture, while also able to understand the nuances of specific products and customers. What you'll be doing <ul><li>Lead the Subscription License Compliance Program in EMEA</li><li>Work extensively across several internal organizations such as Sales, Renewals, Customer Success, Deal Desk, Product, Data, Legal, and Operations</li><li>Strategize with Account Teams in driving true-up, upsell, and cross-sell opportunities</li><li>Handle both internal and external compliance-related escalations</li><li>Responsible for ongoing Sales / Account Team training and enablement</li><li>Help create and improve compliance policies, procedures, playbooks, and best practices</li><li>Attend and present at Sales Quarterly Business Reviews (QBRs)</li><li>Manage compliance engagements from beginning to end</li><li>Analyze and interpret complex subscription activation, usage, and contract data</li><li>Update key stakeholders on the compliance function's impact, learnings, and projects</li></ul>What you'll bring to the role <ul><li>8+ years of subscription compliance, license compliance, license management, contract compliance, software audit, software asset management, IT asset management, and/or other related experience</li><li>Experience working with VP-level and C-level personnel </li><li>Strong negotiation skills, written and verbal communication skills</li><li>Project management skills, organizational and time management skills</li><li>Process improvement capabilities, precise attention to detail</li><li>Strong analytical, research, and critical thinking skills</li><li>Ability to work in a dynamic fast-paced environment</li></ul>And extra credit if you have experience in any of the following! <ul><li>Audit and/or compliance experience at a high-growth SaaS company</li><li>Knowledge of SaaS financial, operational, and business metrics</li><li>Experience with Salesforce, Tableau, Google Workspace, and Slack</li></ul>#LI-RB4 #LI-HYRBID What you can look forward to as a Full-Time Okta employee! <ul><li>Amazing Benefits</li><li>Making Social Impact</li><li>Developing Talent and Fostering Connection + Community at Okta</li></ul>Okta cultivates a dynamic work environment, providing the best tools, technology and benefits to empower our employees to work productively in a setting that best and uniquely suits their needs. Each organization is unique in the degree of flexibility and mobility in which they work so that all employees are enabled to be their most creative and successful versions of themselves, regardless of where they live. Find your place at Okta today! <a href="https://www.okta.com/company/careers/" target="_blank">https://www.okta.com/company/careers/</a>. Some roles may require travel to one of our office locations for in-person onboarding. Okta is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, ancestry, marital status, age, physical or mental disability, or status as a protected veteran. We also consider for employment qualified applicants with arrest and convictions records, consistent with applicable laws. If reasonable accommodation is needed to complete any part of the job application, interview process, or onboarding please use this Form to request an accommodation. Okta is committed to complying with applicable data privacy and security laws and regulations. For more information, please see our Privacy Policy at <a href="https://www.okta.com/privacy-policy/" target="_blank">https://www.okta.com/privacy-policy/</a>.

Senior Subscription License Compliance Manager

Job summary A fantastic opportunity has arisen for a Temporary Staffing Compliance Officer to support our professional, fast paced Temporary Staffing Team.The Temporary Staffing Team manage and assist with the booking of temporary workers into the electronic booking systems, providing the wards and departments with additional appropriately trained staff to support their required staffing levels. The Temporary Staffing Compliance Officer will be responsible for creating and maintaining accurate training records to ensure that all bank and agency staff supplied to the Trust meet all Trust requirements relating to recruitment, training and relevant registrations. Also providing administrative support, to ensure the effective deployment, management and payment of temporary staff (bank and agency) in accordance with policies and procedures. You will be the first point of contact for all temporary staff and assist with any queries that may arise, such as compliance, booking/cancelling their shifts, pay queries, system issues or general enquiries. Please note this role will be based on site at the Royal Surrey, and the interviews will be taking place in person. Previous applicants for this position, need not apply again. Main duties of the job <ul><li>To create and maintain accurate training records to ensure that all bank and agency staff supplied to the Trust meet all Trust requirements relating to recruitment, training and relevant registrations and provide administrative support to ensure the effective deployment, management and payment of temporary staff (bank and agency) in accordance with policies and procedures.</li><li>To ensure the temporary staffing requirements are dealt with in a timely and cost effective manner by close liaison with the team, department managers and ward matrons, ensuring all flexible staffing requirements are documented as per Trust procedures and filled as appropriate via the rostering systems.</li><li>Be accountable and to act as the first point of contact for all temporary staff and assist with any queries that may arise, such as compliance, booking/cancelling their shifts, pay queries, system issues or general enquiries</li></ul>About us Royal Surrey is a compassionate and collaborative acute and community Trust. Recognising that our 5000 colleagues are our greatest strength, we offer a comprehensive health and wellbeing program along with a commitment to developing and advancing your career. Our diverse and welcoming Royal Surrey family will ensure you that you feel valued from your initial interview through your entire tenure. We are clinically led and provide joined up care by bridging the gap between hospital and community services alongside regional specialist cancer care. Our main acute hospital site is in Guildford with community hospital sites at Milford, Haslemere and Cranleigh. We provide adult community health services in homes across Guildford and Waverley. The Care Quality Commission (CQC) have given us an overall rating of Outstanding. Royal Surrey has a strong reputation and history to build on. We are proud of our achievements and we are investing in our colleagues through our commitment to supporting professional development as well as investing more than £45 million in our physical environment and new equipment in the next few years. There has never been a better time to join us. Although it isn't the Trusts normal practice, adverts may close early, so you are encouraged to submit an application as soon as possible. A video about the Royal Surrey - <a href="https://www.youtube.com/watch?v=R96pMboIYdo" target="_blank">https://www.youtube.com/watch?v=R96pMboIYdo</a> Job description Job responsibilities To support the temporary staffing service in delivering an efficient, professional, and high quality temporary staffing service ensuring to provide a high quality and responsive service to Trust managers and employees, including compliance with required procedures, processes and standards. To continuously monitor systems to ensure that workers who do not meet Trust requirements are identified and appropriate action taken. Trust requirements will include, but are not limited to, the following;- Mandatory training requirements- Professional registrations- DBS- Right to Work- Occupational Health status Keep up to date with all relevant Trust policies and legislation relating to own role, including the Trust Pre-Employment &amp; Employment Checks, NHS Employers Identity Checks, Home Office Right to Work ID checks and EU Settlement regulations. Inputting and manipulating data from more than one database. Organise data audits to provide assurance of information reported and make recommendations based on the audit findings. Job description Job responsibilities To support the temporary staffing service in delivering an efficient, professional, and high quality temporary staffing service ensuring to provide a high quality and responsive service to Trust managers and employees, including compliance with required procedures, processes and standards. To continuously monitor systems to ensure that workers who do not meet Trust requirements are identified and appropriate action taken. Trust requirements will include, but are not limited to, the following;- Mandatory training requirements- Professional registrations- DBS- Right to Work- Occupational Health status Keep up to date with all relevant Trust policies and legislation relating to own role, including the Trust Pre-Employment &amp; Employment Checks, NHS Employers Identity Checks, Home Office Right to Work ID checks and EU Settlement regulations. Inputting and manipulating data from more than one database. Organise data audits to provide assurance of information reported and make recommendations based on the audit findings. Person Specification Qualifications Essential <ul> <li>Educated to A Level / NVQ Level 3 standard or equivalent knowledge gained through experience</li> </ul> Desirable <ul> <li>CIPD Qualification</li> </ul> Knowledge and Experience Essential <ul> <li>Demonstrable previous general administration experience within a busy office environment</li> <li>Experience of dealing with confidential issues and providing a service to others</li> <li>Ability to organise and prioritise own workload and to work under pressure and within agreed guidelines</li> <li>Competent in Microsoft Office - Word, Outlook, Excel Spreadsheets, PowerPoint</li> <li>Experience using e-bookings system</li> </ul> Desirable <ul> <li>Previous experience working within the NHS</li> <li>Human Resources experience</li> <li>Staff supervision and training</li> <li>Health based e-rostering systems</li> <li>NHS systems (Electronic Staff Record (ESR), Allocate packages, Locums Nest, Plus Us)</li> <li>Experience in Compliance Management</li> </ul>Person Specification Qualifications Essential <ul> <li>Educated to A Level / NVQ Level 3 standard or equivalent knowledge gained through experience</li> </ul> Desirable <ul> <li>CIPD Qualification</li> </ul> Knowledge and Experience Essential <ul> <li>Demonstrable previous general administration experience within a busy office environment</li> <li>Experience of dealing with confidential issues and providing a service to others</li> <li>Ability to organise and prioritise own workload and to work under pressure and within agreed guidelines</li> <li>Competent in Microsoft Office - Word, Outlook, Excel Spreadsheets, PowerPoint</li> <li>Experience using e-bookings system</li> </ul> Desirable <ul> <li>Previous experience working within the NHS</li> <li>Human Resources experience</li> <li>Staff supervision and training</li> <li>Health based e-rostering systems</li> <li>NHS systems (Electronic Staff Record (ESR), Allocate packages, Locums Nest, Plus Us)</li> <li>Experience in Compliance Management</li> </ul>Disclosure and Barring Service Check This post is subject to the Rehabilitation of Offenders Act (Exceptions Order) 1975 and as such it will be necessary for a submission for Disclosure to be made to the Disclosure and Barring Service (formerly known as CRB) to check for any previous criminal convictions. Employer details Employer name Royal Surrey NHS Foundation Trust Address Royal Surrey Hospital Egerton Road Guildford GU2 7XX Employer's website

Temporary Staffing Compliance Officer

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

As one of the world's largest networks of audit, tax and consulting firms, RSM delivers big ideas and premium service to help middle-market businesses thrive. We are a fast-growing firm with big ambitions -- we have a clear goal to become the premium adviser to the middle market, globally. This vision touches everything we do, motivating and inspiring us to become better every day. If you are looking for a firm where you can build a future and make an impact, then RSM is the place for you. Make an Impact at RSM UK At RSM, our consulting team brings together diverse advisory experts to deliver our six core solutions: business transformation, forensic, deal services, restructuring, finance function support, and risk and governance. Our solutions are designed to address the unique needs, challenges, and opportunities our clients face as they strive to achieve their aspirations and organisational goals. Whether it's supporting global expansion, developing acquisition strategies, facilitating private equity investments, or collaborating with boards to manage risk and governance, our consulting experts work as one cohesive team. We prioritise simplicity, providing data-driven insights, value-added assurance, and high-quality execution to empower our clients in building sustainable, future-fit businesses. It's an exciting time to join our consulting team, as we embark on ambitious growth plans that promise to create diverse career opportunities. We are committed to enhancing our six solutions, expanding and developing our team of expert consultants, embracing a digital-first approach, strengthening our global presence, and building strong client relationships With a new advisory service offering for our corporate sector (with the exception of financial services) in relation to risk, compliance and regulation we are looking for an Assistant to join our team. The postholder will be an enthusiastic team player, with an interest in legal compliance, to join our team. This is a brand-new role reporting to the Partner leading the service offering. You will have direct client contact, be involved in delivering projects, bid for new work and support the development of thought pieces etc. The role will provide you with variety as well as an opportunity to continue to learn, develop and progress. If you are pragmatic and practical, with a keen eye for detail, and enjoy building relationships with clients, then this role could be a good fit. You'll make an impact by: <ul><li> Delivering projects to a high standard, within time and budget </li><li> Defining compliance requirements, documenting process flows, controls and identifying gaps within the process </li><li> Provide insightful, pragmatic and risk-based recommendations to our clients </li><li> Manage and develop relationships across new and existing clients and also within the firm. This will include attending and presenting a client meetings as well as networking events where appropriate </li><li> Supporting the Partners / Directors in key business development activities for new work including targeting, writing proposals, presentations and thought leadership </li><li> Stay up to date with the developments in relation to compliance, enterprise risk management and regulation </li></ul> What we are looking for: Are you someone who thrives on variety, loves learning new things, and enjoys connecting with people? If you can spot inefficiencies in everyday life and are passionate about making improvements, this role is perfect for you! We value diverse experiences and perspectives. Here's what we're looking for in our ideal candidate: <ul><li> A relevant degree, legal, accounting, internal audit or equivalent compliance or risk management certification. </li><li> Significant experience in compliance, risk management or internal audit either in house or in practice. </li><li> Excellent written skills with strong levels of accuracy and attention to detail </li><li> Strong communication skills, with the ability to work effectively with individuals at all levels within the firm as well as building excellent working relationships with clients </li><li> A collaborative approach with strong team working abilities, with excellent pragmatic problem-solving skills </li></ul> What we can offer you: We recognise that our people are our most important assets. That's why we offer a flexible reward and benefits package that will help you have fulfilling experience, both in and out of work. <ul><li> Hybrid working </li><li> 26 Days Holiday </li><li> Lifestyle, Health, and Wellbeing including financial wellbeing benefits such as financial tools, electric car scheme and access to a virtual GP. </li><li> Access to a suite of 300+ courses on demand developed by our inhouse Talent Development team. </li></ul>#LI-AK1 Diversity and Inclusion at RSM At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client's needs. Diverse teams bring a broader range of ideas and insights to work. That's why we're working together to ensure our firm's principles and processes support a firm culture that embraces difference and strengthens inclusion.

Risk and Compliance Assistant Manager

As one of the world's largest networks of audit, tax and consulting firms, RSM delivers big ideas and premium service to help middle-market businesses thrive. We are a fast-growing firm with big ambitions -- we have a clear goal to become the premium adviser to the middle market, globally. This vision touches everything we do, motivating and inspiring us to become better every day. If you are looking for a firm where you can build a future and make an impact, then RSM is the place for you. Make an Impact at RSM UK At RSM, our consulting team brings together diverse advisory experts to deliver our six core solutions: business transformation, forensic, deal services, restructuring, finance function support, and risk and governance. Our solutions are designed to address the unique needs, challenges, and opportunities our clients face as they strive to achieve their aspirations and organisational goals. Whether it's supporting global expansion, developing acquisition strategies, facilitating private equity investments, or collaborating with boards to manage risk and governance, our consulting experts work as one cohesive team. We prioritise simplicity, providing data-driven insights, value-added assurance, and high-quality execution to empower our clients in building sustainable, future-fit businesses. It's an exciting time to join our consulting team, as we embark on ambitious growth plans that promise to create diverse career opportunities. We are committed to enhancing our six solutions, expanding and developing our team of expert consultants, embracing a digital-first approach, strengthening our global presence, and building strong client relationships With a new advisory service offering for our corporate sector (with the exception of financial services) in relation to risk, compliance and regulation we are looking for a Manager to join our team. The postholder will be an enthusiastic team player, with an interest in legal compliance, to join our team. This is a brand new role reporting to the Partner leading the service offering. You will have direct client contact, be involved in delivering projects, bid for new work and support the development of thought pieces etc. The role will provide you with variety as well as an opportunity to continue to learn, develop and progress. If you are pragmatic and practical, with a keen eye for detail, and enjoy building relationships with clients, then this role could be a good fit. You'll make an impact by: <ul><li> Take ownership of delivering projects, including delivering these to a high standard, within time and budget </li><li> This will include defining compliance requirements, documenting process flows, controls and identifying gaps within the process </li><li> Provide insightful, pragmatic and risk-based recommendations to our clients </li><li> Manage and develop relationships across new and existing clients and also within the firm. This will include attending and presenting a client meetings as well as networking events where appropriate </li><li> Supporting the Partners / Directors in key business development activities for new work including targeting, writing proposals, presentations and thought leadership </li><li> Stay up to date with the developments in relation to compliance, enterprise risk management and regulation. </li></ul> What we are looking for: Are you someone who thrives on variety, loves learning new things, and enjoys connecting with people? If you can spot inefficiencies in everyday life and are passionate about making improvements, this role is perfect for you! We value diverse experiences and perspectives. Here's what we're looking for in our ideal candidate: <ul><li> A relevant degree, legal, accounting, internal audit or equivalent compliance or risk management certification. </li><li> Significant experience in compliance, risk management or internal audit either in house or in practice. </li><li> Excellent written skills with strong levels of accuracy and attention to detail </li><li> Strong communication skills, with the ability to work effectively with individuals at all levels within the firm as well as building excellent working relationships with clients </li><li> A collaborative approach with strong team working abilities, with excellent pragmatic problem-solving skills </li></ul> What we can offer you: We recognise that our people are our most important assets. That's why we offer a flexible reward and benefits package that will help you have fulfilling experience, both in and out of work. <ul><li> Hybrid working </li><li> 27 Days Holiday </li><li> Lifestyle, Health, and Wellbeing including financial wellbeing benefits such as financial tools, electric car scheme and access to a virtual GP. </li><li> Access to a suite of 300+ courses on demand developed by our inhouse Talent Development team. </li></ul>#LI-AK1 Diversity and Inclusion at RSM At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client's needs. Diverse teams bring a broader range of ideas and insights to work. That's why we're working together to ensure our firm's principles and processes support a firm culture that embraces difference and strengthens inclusion.

Risk and Compliance Manager

Lloyd's is the world's leading insurance and reinsurance marketplace. We share the collective intelligence and risk sharing expertise of the market's brightest minds, working together for a braver world. Our role is to inspire courage, so tomorrow's progress isn't limited by today's risks. Our shared values: we are brave; we are stronger together; we do the right thing; guide what we do and how we act. If you share our values and our passion to build a future that's more sustainable, resilient and inclusive, you'll find a home at Lloyd's - build a braver future with us. Lloyd's are seeking to recruit a First Line Risk Manager sitting within Market Oversight and Delivery, this role will be seen as the dedicated first line risk person for Markets. This role will be responsible for developing, implementing and monitoring the first line risk framework across the function, to ensure continuous improvement of the risk and control environment, as well as being a dedicated point of contact for all risk queries and liaison with second and third line Risk. Principal Accountabilities Responsible for the ongoing review and development of the first line risk framework across Markets, liaising with Risk and ensuring a continuous improvement approach is taken in how first line risk is managed Review of individual function RCSAs, including appropriate risk and controls, identification of improvement areas and implementing suggested recommendations Provision of practical support for business areas as required, to help with improving risk culture Responsible for monitoring and supporting with the delivery of risk actions across Markets Responsible for the regular engagement of Markets risk reps and business managers, including chairing the Risk Working Group Responsible for monitoring, key Corporation and key departmental controls Liaison with other Corporation functions, particularly around the execution and development of key Corporation controls across Markets Responsible for the implementation of any new second line risk framework changes and initiatives, including, but not limited to, the Markets Key Controls Pilot in 2025 Point of contract for Internal Audit, including monitoring of audit outcomes and actions Skills Knowledge and Experience Experience of managing first line risk Experience of designing and amending governance frameworks Experience of stakeholder management within a regulatory environment Knowledge 1st line risk framework management Comfortable interacting with senior stakeholders Ability to resolve problems Ability to design and deliver clear training material Ability to be self-sufficient and manage workload Diversity and inclusion are a focus for us - Lloyd's aim is to build a diverse, inclusive environment that reflects the global markets we work in. One where everyone is treated with dignity and respect to achieve their full potential. In practice, this means we are positive and inclusive about making workplace adjustments, we offer regular health and wellbeing programmes, diversity and inclusion training, employee networks, mentoring and volunteering opportunities as well as investment into your professional development. You can read more about diversity and inclusion on our website. We understand that our work/life balance is important to us all and that a hybrid of working from the office and home can offer a great level of flexibility. Flexible working forms part of a total reward approach which offers a host of other benefits over and above the standard offering (generous pension, healthcare, wellbeing etc). These include financial support for training, education &amp; development, a benefit allowance (to spend on our flexible benefits such as gym membership, dental insurance, extra holiday or to partake in our cycle to work scheme), employee recognition scheme and various employee discount schemes. By choosing Lloyd's, you'll be part of a team that brings together the best minds in the industry, and together with our underwriters and brokers, we create innovative, responsive solutions allowing us to share risk and solve complex problems. Should you require any additional support with your application, or any adjustments, please click the following link; <a href="https://cleartalents.com/apply/lloyds-msa1645695881" target="_blank">https://cleartalents.com/apply/lloyds-msa1645695881</a> Please note, clicking on this link does not register your application for the vacancy

First Line Risk Manager

Line of Service Assurance Industry/Sector Not Applicable Specialism Risk Management Level Manager Job Description &amp; Summary About the role: <ul><li>Our AI &amp; Modelling (AI&amp;M) team is a diverse group of 500+ individuals across the UK and India, with a wide range of skills and experience within the insurance, banking and commercial &amp; government sectors.</li><li>We are experiencing rapid growth and are looking to expand our Banking sub-team of 100+ specialists, who advise leading banks across the UK and globally on a wide variety of risk, value and capital management issues.</li><li>You will be a key part of this growth story, with the opportunity to work on a range of exciting projects in a collaborative, inclusive and well-recognised team.</li></ul>What your days will look like: As a Manager, you will work directly with clients, manage junior staff, report to the leadership team and work alongside senior specialists who will coach and support you, to oversee the delivery of an exciting range of credit risk modelling and validation projects such as: <ul><li>Credit risk model development (IFRS 9, IRB or stress testing), including support on future modelling considerations and the impact of regulatory changes.</li><li>Specialist review and challenge of IFRS 9 models for our audit clients.</li><li>End-to-end model validation - including validation of data, review and challenge of conceptual soundness and underlying assumptions, assessing model limitations, performing quantitative testing, and delivering exhaustive reports.</li><li>Interaction with stakeholders including credit risk managers, model development / validation teams, and internal stakeholders across PwC.</li><li>Helping to develop our internal propositions to take to market, including in emerging areas such as AI and ESG.</li><li>Maintaining an up-to-date view of regulatory and industry developments - enabling knowledge sharing with the wider team and the ability to maintain leading edge best practice.</li></ul>This role is for you if you have: <ul><li>Experience working within a banking organisation or professional services firm, specialising in at least one area of credit risk modelling (provisioning, capital or stress testing), for Retail or Wholesale portfolios.</li><li>Good understanding of credit risk concepts and associated regulatory requirements, including at least one of: IFRS 9, IRB or Stress Testing</li><li>Experience with at least one of the following (or similar): SAS, SQL, R, Python</li></ul>What you'll receive from us: No matter where you may be in your career or personal life, our benefits are designed to add value and support, recognising and rewarding you fairly for your contributions. We offer a range of benefits including empowered flexibility and a working week split between office, home and client site; private medical cover and 24/7 access to a qualified virtual GP; six volunteering days a year and much more. Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Accepting Feedback, Accepting Feedback, Active Listening, Analytical Thinking, Communication, Creativity, Credit Risk Assessment, Credit Risk Management, Credit Risk Mitigation, Credit Risk Model Development, Credit Risk Modeling, Credit Risk Monitoring, Data Analysis, Embracing Change, Emotional Regulation, Empathy, Financial Audit, Financial Budgeting, Financial Data Mining, Financial Forecasting, Financial Management, Financial Market, Financial Modeling, Financial Planning, Financial Research {+ 12 more} Desired Languages (If blank, desired languages not specified) Travel Requirements Not Specified Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Credit Risk Modelling - Manager

We are currently looking for an Operational Risk Manager to work with one of our financial services clients in London. The role will be part of the 1st Line Operational Risk team, working with all functions as a "Risk Partner". You will be there to offer guidance and support, helping to comply with frameworks, standards etc, undertaking Risk Management. Applicants will have knowledge of key risk management principles supported by relevant experience, understanding of the three lines of defence operating model and be able to develop relationships with peers and senior stakeholders. Recent relevant experience in financial services is mandatory. The role is hybrid working with 2 days per week in the London office. Contract will be inside IR35. Responsibilities and Requirements <ul> <li>Stakeholder engagement and management</li> <li>Help business functions to manage risks to support the achievement of business objectives.</li> <li>Embedding a risk management framework and culture to improve risk identification, management, treatment and reporting.</li> <li>Work with the business to enhance decision making whilst reducing operational risk and improving overall service resiliency. </li> <li>Work closely with Risk owners, control owners and 2lod team.</li> <li>Risk assessment, ownership of treatment and risk reduction.</li> <li>Training &amp; awareness campaigns to embed a culture of risk management</li> <li>Maintenance &amp; reporting of risk registers</li> <li>Risk deep dive activities, proactively manage risk to the organization. </li> <li>Governance arrangements that ensure risk practices are being followed </li> <li>Promote a robust, developing risk culture</li> <li>Evaluate risk exposures, identification, assessment and monitoring of the inherent and residual risks and top risks</li> <li>Provide risk briefings to colleagues when required </li> <li>Perform Risk and Control Self-Assessments</li> <li>Partner with the Lines of Business to identify, track, escalate and resolve issues in a timely manner. </li></ul>#LI-DNI

Operational Risk 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. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary To support the Head of Compliance Assurance with the Compliance Assurance programme, leading reviews to verify the adequacy and effectiveness of controls in place to ensure the Firm's compliance with applicable regulations. Responsibilities <ul><li>Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing and report drafting.</li><li>Validate remediation actions stemming from assurance work, to ensure effective completion.</li><li>Facilitate the Compliance Risk Assessments process which report on the regulatory risks and controls in place.</li><li>Build strong and collaborative working relationships within Compliance globally and support the regions with Risk Assessment methodology and Assurance activities. </li><li>Support the Compliance team by undertaking ad-hoc compliance-related activities such as regulatory information requests, investigations, or incident-related root cause analysis.</li><li>Collaborate with key stakeholders in the business and risk &amp; control functions for integrated and consistent risks assessments approach. </li><li>Maintain accurate and complete records of all work carried out during reviews.</li><li>Identify industry best practise and share insights with the rest of the team</li></ul>Skills and Experience <ul><li>Minimum 6 years' experience* working in a Compliance Monitoring/Assurance, Advisory or Audit role within a UK regulated financial institution (exposure to Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential).</li><li>Broad knowledge of compliance regulation and in-depth understanding of compliance risks, assessments methodology and assurance activities.</li><li>Excellent written, verbal and interpersonal skills.</li><li>Proficient in Excel and Word, and experience in use of IT systems and databases. </li><li>Experience or interest in data and analytics beneficial</li></ul>Competencies <ul><li>A collaborative team player, that is approachable, self-efficient and influences a positive work environment</li><li>Skilled at stakeholder management and ability to work closely with multiple internal stakeholders at all levels.</li><li>Proactive, self-motivated and resilient in a fast-paced environment.</li><li>Able to multi-task, prioritize and deliver high quality results with tight deadlines.</li><li>Demonstrates curiosity</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. *candidates outside of the indicated 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

Compliance Assurance Officer

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

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 - Regulatory 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 Compliance Operations office: <ol><li>Regulatory requests </li><li>Regulatory development and horizon scanning</li><li>Regulatory License &amp; Permissions </li><li>Audit requests</li></ol> Responsibilities <ul><li>Manage and own the regulatory process for responding to regulator requests including working with internal stakeholders to draft responses </li><li>Respond to and track both internal and external audit requests including carrying out quality control for responses. </li><li>Support regulator onsite visits or reviews including meeting scheduling and participation (where required) as well as logistics preparation and co-ordination. </li><li>Control the submission of management information responding to regulatory or audit requests. </li><li>Produce management information reporting as input into various governing committees and /or up to senior management. </li><li>Support business preparedness for onsite examinations or audits. </li><li>Own the tracking of regulatory developments and horizon scanning processes including managing the group regulatory roadmap and related management information. </li><li>Participate and engage with industry working groups and support internal working groups on reviewing regulatory developments </li><li>Maintain the group legal entity license and permissions map and perform periodic reviews.</li></ul>Skills and Experience Mandatory <ul><li>Experience with drafting regulatory responses and dealing with senior stakeholders. </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 UK regulated environment e.g. SMCR, MIFID, MAR</li><li>Experience of working within a medium sized financial services firm</li><li>Experience of dealing with various different stakeholders (Legal, CoSec, Risk, Front Office, IT, Finance, HR, etc)</li><li>Experience of supporting the day-to-day operations of a Compliance Function </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. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. *experience outside of this range will also be considered #LI-DG1

Senior Compliance Officer - Regulatory

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

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 Support the Head of Business Advisory Compliance in ensuring the Marex Group adheres to and operates within its regulatory requirements, remains within stated Marex risk appetites, maintains good conduct, drives a strong culture and positive customer outcomes. Specific focus on delivering second line oversight of the Listed Derivatives Business activities across the Marex Group including Metals, Commodities ('Agricultural'), Energy, Financial Futures &amp; Options and Listed derivatives Clearing and Direct Execution businesses ('the business groups') by providing advisory compliance support including leading on responses to listed derivative exchange regulatory enquiries. Participate in broader Group Compliance management initiatives and where required provide support on Compliance matters concerning Marex Group business activities. Responsibilities <ul><li>Act as the Compliance lead on listed derivative exchange related enquiries. Liaise with business groups to gather the relevant information and manage, investigate and draft responses to such exchange regulatory enquiries, including audit programmes. </li><li>Ensure the timely identification of regulatory change affecting the wider Marex businesses groups ensuring appropriate collaboration across all relevant Support Functions and the Business and assisting the Business with implementing the new regulation in a robust and controlled manner.</li><li>Performing the Compliance review of product/service related materials such as marketing materials, presentations and product brochures are in line with regulatory requirements</li><li>Deliver ongoing compliance support to relevant business groups including the provision of advice on the application of global compliance policies, exchange rules and regulations</li><li>Maintain regular ongoing daily engagement with the relevant Marex business groups including regular documented Business catchups with key business stakeholders</li><li>Supporting compliance team members on reviewing and advising on specific BAU transactions to include advice to business on the application of global compliance policies, exchange rules and regulations. </li><li>Identifying regulatory or reputational risks and escalating to management for resolution. </li><li>Supporting compliance team members on the delivery of timely compliance review and approval of new Business specific initiatives such as new transaction structures, new jurisdictions, new systems, etc and complete (where relevant) Business Change Approval Ctte ('BCAC') compliance assessments.</li><li>Working with Legal, Compliance colleagues and other support function staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters. </li><li>Providing SME support to Compliance Assurance colleagues by participating in the annual Compliance Risk Assessment process, and execution of assurance activities as they relate to the business groups. </li><li>Designing, driving and delivering specific desk based thematic reviews. </li><li>Acting as a challenge and control function to the Business on compliance related matters including the Business owned Risk &amp; Control Assessment </li><li>Participating in the development and delivery of annual regulatory training plan for the Business as well as ad hoc trainings, as needed. </li><li>Providing Compliance input to control and regulatory incidents, Internal audits and reviews within the Business. </li><li>Standard company responsibilities </li><li>Ensuring compliance with the company's regulatory requirements under the FCA.</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.</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>Prior Compliance advisory experience from a bank, brokerage or listed derivative exchange, of at least 2 years</li><li>Some knowledge and understanding of regulatory frameworks. Those impacting listed derivatives an advantage. </li><li>Experience in leading and liaising with Exchanges and Regulators an advantage</li><li>Degree educated or equivalent and financial services industry qualifications preferable. </li></ul>Competencies <ul><li>Skilled at stakeholder management; ability to work closely with multiple internal stakeholders, able to build strong cooperative relationships at all levels.</li><li>Initiative and commitment to excellence - actively and enthusiastically attempt to influence, seek opportunities to originate action, encourage and develop new ideas.</li><li>Ability to think outside the box and provide creative solutions.</li><li>Be able to multi-task, prioritize and work to deadlines in a pressurised environment.</li><li>Strong conduct and culture lens with a focus on good customer outcomes.</li><li>Excellent verbal and written communication skills.</li><li>A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>Demonstrates curiosity</li><li>Resilient in a challenging, fast-paced environment</li><li>Ability to take 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>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.

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