field_job_employment_type

job_industry

field_job_occupational_field_parents_all

job_organization_name

The opportunity As we grow and develop the Risk &amp; Compliance function at 2plan, we are looking for an experienced Compliance Specialist to join the team. You'll be responsible for providing risk based 2LoD compliance monitoring in accordance with the Compliance Plan, and whilst managing potential conflicts of interest, provide compliance advice to business units, helping to ensure that all activities are carried out within the regulatory framework. Using your knowledge and experience of the regulatory landscape and consumer duty expectations and requirements you'll provide appropriate challenge and support to the business. This is a hybrid role with 2 days per week in our Leeds office. The benefits: <ul> <li>Salary - up to £55,000</li> <li>Bonus scheme - on target bonus 10%</li> <li>Pension scheme - contribute up to 5% of your salary and Openwork will match you and put in an extra 5%</li> <li>Critical illness cover</li> <li>Income protection - 1x salary</li> <li>Death in service - 4x salary</li> <li>27 days holiday + bank holidays, with the opportunity to buy up to an additional 10 days</li> <li>A range of other flexible benefits to include private medical insurance, dental insurance and much more.</li></ul>Key Accountabilities: <ul> <li>Supports the Risk and Compliance Director in the development and delivery of the risk assessment and Compliance Plan setting out an appropriate programme of risk-based compliance assurance activities</li> <li>Undertakes a variety of monitoring and assurance activities including compliance-based audits and risk assessments. </li> <li>Advises business areas, as appropriate, on recommended control improvements actions, driving ownership, accountability and timely completion of actions.</li> <li>Provides compliance consultancy to key stakeholders at all levels across the business to appropriately identify and manage conduct risk and support the continued development of a customer-centric culture</li> <li>Develops and maintains effective working relationships with first line operational management and key stakeholders</li> <li> Supports and pro-actively works with the Risk and Compliance Director to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.</li></ul>What will you need to succeed? Qualification/ Experience: <ul> <li>Operational compliance experience in financial services industry, in a 2LoD capacity.</li> <li>Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements. </li> <li>QCF Level 4 or similar level of professional qualification to the role</li></ul>Knowledge: <ul> <li>Maintains up to date knowledge of the regulatory landscape and emerging industry risks</li> <li>Good knowledge of regulatory framework, particularly conduct risk and Conduct of Business Rules</li> <li>Working knowledge of data protection legislation and financial crime frameworks.</li> <li>Up to date knowledge of relevant FCA Handbooks e.g. COBS, T&amp;C, SYSC, ICOB, MCOB</li> <li>Good market, risk and business awareness.</li></ul>Skills and Competencies: <ul> <li>Excellent oral/written communication, influencing, facilitation and negotiating skills</li> <li>Exceptionally well-organized, with a proven track record of maintaining detailed records and robust audit trails.</li> <li>Problem Solving, interpretation, decision making and judgement skills</li> <li>Excellent planning and organising skills</li> <li>A proficient user of Microsoft Office applications including as a minimum Word, Excel, PowerPoint and Outlook.</li></ul>Why us? 2Plan Wealth Management was Launched in July 2007 and we have continuously built on our strengths to become one of the leading wealth management firms in the UK. Our head office administration, technology and regulatory teams provide exceptional support to all our financial advisers around the country, enabling them to deliver the best possible service to clients. The client experience is paramount and all our advisers pride themselves on providing up-to-date advice and building long lasting, professional client relationships. We want all our clients to view 2plan wealth management as their trusted go-to adviser for their financial matters. At The Openwork Partnership, we're a dynamic, fast paced, and growing business with huge ambition. This is all made possible by the brilliant people who are part of The Openwork Partnership family. We're investing heavily in our colleagues, continuously striving to give them the platform to develop personally and professionally and reach their full potential. We're also very proud of our culture, as one of the Best 100 Large Companies to work for in 2022. The Openwork Partnership values, and respects individuality and we are committed to building an inclusive culture and environment which truly recognises and celebrates our colleague's individual differences and identities - just like our financial advice, for us, it's personal. We believe everyone can make a difference and your race, religion, disability, and gender will never be a barrier. At Openwork, we have a strong ethic of care for each other where you can balance a successful career with your commitments and interests outside of work. We believe that you will bring your best self to work if you are trusted to choose when, where and how you do it.

Compliance Specialist - 2plan Wealth Management

Career This is a fantastic opportunity for an experienced compliance professional looking to step into a management role. Ideal for those with several years of experience in compliance or auditing and ready to take on more responsibility. About the Role As the Senior Compliance Monitoring Manager, you will report directly to the Head of Compliance. You will oversee the Annual Compliance Monitoring Plan, ensuring that all regulatory requirements are met and the company adheres to internal policies. The primary purpose of this role is to monitor and evaluate compliance activities, identify risks, and implement corrective actions. Accountabilities <ul> <li> Lead with Vision: Manage and guide the compliance monitoring team to deliver a consistent and effective compliance monitoring programme.</li> <li> Strategic Planning: Develop and implement comprehensive compliance monitoring plans, identifying and assessing potential compliance risks.</li> <li> Thorough Audits: Conduct and oversee regular audits and reviews to ensure regulatory adherence, and implement mitigation strategies as needed.</li> <li> Insightful Reporting: Prepare and present detailed compliance reports to senior management, providing valuable insights and recommendations.</li> <li> Stakeholder Engagement: Foster strong relationships between the Compliance Monitoring team and key stakeholders, ensuring seamless collaboration.</li> <li> Stay Ahead: Keep abreast of regulatory changes and ensure our compliance monitoring framework remains aligned and agile.</li> </ul>Skills and Experience <ul> <li>Proven experience in compliance monitoring, and auditing, within financial services. </li> <li>Strong understanding of regulatory requirements and compliance standards.</li> <li>Hold a good level of leadership and management skills, to inspire and guide a team. </li> <li>Have an analytical mindset with the ability to identify and mitigate risks.</li> <li>Strong communication and report-writing skills.</li> <li>Relevant qualifications in compliance or a related discipline are preferred. </li> </ul>Benefits <ul> <li>Competitive Pension Scheme - we contribute 6%, you 3%</li> <li>26 days holiday plus bank holidays </li> <li>Private Medical Insurance</li> <li>Life Assurance (4x)</li> <li>Group Income Protection</li> <li>Work From Anywhere policy</li> </ul>Our agile working environment means you may engage in various tasks and projects, which keeps work interesting and you get to develop and grow. Department Compliance Locations London Remote status Hybrid Remote

Senior Compliance Monitoring Manager - London

Career This is a fantastic opportunity for an experienced compliance professional looking to step into a management role. Ideal for those with several years of experience in compliance or auditing and ready to take on more responsibility. About the Role As the Senior Compliance Monitoring Manager, you will report directly to the Head of Compliance. You will oversee the Annual Compliance Monitoring Plan, ensuring that all regulatory requirements are met and the company adheres to internal policies. The primary purpose of this role is to monitor and evaluate compliance activities, identify risks, and implement corrective actions. Accountabilities <ul> <li> Lead with Vision: Manage and guide the compliance monitoring team to deliver a consistent and effective compliance monitoring programme.</li> <li> Strategic Planning: Develop and implement comprehensive compliance monitoring plans, identifying and assessing potential compliance risks.</li> <li> Thorough Audits: Conduct and oversee regular audits and reviews to ensure regulatory adherence, and implement mitigation strategies as needed.</li> <li> Insightful Reporting: Prepare and present detailed compliance reports to senior management, providing valuable insights and recommendations.</li> <li> Stakeholder Engagement: Foster strong relationships between the Compliance Monitoring team and key stakeholders, ensuring seamless collaboration.</li> <li> Stay Ahead: Keep abreast of regulatory changes and ensure our compliance monitoring framework remains aligned and agile.</li> </ul>Skills and Experience <ul> <li>Proven experience in compliance monitoring, and auditing, within financial services. </li> <li>Strong understanding of regulatory requirements and compliance standards.</li> <li>Hold a good level of leadership and management skills, to inspire and guide a team. </li> <li>Have an analytical mindset with the ability to identify and mitigate risks.</li> <li>Strong communication and report-writing skills.</li> <li>Relevant qualifications in compliance or a related discipline are preferred. </li> </ul>Benefits <ul> <li>Competitive Pension Scheme - we contribute 6%, you 3%</li> <li>26 days holiday plus bank holidays </li> <li>Private Medical Insurance</li> <li>Life Assurance (4x)</li> <li>Group Income Protection</li> <li>Work From Anywhere policy</li> </ul>Our agile working environment means you may engage in various tasks and projects, which keeps work interesting and you get to develop and grow. Department Compliance Locations Bristol Remote status Hybrid Remote

Senior Compliance Monitoring Manager - Bristol

As Enterprise Manager for EMEA within Global Trade Compliance you will be responsible for the execution and maintenance of CSL's world-class import-export compliance program in the EMEA Region. Its focus is to ensure all CSL legal entities operating in EMEA are compliant with all applicable customs and trade regulations whilst maximizing feasible savings for the business. You will report into the CSL Enterprise Senior Manager, EMEA Trade Compliance You will be responsible for the day-to-day oversight of EMEA import and export transactions, ensuring compliance with local Customs and trade laws &amp; regulations including export control laws, free trade agreements, pharmaceutical products specific partner government agencies requirements: import, export permits or registrations, duties mitigation programs, HS classification, origin, preference, and customs value determination. This position is responsible to monitor compliance readiness of CSL sites in the EMEA region. You will support EMEA CSL Customs and Trade operations in the region and manage customs brokers, and or other outsourcing providers in partnership with the logistics teams. Also partnering directly with the various CSL strategic departments, business units, and functional area leaders to implement process improvements, operational excellence, and optimize duty spend with all applicable duty mitigation programs. You will work closely with the Global Trade Compliance Program function to implement CSL Global Trade Compliance Policies, deploy regional and local procedures, monitor changes in trade regulations and inform GTC management about changes and impact to CSL, monitor the compliance readiness of the region through the management of the CSL import and export compliance risk-assessment, on site compliance reviews (audits), and support all external government audits. You will interface with CSL Business Management, CSL Global Supply chain and Logistics, Regional compliance Leadership team, customs brokers, freight forwarders, internal/external legal counsel, customers, suppliers, and CMOs. Position will also provide support to develop training materials and support the CSL Global Supply Chain with all departmental goals and objectives. Responsibilities include: - <ul><li>Implementing CSL Global Trade Compliance Policies, guidelines, develop and deploy regional and local procedures, monitor the compliance readiness of the region through the management of the CSL import and export compliance risk-assessment, on site compliance reviews (audits), and support all external audits.</li><li>Monitoring regional key industry developments, legislative, and regulatory changes affecting CSL businesses, assess impact, and translate into processes and controls.</li><li>Driving efficiency throughout the import and export processes, develop import export data, duty spend and savings metric monthly reports!</li><li>Overseeing customs brokers in the region: KPIs, develop broker SOPs, adherence to contract obligations, performance, reporting of export and import data as per CSL requirements, monitoring POAs.</li><li>Lead transition and implementation to new selected brokers.</li><li>Leading on regional and local cross-functional teams responsible for EMEA region and customs operations.</li><li>Implementing the EMEA region record keeping, ensures completeness as per regional, local requirements and CSL internal Policy.</li><li>Overseeing HS and ECCN classification as well as database and GTS Master data.</li><li>Responsible for origin and preference determination, including LTSD process, customs value, duties and VAT for imports and duty program utilization as per CSL Policies. Support complex customs valuations requirements for non-commercial shipments and license/permit determination/application. Responsible for best customs regimes determination</li><li>Identifying risks and opportunities in the EMEA region and report to the Global TC team</li><li>Supporting Government audits and Customs Certifications, Internal Corporate and GTC audits. Perform post entry audits of CSL entities entries.</li><li>Identifying duty VAT for cross border tax mitigation programs, analyse cost benefits and lead implementation of duty savings.</li><li>Managing e GTS and Master data: denied parties Screening, Trade embargoes Blocks, and other IT GTS related upgrades and projects. </li></ul>Qualifications, skills, and Experience: - <ul><li>Experience in highly regulated, multi-location environments, cross functional experience is preferred.</li><li>Experience in managing complex Customs and trade operations.</li><li>Expertise in SAP GTS System and related IT projects</li><li>Experience with Customs and Export controls regulations, HS and Explanatory Notes, binding rulings, and Customs Valuation rules, as well as a thorough knowledge of entry processing, international freight industry standards and practices, and INCOTERMS.</li><li>Skilled with special Customs programs (inc. FTAs, Value Reconciliation, IPR, OPR, Tariff Suspensions, bonded Warehouse etc.)</li><li>Excellent skills in organization, prioritization, and negotiation; must excel under pressure.</li><li>Able to collaborate cross-functionally to drive peak performance.</li><li>Must be self-motivated, goal oriented, and able to work independently in producing results.</li><li>Proficient with: Microsoft Word, Excel, PowerPoint with ability to develop skills with other programs as required.</li><li>Understands Quality systems and importance of systems, operational excellence culture and behavior to organizations.</li><li>Experience in the pharmaceutical industry or other similarly regulated industry.</li><li>Ability to analyze and utilize data to drive decisions and priorities.</li><li>Able to influence and challenge senior leaders and peer groups.</li><li>Comfort around senior management.</li><li>Experience in understanding industry trends and changes to practice standards so CSL remains an industry leader.</li><li>Displays strong level of engagement at all levels of the organization.</li><li>Excellent written and verbal communications skills in English.</li></ul>Our Benefits CSL Seqirus is committed to attracting and retaining world-class employees who are valued for their contributions to achieving business objectives. Learn more about some of the benefits you can participate in when you join CSL Seqirus. About CSL Seqirus CSL Seqirus is part of CSL Limited (ASX: CSL). As one of the largest influenza vaccine providers in the world, CSL Seqirus is a major contributor to the prevention of influenza globally and a transcontinental partner in pandemic preparedness. Learn more about CSL Seqirus. We want Seqirus to reflect the world around us As a global organisation with employees in 35+ countries, CSL embraces diversity and inclusion. Learn more about Diversity &amp; Inclusion at CSL Seqirus. Do work that matters at CSL Seqirus! Watch our 'On the Front Line' video to learn more about CSL Seqirus

EMEA Enterprise Trade Compliance Manager

Company Description Job Description Hours: Full-Time - 35 Hours Work Location: 30-30 Thomson Avenue, NY, 11101 The NYC Department of Design and Construction, Office of Diversity, and Industry Relations (ODIR) seeks a Minority and Women-Owned Business Enterprise (M/WBE) Outreach and Compliance Analyst. ODIR develops and implements innovative solutions that promote economic development and contracting opportunities for Minority and Women Owned Enterprises (M/WBEs). Additionally, ODIR is charged with monitoring agency contracts for compliance with New York City Local Law I (LLI) and Local Law 129 (LLI29). The selected candidate will be responsible for assisting in establishing a sustainable strategy that will increase M/WBE utilization and foster agency relationship with the M/WBE community; serving as a single point of contact for interaction with all stakeholders; acting as a liaison between the agency and M/WBE firms; identifying obstacles to M/WBE contracting. The M/WBE Outreach and Compliance Analyst will coordinate and attend networking and outreach events; maintain diverse supplier databases and relevant contract data elements; work closely with Department of Small Business Services to advance M/WBE procurement policies; develop outreach programs designed to attract M/WBE contractors and subcontractors to projects; and facilitate meetings with vendors and construction managers to discuss and identify vendor opportunities. In addition, the candidate will set M/WBE utilization goals during the early stages of procurement, on a contract-by-contract basis, by taking into consideration the project scope and the availability certified M/WBEs capable of performing the work; be responsible for monitoring contracts for compliance with the goals throughout the life of the contract at 25%, 50% and 75% project completion. Review and approve all Requests for Approval of Subcontractors (RFAS), as well as vendor requests for contract modification. Assist with special projects and additional tasks as needed. Authorization to work in the United States is required for this position. NYC Department of Design and Construction does not provide sponsorship for international employees for visa applications, extensions or status changes, including STEM/OPT visas. Applicants are responsible for ensuring that they meet all qualifying requirements for this position, at the time of application. All applicants, including City Employees: Please go to NYC Government Jobs / Explore Careers / City of New York, go to Search for Open Jobs, and type in the Job ID # listed above. Submit job application as prompted. Do not apply via Employee Self-Service (ESS), e-mail, mail, or fax your resume to DDC directly. Qualifications 1. A baccalaureate degree from an accredited college and two years of experience in community work or community centered activities in an area related to the duties described above; or 2. High school graduation or equivalent and six years of experience in community work or community centered activities in an area related to the duties as described above; or 3. Education and/or experience which is equivalent to "1" or "2" above. However, all candidates must have at least one year of experience as described in "1" above. Additional Information The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.

M/WBE Outreach and Compliance Analyst

Company Description Job Description The New York City Department of Sanitation (DSNY) keeps New York City healthy, safe, and clean by collecting, recycling, and disposing of waste, cleaning City streets and vacant lots, and clearing snow and ice. DSNY is the nation's largest municipal sanitation agency, with nearly 10,000 employees, 59 district garages, and a fleet of more than 5,000 trucks, cars, and other types of equipment. The Department clears litter, snow, and ice from approximately 6,500 miles of City streets and removes debris from vacant lots as well as abandoned vehicles from City streets. Under Local Law 199 of 2019, the Department of Sanitation is required to implement a program known as Commercial Waste Zones (CWZ), which transfers the regulation of private waste haulers to the Department of Sanitation. DSNY is seeking four Contracts and Compliance Analysts to join the Bureau of Commercial Waste. The Contracts and Compliance Unit ensures that awardees meet all their contractual obligations regarding proper operations, recycling, safety and training, pricing, customer service, infrastructure, and disposal practices. Reporting directly to the Contracts and Compliance Manager with varying degrees of latitude for independent initiative, judgment, and decision making, the successful candidates will: -Monitor operational records and work with other units within the Bureau and the Department to identify violations of CWZ rules and instances of breach of contract. -Manage multiple contracts, from day-to-day review to in-depth compliance analysis, performance review, and other reporting. -Identify and remediate violations of CWZ rules and terms of contracts from CWZ awardees. -Training CWZ awardees in compliance and data processes. -Collaborate with agency IT, Legal and Enforcement divisions on data and compliance processes. -Produce periodic detailed reports on the status and progress of the CWZ program for internal management, City Council, and the public. -Work closely with stakeholders to facilitate a collaborative, effective, and successful implementation of the CWZ program. Qualifications 1. A baccalaureate degree from an accredited college and six months of satisfactory full-time professional experience in procurement of goods, services, construction or construction-related services, or professional, technical or administrative experience in contract negotiation/management; or 2. An associate degree or completion of 60 semester credits from an accredited college, and 18 months of satisfactory, full-time professional experience as described in "1" above; or 3. A four-year high school diploma or its educational equivalent and two and one-half years of satisfactory full time professional experience as described in "1" above; or 4. A combination of education and/or experience equivalent to "1", "2", or "3" above. College education may be substituted for professional experience under "2" or "3" above at the rate of 30 semester credits from an accredited college for 6 months of experience. However, all candidates must have at least a four year high school diploma or its educational equivalent and 6 months of the experience described in "1" above. SPECIAL NOTES: To be eligible for placement in Assignment Level II, individuals must have, after meeting the minimum requirements, either one year served at Assignment Level I or one additional year of the experience described in "1" above. To be eligible for placement in Assignment Level III, individuals must have, after meeting the minimum requirements, either one year served at Assignment Level II or two additional years of the experience described in "1" above, at least one year of which must have been supervisory, or spent performing professional procurement duties equivalent to those performed at Assignment Level III. Additional Information PLEASE NOTE: Applicants should be serving as a permanent Procurement Analyst title in order to apply OR Current City Employees working in titles similar to Procurement Analyst may also apply. Please disclose the permanent title in the Cover Letter or Resume. *Interested applicants with other civil service titles who meet the preferred requirements should also submit a resume for consideration. The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.

Contracts and Compliance Analyst

Job description At KPMG, our values define who we are and the way we do business. As a leading professional services firm, we know that our strength and capability come from our people - their different perspectives, experiences and backgrounds. From our inclusive leadership strategy to our diversity and inclusion targets - we're making bold changes to who we are and what we do. Be part of it. The Team We are currently recruiting a manager to join our successful Family Office &amp; Private Client Compliance team in Edinburgh. As a national practice our FO&amp;PC team consists of 162 team members across the UK, led by 5 Partners, 3 Associate Partners and 12 Directors. We work with a variety of high net worth individuals - from stakeholders in privately owned and entrepreneurial businesses, executives of multi-national firms, landed estates and senior members of private equity firms; who may be tax resident and/or domiciled in a range of jurisdictions. We also specialise in providing advice to Trusts and Estates, and Partnerships. If you are a highly motivated qualified tax adviser/ accountant (ATT, CTA or ACA/ACCA) with experience of working in personal tax, then we'd love to hear from you. We recognise that there are also highly motivated individuals who are qualified though experience and may not be exam qualified and we are open to considering such individuals also. The Role The is primarily a compliance role and it entails managing relationships with our compliance clients, from high net worth individuals and entrepreneurial clients to Trusts, and providing high quality compliance services on a wide range of personal tax matters. More specifically, some of the responsibilities will include:- - Ensuring the delivery of a high quality compliance service to our clients; including the review of complex and varied tax returns, capital gains calculations, land and property accounts and complex residence and remittance issues. Reviewing Trust accounts, tax computations and tax returns and maintaining strong relationships with Trustees. -Managing a diverse portfolio of varied clients and being able to identify advisory opportunities - Managing the compliance process and adhering to and developing best practice procedures to ensure deadlines are met and risk managed appropriately. - Managing work in progress and ensuring prompt billing and cash collection. Qualifications, Skills &amp; Experience Candidates interested in this role should have the following skills and qualifications: - Qualified accountant or tax advisor with experience working in a personal tax focussed environment with exposure to a varied client base. - Academically strong results in career to date coupled with a keen and insightful understanding of the issues facing private clients. - An ability to work as part of a team as well as on their own initiative. - A commitment to clients, colleagues and KPMG. - High level of analytical skills and a commercial approach to resolving issues and providing advice. - Strong interpersonal skills are required in addition to strong oral and written communication skills. In particular, the role will suit either a high performing Manager keen to work with an exciting client base and keen to progress, or a recently qualified individual looking to gain exposure to a dynamic and entrepreneurial team. We are also open to applicants from individuals with other relevant tax or accountancy experience that hold a suitable qualification and can demonstrate exceptional client service and a desire to develop in a new area of tax We recognise that as individuals, we each have particular needs and that one size doesn't fit all, when it comes to how, when and where you work. That's why we're proud to offer our colleagues flexible working options. We believe in putting you at the centre of your career - KPMG will offer the training, development and stimulating work environment to help you get to where your career ambitions are. That's why we introduced 'Our Deal' - it's our way of saying 'thank you' for bringing your best to work. As part of 'Our Deal', you'll benefit from a range of rewards from secondment opportunities and preferential banking services to a day off on your birthday and have open, honest conversations about your career development.

Private Client Tax - Compliance Manager - (Edinburgh)

By Joining Citi, you will become part of a global organisation whose mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. Team/Role Overview The European Market Infrastructure Regulation (EMIR) Regulatory Reporting Team provide oversight and controls for EMIR Reporting. The roles involve reviewing the trade submissions to the Trade Repository and ensuring completeness and accuracy of the reports. What you'll do <ul><li>Establishes and oversees the application of operational risk policies, technology and tools, and governance processes to create lasting solutions for minimizing losses from failed internal processes, inadequate controls, and emerging risks.</li><li>Assesses risks and drive actions to address the root causes that persistently lead to operational risk losses by challenging both historical and proposed practices.</li><li>Governance and oversight may include (not limited to) technology operational risk, risk for example.</li><li>Establishes and maintains a robust control environment and culture within the Citi businesses worldwide.</li><li>Assists management in achieving and maintaining strategic objectives, promotes efficiency, reduces the risk of loss and helps ensure compliance with corporate polices, procedures, laws and regulatory requirements.</li><li>Assists in assessing current status of all regulation related controls.</li><li>Recommends control enhancements as needed.</li><li>Identifies best practices to be shared with global Citi businesses.</li><li>Develops and maintains tracking metrics for management reporting and escalation.</li><li>Establishes a rapport with Business Managers, Compliance, Internal Audit and Legal.</li><li>Develops a broad and detailed understanding of the organization's landscape, culture and technology.</li><li>Understands the various businesses and the applicable regulations which govern.</li><li>Can exercise independence of judgement and autonomy.</li><li>Acts as SME to senior stakeholders and /or other team members.</li><li>Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.</li></ul>What we'll need from you <ul><li>Knowledge of EMIR regulatory reporting.</li><li>Co-ordination of BAU activities, monitoring and facilitating the implementation of BAU controls.</li><li>Point of Escalation for BAU activities.</li><li>Self-motivated, detail oriented well organised with strong verbal and written communication skills.</li><li>Ensuring all MIS is accurate and produced in a timely manner.</li><li>Ability to create and deliver presentations to senior levels of management.</li><li>Demonstrated experience in the successful implementation of projects, operational process change and improvement, preferably within capital markets operations.</li><li>Proficient in MS office.</li><li>Experience in collecting, defining and documenting business and technology requirements, test plans and other project management artefacts.</li><li>Experience in working across technology and business projects and managing inter-dependencies between the two.</li><li>Proven problem-solving and decision-making skills.</li><li>Pro-active, resilient, and tenacious.</li><li>Ability to work under pressure and manage to tight deadlines or unexpected changes in expectations or requirements.</li><li>Bachelor's/University degree, Master's degree preferred.</li></ul>What we can offer you We work hard to have a positive financial and social impact on the communities we serve. In turn, we put our employees first and provide the best-in-class benefits they need to be well, live well and save well. By joining Citi Belfast, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as: <ul><li>Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenure</li><li>A discretional annual performance related bonus</li><li>Private medical insurance packages to suit your personal circumstances</li><li>Employee Assistance Program</li><li>Pension Plan</li><li>Paid Parental Leave</li><li>Special discounts for employees, family, and friends</li><li>Access to an array of learning and development resources</li></ul>Alongside these benefits Citi is committed to ensuring our workplace is where everyone feels comfortable coming to work as their whole self every day. We want the best talent around the world to be energized to join us, motivated to stay, and empowered to thrive. Sounds like Citi has everything you need? Then apply to discover the true extent of your capabilities. Job Family Group: Risk Management Job Family: Operational Risk Time Type: Full time Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting

Operational Risk Senior Manager

<ul> <li> Email </li> </ul>Our Commodities and Global Markets businesses provide risk management, lending and financing, and physical execution and logistics services across the energy, metals, and agricultural sectors globally. The division also offers commodity-based index products to institutional investors. As part of the Compliance Division within our Risk Management Group, this highly visible role acts to support this business area and provide compliance advice and support. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility As a Senior Manager you will actively participate in monitoring for regulatory changes on the horizon and implementation and ongoing guidance in respect of rules and regulations impacting the global Commodities and Global Markets business. You will also play a pivotal role in providing regulatory and compliance guidance to the equity derivatives and trading team. Specifically, you will work on key workstreams and cross-border issues, including set up of a new US entity and hold regulator engagement, drafting of compliance policies, ongoing Compliance program implementation and Chief Compliance Officer support. What you offer Press space or enter keys to toggle section visibility <ul><li>8-12 years' legal or regulatory experience across financial markets regulatory obligations applicable to physical and cash-settled derivatives, exchange-traded products, and financing/lending products </li><li>Significant experience in over the counter (OTC) derivative obligations, including U.S. Securities and Exchange Commission (SEC) security-based swap dealer and Commodities Futures Trading Division (CFTC) swap dealer obligations </li><li>Experienced in advocacy within industry forums, such as ISDA, FIA and SIFMA, and engagement with financial markets regulators and self regulatory organisations</li><li>Excellent relationship and communications skills, with ability to help drive regulatory compliant and commercially viable solutions </li><li>Ability to draft and maintain fit-for-purpose compliance policies, procedures, and controls, perform targeted compliance testing, and manage regulatory filings</li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About the Risk Management Group Press space or enter keys to toggle section visibility In our Risk Management Group, you will be part of an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. Our divisions include Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Prudential Risk, and Risk Management Group Central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

Regulatory Compliance Senior Manager | Commodities and Global Markets

Who we are About Stripe Stripe is a financial infrastructure platform for businesses. Millions of companies - from the world's largest enterprises to the most ambitious startups - use Stripe to accept payments, grow their revenue, and accelerate new business opportunities. Our mission is to increase the GDP of the internet, and we have a staggering amount of work ahead. That means you have an unprecedented opportunity to put the global economy within everyone's reach while doing the most important work of your career. About the team At its core, Stripe is a treasury company. We fulfill our mission of growing the online economy by empowering our users to move money to and from their own user constituents, and to understand and optimize these flows. In this way, our treasury is inextricably intertwined with our products. In order to continue to build novel and powerful products for our users, our own treasury capabilities, including financial risk management capabilities, must be excellent. The Capital and Financial Risk Management team sets Stripe's financial risk strategy and develops analytical tools to promote risk-aware allocation of our resources ensuring that Stripe has sufficient capital and liquidity to support our users in all operating conditions. Within CFRM, Financial Risk Management also works closely with product and other finance teams to shape our understanding of how Stripe is performing as a business and what our best opportunities are for continued growth. We are looking for someone to join us to work alongside our business partners and our world-class engineers. What you'll do To support Stripe's growth, we're looking for a stellar candidate to join our EMEA-based team. The FRM Associate will help shape Stripe's risk management governance in the EMEA region, building deep knowledge of Stripe's liquidity, funding, and market risk systems and processes, as well as representing Treasury in key risk oversight forums. The ideal candidate will have strong technical and interpersonal skills combined with the ability to work across product, sales, data science, and engineering to drive user-centered product solutions that incorporate sound financial discipline. If you are passionate about risk-centered product management, data analytics, and driving financial discipline in company-wide decision making and strategy, we want to hear from you! Responsibilities <ul><li>Represent Treasury CFRM in interactions with EMEA 2nd Line of Defense teams and share responsibility for both board communications and responses to regulatory inquiries </li><li>Drive Stripe's approach to pricing the cost of financial resources/risk factors, predominantly capital, liquidity, and FX, at both the product and user level</li><li>Partner with product teams to design solutions that optimize across user needs, commercial objectives, and financial discipline</li><li>Collaborate with TFIN colleagues to define target business and risk metrics to ensure product performance while remaining within our financial risk appetite </li><li>Partner with data science and engineering teams to develop tooling, observability, and analytics to support this work</li><li>Further build out our financial risk governance framework, including board, management and team level key risk indicators and early warning indicators</li></ul>Who you are We're looking for someone who meets the minimum requirements to be considered for the role. If you meet these requirements, you are encouraged to apply. The preferred qualifications are a bonus, not a requirement. Minimum requirements <ul><li>5+ years of experience in one or more of: Treasury, financial risk management, deal pricing, and market risk (FX and interest rate risk)</li><li>A proven ability to work with and synthesize large-scale, complex data sets to develop observability and actionable insights to underpin both day-to-day and event-driven decision-making </li><li>Track record of strong self-management and ability to handle both high-velocity, short-term deliverables while also progressing longer-term strategic objectives </li><li>Demonstrated curiosity, resilience, problem-solving skills, and desire to contribute to a high-functioning team operating in a dynamic and fast-paced environment </li><li>Excellent verbal and written communication skills</li></ul>Preferred qualifications <ul><li>An enthusiastic "roll up your sleeves" and get things done mindset</li><li>The ability to deal effectively with ambiguity and thrive in an unstructured, fast-moving environment</li><li>An inclination to solve problems systematically via infrastructure, automation, and repeatable frameworks</li><li>A builder's mindset with a willingness to question assumptions and conventional wisdom</li><li>Experience with SQL or a willingness to learn is a strong plus</li></ul>

Financial Risk Management Associate, EMEA

Compliance support/analyst (Information Assurance) We are seeking a motivated and detail-oriented Compliance Support/Analyst to assist with the ongoing management and monitoring of compliance activities. Reporting to the Information Assurance and Security Lead, you will help ensure that we adhere to relevant regulations, standards, and internal policies, supporting the business in maintaining a robust and compliant environment. This is an excellent opportunity for someone looking to develop their career in compliance and information security, gaining exposure to a range of industry standards, including GDPR, ISO 27001, and other applicable regulatory frameworks. Key Responsibilities <ul> <li>Support with maintaining, updating, and reviewing compliance-related documentation, including policies, procedures, and guidelines, ensuring they are up to date and in line with regulatory changes.</li> <li>Assist with the preparation of reports and documentation for audits, regulatory reviews, and management reporting, ensuring accuracy and timeliness.</li> <li>Support the conduct of risk assessments and gap analyses to identify potential vulnerabilities, non-compliance issues, or opportunities for improvement.</li> <li>Assist with both internal and external audits, helping to gather and organise evidence, track audit findings, and manage remediation plans.</li> <li>Work closely with cross-functional teams, including IT, legal, and operations, to support the implementation of compliance initiatives and address regulatory requirements.</li> </ul>Key Skills and Competencies <ul> <li>Ability to review and interpret data, regulations, and policies to support decision-making and compliance activities.</li> <li>Strong focus on accuracy and quality when handling compliance documentation and reports.</li> <li>Excellent written and verbal communication skills, with the ability to effectively communicate complex compliance requirements to non-experts.</li> <li>Aptitude for identifying issues, proposing solutions, and following through with action plans.</li> <li>Able to collaborate effectively with a variety of internal stakeholders and support a culture of compliance across the organisation.</li> </ul>Essential Requirements <ul> <li>Good working knowledge of information security/compliance standards and frameworks such as ISO 27001, Cyber Essentials Plus and GDPR.</li> <li>Some experience in compliance, information security, or risk management roles.</li> <li>Previous experience in audit support would be desirable</li> </ul>

Data Compliance Analyst

Job Description Placement Student - Trade Compliance Analyst Our culture believes in POWERING YOUR POTENTIAL. We provide global opportunities to develop your career, make your community a better place and work with today's most innovative thinkers to solve the world's toughest problems. We believe in flexibility for you to explore your passions while making an impact through meaningful work within our inclusive workforce. That's what #LifeAtCummins is all about. We are looking for an enthusiastic Trade Compliance Analyst Placement Student to join our team specializing in Logistics for our Corporate/CBS segment in either Daventry, Huddersfield, or Darlington.During your placement with us, you will learn how a major global organization operates, gaining the tools and exposure you will need to become an expert in the industry and power your potential! This role is available to candidates who qualify for a placement year and will commence 7th July 2025. Responsibilities In this role, you will make an impact in the following ways: <ul><li>Financial reporting and tracking of spend and project savings.</li><li>Managing, improving and maintaining duty management systems.</li><li>Working with Customs brokers and suppliers to ensure smooth flow of goods.</li><li>Involvement and support in all Major Cross Business Unit projects.</li><li>Ensuring data integrity of all analytics and reports, development of reporting capabilities for supply chain KPIs.</li><li>Analysis and interpretation of KPIs to identify areas for improvement and action plans.</li></ul>Qualifications To be successful in this role you will need the following: <ul><li>Working towards a degree in Business/Finance/Logistics or Statistics related area. </li><li>Excellent IT Skills, in particular Excel and PowerPoint (Power BI beneficial).</li><li>Previous experience in a supply chain role would be beneficial but is not required. </li><li>Ability to understand data, solve problems and think innovatively. </li><li>Works well as part of a team with the ability to manage workload effectively.</li></ul>Working at Cummins At Cummins, we are dedicated to diversity in the workplace and our policy is to provide equal employment opportunities to all qualified persons without regard to race, gender, color, disability, national origin, age, religion, union affiliation, sexual orientation, veteran status, citizenship, gender identity, and/or expression or other status protected by law. CLOSING DATE: (Monday, 4th November 2024 11:59pm) About Us At Cummins, we are an equal opportunity and affirmative action employer dedicated to diversity in the workplace. Our policy is to provide equal employment opportunities to all qualified persons without regard to race, gender, color, disability, national origin, age, union affiliation, sexual orientation, veteran status, citizenship, gender identity and/or expression, or other status protected by law. Visit EEOC.gov to know your rights on workplace discrimination.

Placement Student- Trade Compliance Analyst

We're looking for a Regulatory Conduct Compliance Officer - Maternity Cover The Regulatory Conduct Compliance Officer Officer will be responsible for supporting the Head of Regulatory Compliance with the management and oversight of conduct risk within iwoca. This role is vital in ensuring that iwoca understands and adheres to regulatory standards, and industry best practices, particularly those set by the Lending Standards Board (LSB). The role will work closely with compliance, operations, and funnel teams to identify, assess, and mitigate conduct risks, promote, and support iwoca's objectives of ensuring good customer outcomes in our operations. About us Fast, flexible finance empowers small businesses to manage their cash flow better and seize opportunities - making their business and the economy stronger as a whole. At iwoca, we do just that. We help businesses get the funds they need, when they need it, often within minutes. We've already made several billion in funding available to over 100,000 businesses since we launched in 2012, and positioned ourselves as a leading Fintech in Europe. Our mission is to finance one million businesses. We'll get there by continuing to make our finance ever more relevant and accessible to more businesses by combining cutting-edge technology, data science and a 5-star customer service Your mission <ul><li>Conduct Risk Management: <ul><li>Develop, implement, and maintain a conduct risk framework specifically tailored to unregulated SME lending activities, aligned with the standards of the Lending Standards Board.</li><li>Identify, assess, and monitor conduct risks, ensuring effective management within our risk appetite and in accordance with LSB principles.</li><li>Collaborate with the Head of Regulatory Compliance to establish and communicate clear conduct risk policies and procedures, ensuring they reflect LSB standards.</li></ul></li></ul><ul><li>Compliance Monitoring: <ul><li>Conduct regular audits and reviews of lending practices to identify potential conduct risks, with a focus on adherence to LSB guidelines, and recommend corrective actions where necessary.</li><li>Develop and maintain a comprehensive risk register, ensuring that all identified risks are regularly reviewed and updated, particularly in relation to LSB compliance.</li></ul></li></ul><ul><li>Training and Awareness: <ul><li>Provide training and guidance to staff on conduct risk, responsible lending practices, and the importance of treating customers fairly, with a particular emphasis on LSB standards.</li><li>Promote a strong risk culture across iwoca, ensuring that all employees understand their role in managing conduct risk and maintaining LSB compliance.</li></ul></li></ul><ul><li>Reporting and Analysis: <ul><li>Support the Head of Regulatory Compliance with preparation of regular reports on conduct issues for senior management and the Risk Committee, highlighting key risks, trends, and mitigation actions, with specific reference to LSB compliance.</li><li>Analyse data and metrics related to conduct risk and customer outcomes, using insights to inform decision-making and continuous improvement, particularly in line with LSB standards.</li></ul></li></ul><ul><li>Stakeholder Engagement: <ul><li>Act as the first point of contact for conduct risk matters, working closely with internal stakeholders, including but not limited to the legal, and operations teams, and ensuring alignment with LSB standards.</li><li>Engage with external stakeholders, such as the Lending Standards Board to stay informed about emerging risks, trends, and regulatory changes.</li></ul></li></ul>Requirements <ul><li>Minimum of 3 years experience in a conduct risk, compliance, or similar role within financial services, with exposure to lending products.</li><li>Strong understanding of conduct risk principles and their application in unregulated lending environments.</li><li>Experience working with or within the standards set by the Lending Standards Board (LSB) is desirable.</li><li>Familiarity with the regulatory landscape affecting SME lending in the UK, even in unregulated sectors.</li><li>Bachelor's degree in finance, law, business, or a related field.</li><li>Professional qualifications in risk management, compliance, or a related discipline are desirable.</li></ul>The salary We expect to pay from £45,000 - £50,000 for this role. But, we're open-minded, so definitely include your salary goals with your application. We routinely benchmark salaries against market rates and run quarterly performance and salary reviews. The culture At iwoca, we look to hire smart, passionate, humble individuals with a growth mindset. We prioritise a culture of learning, growth, and support, and invest in the professional development of our team members. We value thought and skill diversity and encourage you to explore new areas of interest to help us innovate and improve our products and services. Our friendly and inclusive environment, combined with our flexible work policies, ensures that you'll have the perfect balance between work and life, empowering you to thrive both personally and professionally. The offices We put a lot of effort into making iwoca a brilliant place to work: <ul><li>Offices in London, Leeds, and Frankfurt with plenty of drinks and snacks</li><li>Events and clubs, like bingo, comedy nights, yoga classes, football, etc.</li></ul>The benefits <ul><li>Medical insurance from Vitality, including discounted gym membership</li><li>A private GP service (separate from Vitality) for you, your partner, and your dependents.</li><li>25 days' holiday, an extra day off for your birthday, the option to buy or sell an additional five days of annual leave, and unlimited unpaid leave</li><li>A one-month, fully paid sabbatical after four years.</li><li>Instant access to emotional and mental health support.</li><li>3% Pension contributions and share options.</li><li>Generous parental leave and a nursery tax benefit scheme to help you save money.</li><li>Cycle-to-work scheme and electric car scheme.</li><li>Two company retreats a year, we've been to France, Italy, Spain, and further afield.</li></ul>And to make sure we all keep learning, we offer: <ul><li>A learning and development budget for everyone.</li><li>Company-wide talks with internal and external speakers.</li><li>Access to learning platforms like Treehouse.</li></ul>Useful links: <ul><li>iwoca benefits &amp; policies</li></ul>

Regulatory Conduct Compliance Officer - Maternity Cover

The Vacancy Pro has an exciting opportunity for a Compliance Manager to join its Pro MGA Solutions team. The postholder will be responsible for supporting the existing account and compliance management oversight of each client, ensuring clients remain compliant by providing effective support to devise and embed the appropriate controls that drive professional behaviour and best practice. The Compliance Manager will be part of the Pro MGA Team reporting to the Head of Compliance and working with a Compliance Assistant. This is a full-time, permanent role working on a hybrid basis out of the London office 2 - 3 days a week. Main Duties and Responsibilities include but are not limited to: <ul> <li>Monitor and ensure mandatory training completion rates are met and maintain consistent compliance documentation and standards for the intranet</li> <li>Review policies, procedures and supporting guidance to the business and clients</li> <li>Work on embedding conduct risk requirements</li> <li>Support the process to embed a risk culture within the team and for clients</li> <li>Support the delivery of operational risk and compliance and new business projects</li> <li>Monitor and record the publications and press releases of the FCA, PRA and insurance trade bodies</li> <li>Assist in the production of structured, accurate and timely risk and compliance MI reports for the business or the Boards as appropriate</li> <li>Support the recording and assessment of the regulatory breach reporting process</li> <li>Work with the Finance team to provide data to support the regulatory reporting process</li> <li>Carry out monthly monitoring review of the regulatory risk logs, maintaining the regulatory calendar for the team and to undertake the regulatory reporting</li> <li>Chair the MGA Risk and Compliance Committee meetings</li> <li>Participate and provide guidance to the wider team about Compliance updates and changes.</li> <li>Provide compliance information and prepare reporting for Board Packs</li> <li>Work with the SMF16 to analyse and implement any new regulatory changes applicable to our business and/or clients.</li></ul>Key knowledge, skills and experience required: • Minimum of 5 years' compliance experience working within the delegated sector of insurance (preferably in an MGA) and knowledge of the delegated underwriting market and processes • People orientated with a desire to improve and develop the skills of team members through training and mentoring • Able to work under pressure to meet pressured deadlines • Ability to improve/re-engineer processes to improve timeliness, accuracy and efficiency • Good corporate financial awareness • Good understanding of London Market systems and procedures • Previous experience in a similar role in the (Re)insurance market, within a Service Provider or an operations leadership role within a Managing Agent • Excellent verbal and written communication skills • Working regulatory understanding • CII Certification desirable • Minimum of 15 hours CPD per annum including regulatory oversight. By submitting your personal data to Pro Insurance and by using our website, you give your consent that all personal data you submit as part of your application may be processed by us in the manner and for the purposes described in our HR applicant privacy policy. For further information, please refer to our Data Protection Policy, a copy of which can be requested from HR. The Company Pro is a specialist outsourcing and consulting company focused solely on the insurance and reinsurance industries. We work with clients to identify changes needed to improve their business processes, minimise operating overheads and implement the controls required to meet new regulations, delivering tailored solutions to meet clients' needs. Our UK offices are in Gloucester, Glasgow, Liverpool, Horsham and central London. We are also a global company with offices in the United States, Cologne and Unna (Germany) and Argentina. We also operate a hybrid working model so you can work at home and in the office. We provide expert support in the areas of underwriting, claims management, financial and technical accounting, and risk and auditing, utilising the best technology available on the market and adopting a proactive approach. Pro Values WE GET THINGS DONE: We commit concrete actions and do what we promise. WE DO THE RIGHT THING: With integrity at the heart of every decision, we focus on what will add most value. WE BRING NEW THINKING: We are curious, creative and insightful. We are not afraid to evolve. WE ARE IN IT TOGETHER: We are inclusive. We help each other and our clients to shine. WE ARE ENERGISED: We bring drive and enthusiasm to our work. Benefits Healthcare For yourself (you can add family members on at additional cost). Life assurance you will receive a death in service benefit equal to 4 times your salary. Holiday 25 days plus bank holidays and discretionary day off for your birthday. Training &amp; Development we have inhouse Learning and Development team that will support you, giving you the tools to succeed. Employee referral scheme Staff bonus for introducing a candidate that we employ as a result of that introduction. Pension scheme Company pension contribution up to 10%.

Compliance Manager

Starr Insurance Companies is a leading insurance and investment organization, providing commercial property and casualty insurance, including travel and accident coverage, to almost every imaginable business and industry in virtually every part of the world. Cornelius Vander Starr established his first insurance company in Shanghai, China in 1919. Today, we are one of the world's fastest growing insurance organizations, capable of writing in 128 countries on 6 continents. Roles &amp; Responsibilities <ul><li>Take the lead on developing and delivering the second line assurance plan</li><li>Maintain and develop a robust and effective second line assurance framework</li><li>Design and deliver reports and MI for the relevant committees and senior management.</li><li>Design and undertake reviews on a thematic and functional basis to ensure effective application of policies, procedures, and internal controls, as well as adherence to regulatory requirements.</li><li>Periodic testing of Starr's key risk controls</li><li>Deep dive reviews into Starr's top organisational risks. Ensure recommendations/actions are reported and completed in a timely manner.</li><li>Contribute to the success of the Risk and Compliance teams more widely e.g. horizon scanning, day-to-day guidance and delivering training</li><li>Support the company in maintaining compliance with industry and governmental lead regulations.</li><li>Contribute to the regular Risk and Compliance reports to governing bodies, providing summary updates of control testing, monitoring reviews, and business performance against company procedures.</li><li>To draft, review and keep up to date internal regulatory protocols, policies and procedural manuals.</li><li>Support team with sanction screening and sanction related queries</li><li>Assist in registrations of licensing and tax</li><li>Support with maintaining TOBA process.</li></ul>Experience <ul><li>Relevant second line experience</li><li>Awareness of Lloyd's and London Market practices (and related International Lloyd's standards);</li><li>Strong awareness of Lloyd's Principles, the FCA and the PRA.</li></ul>Skills <ul><li>Ability to understand the commercial implications of regulation;</li><li>Planning and organisational skills;</li><li>Conscientious and attention to detail;</li><li>Strong communication skills both written and oral;</li><li>Professional business writing and presentation skills;</li><li>Judgement and decision making;</li><li>Ability to act with due professional care, demonstrating sound integrity and confidentiality; and</li><li>Analytical thinking - explores and understands trends, opportunities and risks that could affect the business. </li></ul>Starr is an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and we're committed to creating an inclusive environment for all employees. We offer first class training and development opportunities to all employees. Our aim is to grow our own talent and bring out the best in people.

Risk and Compliance Assurance Officer - 6 month contract

At Allwyn Lottery Solutions we build and deliver our interactive platform for lottery gaming, including the National Lottery website, Mobile channels and an increasing suite of other products for our International client base. Our vision is to be a leading technology and professional services provider to lotteries around the world. We're a dynamic company with ambitions of changing the way in which the world engages with its lotteries. What we want to achieve is impossible without an amazing team of people, spanning sales, technology, consulting and product development. We hope you can be a part of this team. Purpose of the Role: The purpose of this role is to continue to support in developing an effective control assurance programme suitable for the organisation which will enable the compliance team to report on the control environment posture. This includes reviewing prioritised Critical/High risk controls on a regular basis, supporting the Team by reporting and detailing control gaps and failings or providing assurance that controls are effective and working appropriately. The role will cover compliance with ISO 27001, ISO 22301, ESG, Responsible Gaming, PCI DSS,SoC and new ISO or WLA standards which may be beneficial to the company. Key Accountabilities: <ul> <li>Support the implementation of the IT Risk Management Framework and process through supporting the roll out the firm's Enhanced Risk Management Framework</li> <li>Support with Identify potential threats and vulnerabilities for business processes, associated data and supporting capabilities to guide in the evaluation of enterprise risk.</li> <li>Report the status of the operation Control landscape and audit action remediation to stakeholder</li> <li>Support to identify and report on risk, including compliance, to initiate corrective action and meet business and regulatory requirements</li> <li>Support Audit and Compliance internal and external relationships, and actively contributed to the audit lifecycle.</li> <li>Maintain Terms of References, fieldwork evidence collection, agreed audit actions, closure dates, sign off from LT, to address control gaps within agreed time frame. </li> <li>Conduct regular internal audits in line with the requirements of the standards.</li> <li>Monitor industry and regulatory developments in order to identify areas of vulnerability and risk. </li> <li>Develop and support implementation of corrective/preventative action plans for the resolution of compliance issues and provide guidance and coaching on how to avoid future incidents.</li> <li>Communicate the compliance programme to all employees including management</li> </ul><ul> <li>Prepare and deliver presentations to managers and other interested parties reporting on the status of compliance initiatives. </li> <li>Meet with the business to build relationships and enhance their capability to manage risk.</li> <li>Create a defined process that allows for the evaluation, approval and adoption of all new compliance and certification activities to ensure clear ownership, documented processes, and proper controls. </li> <li>Assist in defining a Business Continuity Plan appropriate to the business.</li> <li>Conduct regular internal audits in line with the requirements of the standards.</li> <li>Identify, record, maintain and report on business risks associated with the standards.</li> <li>Preparation and maintenance of an active "Non Compliance" register.</li> </ul>Requirements Essential Experience: <ul> <li>2-5 years experience in an Compliance or Risk role within an Technology, Gaming or heavily regulated environment</li> <li>Proven track record working in Risk Management / LOD / ITor IS functions</li> <li>Proven track record working with regulators / auditors</li> <li>Thorough understanding and implementation experience of IT Risk and Control frameworks</li> <li>Knowledge and working experience of control testing / assurance / managing and conducting audits</li> <li>Detailed understanding of Technology governance processes</li> <li>Takes ownership / accountability of tasks and drives them to completion</li> <li>Constructively challenges where appropriate</li> <li>Seeks opportunities for continuous improvement to achieve 'best in class'</li> <li>Meticulous, strong attention to quality and accuracy</li> <li>Good written and verbal communication skills</li> <li>Ability to develop and present management summary concisely and succinctly</li> <li>Proven background in a results driven and team oriented company</li> </ul>Education, Qualifications, Knowledge, Skills and Experience: <ul> <li>University level degree in Business or relevant field of study</li> <li>CISSP, CISM or CISA certified desirable</li> <li>Knowledge and experience of the security products available including intrusion detection, SIEM and encryption tools desirable</li> <li>An understanding of ESG and Responsible Gaming is desirable</li> </ul>Benefits <ul><li>Be part of a dynamic team with enthusiastic experts that will support your talent and growth</li></ul><ul> <li>Embark on a journey within a diverse environment full of opportunities and challenges</li> <li>Comprehensive onboarding experience designed to facilitate your smooth transition</li> <li>Attractive salary and a bonus plan</li> <li>Health and life insurance for you</li> <li>Well-being allowance</li> <li>Developmental 360° feedback framework</li> <li>Extensive leave plan</li> <li>Employee Assistance Program with specialized Counselors / Licensed Psychologists</li> <li>Enjoyable and stable working environment</li> <li>Flexible working arrangements</li> </ul><ul><li>Modern workspace environment</li></ul><ul><li>Apple equipment and top-notch office technology to support our hybrid working </li></ul>Allwyn is an Equal Opportunity Employer which prides itself in being diverse and inclusive. We do not tolerate discrimination, harassment, or victimization in the workplace. All employment decisions at Allwyn are based on the business needs, the job requirements, and individual qualifications. Allwyn encourages applications from individuals regardless of age, disability (visible or hidden), sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion, or belief, and marriage and civil partnerships. Privacy Disclaimer By clicking "Apply" for this Job, you agree that you have read and accepted our Privacy Statement relating to job applicants and that you provide your consent for the processing of your personal data for the purposes described therein.

Audit and Compliance Analyst

At SimplyBiz, we're seeking a dynamic and experienced Head of Compliance - Technicalto provide leadership and oversight for the internal ComplianceHelpdesk team. You'll supervise, monitor and support the development of the team to deliver technical regulatory compliance support services to our members, ensuring the team operates within it's SLA's. This is a hybrid role where you'll be expected to attend the office in Huddersfield for 3 days each week. What you'll be doing: <ul> <li>Effective organisation and prioritisation of the team'sworkflow in order to meet deadlines, taking ownership and accountability for your own area.</li> <li>Ensure all members of the team have appropriate knowledge and competence to deliver core compliance services to our membership.</li> <li>Deliver training on regulatory matters to the team and other internal departments.</li> <li>Maintain and enhance your own technical and regulatory knowledge via CPD</li> <li>Promote a culture of cross-department collaboration within the group to ensure information, knowledge andexperience is shared across the business.</li> <li>Coachingand developing the team withthe ability to assess training needs.</li> <li>Setting,measuring and managingperformance standards and expectations.</li> <li>Motivating team members and creating anenvironment that fostersparticipation and challenge whilst supporting individual needs.</li> <li>Reviewing Financial Promotions and Websites for both the membership and white labelled marketing material.</li> <li>Work with relevant staff across the Group in order to maximise member recruitment, retention and services adoption.</li> <li>Assist firms with internal notifications to the regulator and other requests.</li> </ul>What you'll need: <ul> <li>Significant experience of working within the UK Financial Services industry</li> <li>Excellent knowledge of the industrywith an understanding of FCA rules and regulation and the Mortgage and Investment advice process</li> <li>Diploma in Financial Planning or equivalent</li> <li>Strong people management skills within a team environment</li> <li>Effective communication and presentation skills with the ability to adapt to audience and situation appropriately</li> <li>Strong organisational, analytical and problem-solving skills</li> <li>High level ofIT literacy with good knowledge MS Office products</li> <li>Self-motivated and proactive with a strong drive for results</li> <li>Approachable,personable and collaborative</li> <li>Flexible, "can-do" approach and comfortable working with changing priorities</li> <li>Effectively balances a strong attention to detail with seeing the bigger picture</li> <li>Comfortable making and defending decisions within area of expertise</li> </ul>Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010. We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership. We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do. For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds. Locations Huddersfield Remote status Hybrid Remote

Head of Compliance - Technical

SMBC: A trusted partner for the long term Here at SMBC Group, we want to help you find the next step in your career so read on to discover if this opportunity is the one for you. We like to recognise potential in our people, so we welcome your application even when your experience doesn't perfectly align with the job description. Whilst we'll always strive to be better, we're proud of our inclusive culture, and encourage our applicants and colleagues to be their authentic, unique selves. Section 1 - Details Job Title / Corporate Title Director: Enterprise Risk Management - Capital Assessment Department / Group Enterprise Risk Management Team, (RMD) Responsible to / Line Manager This should be a role title, not a named individual. ED, Head of Enterprise Risk Management, Direct Reports This is about scope of the role. Please include job titles and the reporting relationship. 3xDirect reports (1xVP, 2xAVP), Location London Date Prepared August 2024 Certification regime Out of scope Section 2 - Purpose of Job <ul> <li>This role is responsible for Capital Assessment through a variety of BAU and annual assessment processes. </li> </ul>Design, Implement and Manage Robust Capital Assessment Processes <ul> <li>The incumbent with be responsible for ensuring source information (for example using simplified templates) are properly designed/assigned/completed with coaching and training as necessary to source relevant information to enable production of BAU / ad hoc capital assessments with all required information to allow the analysis of key drivers at appropriate levels of granularity. Continuous evolution of the underlying processes to ensure these remain robust and fit for purpose.</li> </ul><ul> <li>Designing and implementing ad hoc stress capital measures to enable reporting against risk appetite using quantitative measures. This will include input with the design and calibration of capital risk appetite.</li> </ul><ul> <li>The role will require an experienced team manager with a successful track record of delivery and the ability to manage a variety of tasks simultaneously (across ICAAP / ICARA / ad hoc etc.) </li> </ul>ICAAP and ICARA, <ul> <li>Accountability for the production and timely management of the annual SMBC-BI ICAAP and CM Ltd. ICARA capital assessments - this will require a hands-on role approach to generate and enhance all aspects of the ICAAP and ICARA documents and providing the strategic direction for implementing a robust yet practical end-to-end consistent process (as appropriate) to generate scalable and repeatable ICAAP/ICARA reports in a timely manner.</li> </ul><ul> <li>The role will be accountable for generating regular updates for Committees (including ERMC/RMSC) and to senior management in a simplified yet informative manner (e.g., with visual aids etc.). This may include providing additional information ahead of Risk Committees and the Boards of both entities.</li> </ul><ul> <li>The role will require experience of building robust processes and will be hands-on with respect to running these processes including documentation, implementing templates / associated processes and for ensuring that the final reports are repeatable/scalable with attention to detail including reviewing input from key contributors and stakeholders in a collegiate manner. </li> </ul><ul> <li>Accountability for running a variety of Pillar 2A calculations (including for example the newly migrated concentration risk assessments using internal and regulatory methods) </li> </ul><ul> <li>Production of base and stressed capital ratios: this will require close collaboration with colleagues across the wider ERM and the Modelling team. </li> </ul><ul> <li>The incumbent will require a strong understanding of relevant risks across both entities to match the product suite.</li> </ul>Stress Testing <ul> <li>Accountability for recommending annual stress scenarios/tests and for understanding the end-to-end proposal including input into and the approval of parameters and analysing the key drivers of the results. This includes benchmarking to regulatory scenarios.</li> </ul><ul> <li>Accountability for recommending and constructing (as appropriate) ad hoc stress tests for BI and CM Ltd in response to market events; including macro parameters and design. </li> </ul>BAU <ul> <li>Production of quarterly assessments for example for concentration risk on a quarterly basis as well as developing other calculations to regularly track headroom for key P2A risks (such as concentration risk - HHI). </li> </ul>Team Management <ul> <li>Responsible for coaching and developing staff members to build a high performing team and for allocation of resources to manage a variety of BAU and adhoc tasks. The incumbent will be responsible for performance management and intervening when needed / advising to ensure tasks remain on track, given the regulatory focus and significance of the underlying processes in a timely manner. </li> </ul>Other <ul> <li>Assisting with Tracking Changes: the incumbent will be responsible for assisting with other key and relevant processes for example with relevant regulatory announcements and provide management with an update on the Bank's status to comply with these on a regular basis.</li> </ul><ul> <li>Presenting: the incumbent will be an attendee at the ERMC and provide regular updates on the current status and key contribute to discussion areas as well as working groups to ensure any detailed issues are resolved with recommendations to the ERMC (where necessary). To this end the incumbent will be required to exercise judgement to flag any slippage and risks presented to the final timeline for ICAAP and ICARA</li> </ul>Section 3 - Background This role is responsible for performing Capital Assessments through a variety of BAU and annual assessment processes and is a key role in the Enterprise Risk Management team. The organisation is undergoing significant change and transition and a number of underlying processes may require redesign. The role will require significant building strong working relationships across a variety of Risk / Finance / Planning and other Teams to ensure process enhancement in a collegiate manner. Section 4 - Facts / Scale This role reports to the ED, Head of Enterprise Risk <ul> <li> <ul> <li>Main Interfaces / Relationships: Primary reporting line to the Head of Enterprise Risk. The role holder will also provide ad hoc updates (as required) to RMD senior management including MD of Credit Portfolio and Policy and Enterprise Risk and GMs. </li> <li>Interaction with other senior members of individual functional teams on specific regulatory requirements on an adhoc basis (e.g., F&amp;C, Regulatory Reporting and Legal, etc) </li> <li>Number of reports/team members (if any): 3</li> </ul> </li> </ul>Section 5 - Accountabilities &amp; Responsibilities <ol> <li>Production of the BAU and ad hoc capital assessments (including annual ICAAP and ICARA) for BI and CM Ltd. <ul> <li>Providing practical hands-on assistance to team members</li> <li>Producing capital ratios (base and stress) and recommending / producing regular assessments (e.g. tracking key P2A risks on a quarterly basis)</li> <li>Assisting with preparation for regulatory visits such as SREP (e.g., agenda planning, production of materials, summaries etc).</li> <li>Enhancing / providing input into the Capital risk appetite</li> </ul> </li> </ol> <ol> <li>Design robust end to end processes with documentation / continuous evolution.</li> <li>Stress Scenario construction including input with parameters. </li> <li>Assisting with interpreting and implementing new regulatory requirements (as relevant for RMD) and tracking progress</li> <li>Assistance with RRP</li> <li>Providing technical and regulatory services to EMEA entities (when required)</li> <li>Team Management: 3 team members</li> </ol> Section 6 - Knowledge, Skills, Experience &amp; Qualifications <ol> <li>Strong team management skills with experience of successfully leading ICAAPs/ICARAs in a timely manner with a good understanding of underlying drivers and processes. </li> <li>Proficient at producing high quality reports using standard Microsoft packages Word / Excel / PowerPoint and proficient with charts / tables / presentations.</li> <li>Experience at setting team goals and reprioritising when required to successfully meet key targets;</li> <li>Experience at motivating team members and providing performance feedback to ensure continuous improvement. </li> <li>Experience of managing timelines for key deliverables and ensuring any slippage is appropriately managed / communicated.</li> <li>Excellent communication skills (written and oral) to senior management </li> <li>Experience of managing risk and regulatory matters in a UK bank / financial institution</li> <li>Likely educated to degree level and possibly holding a specific risk management professional qualification</li> <li>Experienced at assessing risks from a variety of products across BI and CM Ltd.</li> </ol> Section 7 - Challenges (This section is optional) <ul> <li> <ul> <li>Complexity of regulation and its application to and implementation within the bank and its business.</li> <li>Substantial organisational change and need to enhance processes and successfully implement.</li> <li>Need to stakeholder manage key documents with multiple areas / contributors. </li> </ul> </li> </ul>Section 8 - Dual-Hatting <ol> <li>Dual-Hat Details (only required if different to the employing entity details)</li> </ol> Dual-Hat Job Title: Dual-Hat Line Manager: Dual-Hat Direct Reports: Dual-Hat Certification Regime: <ol> <li>Dual-Hat Roles and Responsibilities </li> </ol> You will be required, from time to time, to undertake tasks on behalf of the dual-hat entity, as necessary. <ol> <li>Dual-Hat Conflict of Interest</li> </ol> <ul> <li>You will have responsibilities for both SMBC BI and Nikko CM</li> <li>You will be required to perform your duties and responsibilities on an entity neutral basis, without favour</li> <li>You are required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of SMBC BI and Nikko CM</li> <li>Working terms are dictated by functional mandates in place between SMBC BI and Nikko CM and any other relevant agreements entered between SMBC BI and Nikko CM</li> <li>You have responsibility for identifying and resolving where there may be a difference or conflict in needs between SMBC BI and Nikko CM, escalating to your manager/Compliance officer where required</li> </ul>We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We'll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.

PERM - RMD - Enterprise Risk Management - Capital Assessment - Director

At Just we encourage a flexible and agile working environment for the majority of our opportunities. Get in touch with us to discuss in more detail. Who are Just? We're a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. With the defined benefit buy in / buy out space growing each year, Just continues to annually grow its business by over £2bn of assets. We are a purpose driven company with compelling and credible goals. Quite simply, we help people achieve a better later life. We achieve this by providing competitive and innovative products, services, financial advice and guidance to help our customers achieve security, certainty and provide them with peace of mind in retirement. That's who we are. We're a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement. About the role The Compliance Specialist (Regulatory Intelligence) will make a significant contribution to the effectiveness of the Compliance function through the provision of comprehensive support and ongoing analysis of regulatory risk, including but not limited to the provision of regulatory intelligence through horizon scanning to identify future regulatory changes. You will work proactively with first line colleagues across the Group to promote best practice with the aim of reducing regulatory risk. The role holder will also contribute to the development and maintenance of a robust Consumer Duty culture. As part of a wider team, you will also provide support for the wider Compliance function. Responsibilities <ul><li>Undertake horizon scanning to ensure the function identifies, communicates, supports and monitors the implementation of regulatory change (i.e new / amended regulatory initiatives impacting Just) covering both FCA and PRA conduct and prudential regulatory regimes to ensure compliance.</li><li>Provide broad regulatory and compliance support and expertise to projects and/or regulatory change programmes. Delivering by business partnering with key stakeholders across the Group to ensure that these are delivered without increasing exposure to unacceptable regulatory risks. Assisting the business in achieving its objectives and to ensure compliance with current legislation and best practice</li><li>Provide consultancy support and technical expertise on key FCA regulatory areas of focus including but not limited to conduct and Consumer Duty.</li><li>Provide consultancy and technical expertise on key PRA regulatory areas of focus including but not limited to Solvency UK.</li><li>Ongoing collaboration with colleagues across other first and second line to facilitate appropriate and timely support to key stakeholders across the Group particularly in respect to the assessment of the impact and priority of regulatory change both from an operational perspective but also impact to the Groups strategy and ability to deliver its purpose of helping people achieve a better later life.</li></ul>Skills &amp; Knowledge <ul><li>Proven record of accomplishment in financial services compliance, preferably in the life insurance firm sector, providing regulatory consultancy in respect of both FCA and PRA regulatory framework.</li><li>Experience of regulatory change identification and analysis of impact to business operation and strategy a key advantage</li><li>Oversight of successfully implemented regulatory change.</li><li>Good understanding of the regulatory framework operating within the UK.</li><li>Ability to maintain up-to-date knowledge of regulatory developments</li><li>Excellent communication, presentation and relationship-building skills with the ability to communicate effectively to a variety of audiences</li><li>Solution oriented</li><li>Strong influencing skills and confident in providing advice and recommendations to senior stakeholders</li><li>Customer focused with the ability to apply a Consumer Duty lens to the communication and implementation of regulatory intelligence &amp; a strong understanding of all Just products and distribution channels</li><li>Excellent organisation &amp; project management skills and able to meet deadlines</li><li>Strong report writing skills and the ability to tailor such to the required audience ensuring both accuracy and clarity.</li></ul>Company Benefits <ul><li>A Competitive Salary, Pension Scheme and Life Assurance</li><li>Along with 25 Days Annual Leave plus an Additional Day on us for your Birthday</li><li>Private Medical Cover and Income Protection, just in case</li><li>A generous and highly achievable bonus scheme - paid annually based on individual and company performance against targets</li><li>Opportunity to progress within your career both in-role and within the company</li><li>FREE access to the Headspace App, a 24/7 Employee Assistance Helpline and Trained Physical &amp; Mental Health First Aiders (On-Site)</li><li>A variety of Employee Funded Benefits available to you via our Online Benefits Portal</li><li>Plus, several additional purchase options available for you and your loved ones</li></ul>About Us We're a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. How people work, save, and plan for the future is all changing. A new generation of retirees needs a new kind of retirement company. A company who will look for new ways of doing things - and will always put the customer first. That's who we are. We're a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement. And with you on our team, we're going to make sure they get it. We've built our sustainability strategy around the United Nations Sustainable Development Goals (SDG) and have selected goals where we believe we can make the most difference. By aligning our activity with these global goals, we can make sure we play our part in addressing the wider issues facing the planet and leave a positive legacy to the world. You can read more about our sustainability strategy here. Diversity, equity and inclusion are priorities for us. Having a diverse, talented workforce with colleagues of different backgrounds, world views and experiences is the right thing to do. It's also the most effective way to succeed, innovate and better serve our customers now and in the future. We are committed to our targets on gender and ethnicity and run a number of successful mentoring and sponsorship programmes for our colleagues from diverse backgrounds. We have multiple active employee network groups which champion issues including gender, ethnicity, sexual orientation, disability and neurodiversity. You can read more about our DE&amp;I strategy and commitments here. What's clear about working at Just is that we care. We care about our customers, our purpose, our environment, inclusivity, wellbeing and most importantly - each other. We look forward to welcoming you to the team soon.

Compliance Specialist (Regulatory Intelligence)

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: <ul><li>Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.</li><li>Providing guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.</li><li>Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.</li><li>Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product.</li><li>Supporting the function/business/product in performing timely compliance reviews of new products.</li><li>Assisting in the development and administration of Compliance training for the supported function/business/product.</li><li>Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.</li><li>Additional duties as assigned</li><li>Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.</li></ul>Qualifications: <ul><li>Knowledge of Compliance laws, rules, regulations, risks and typologies</li><li>Must be a self-starter, flexible, innovative and adaptive</li><li>Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization</li><li>Strong written and verbal communication and interpersonal skills</li><li>Ability to both work collaboratively and independently; ability to navigate a complex organization</li><li>Ability to both work independently and collaborate with team members</li><li>Excellent project management and organizational skills and capability to handle multiple projects at one time</li><li>Proficient in MS Office applications (Excel, Word, PowerPoint)</li></ul>Education: <ul><li>Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred</li></ul>By joining Citi London, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as: <ul><li>Generous holiday allowance starting at 27 days plus bank holidays; increasing with tenure</li><li>A discretional annual performance related bonus </li><li>Private medical insurance packages to suit your personal circumstances</li><li>Employee Assistance Program </li><li>Pension Plan </li><li>Paid Parental Leave </li><li>Special discounts for employees, family, and friends </li><li>Access to an array of learning and development resources </li></ul>Job Family Group: Compliance and Control Job Family: Product Compliance Risk Management Time Type: Full time Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting

Markets Compliance Officer - Vice President

Job Description One of the leading educational establishments in North Wales, has an opportunity for a Funding and Compliance Officer to join its dynamic team based in Llangefni, Anglesey in a temporary full time position up until the end of December 2024. Reporting to the Department Manager, as a Funding and Compliance Officer your main responsibilities will be to: <ul> <li>Ensure compliance with grant scheme rules by correctly interpreting and implementing grant scheme funding rules, ensuring that only eligible expenditures are claimed, and all supporting evidence meets the necessary compliance requirements</li> <li>Manage financial and non-financial evidence by verifying, reconciling, and monitoring all financial and non-financial evidence to support grant claims, ensuring accuracy and completeness for timely submissions</li> <li>Liaise with stakeholders and support audits, collaborating with project managers and external auditors to ensure compliance with all grant requirements and assist with both internal and external audits</li> <li>Optimise grant eligibility and budgets, providing operational advice to maximise grant claim eligibility and manage project grant budgets, ensuring flexibility and full utilisation of available funding</li> <li>Maintain and operate EFU Systems, ensuring the accurate operation and continuous improvement of EFU systems and processes to maintain compliance with financial, procurement, and grant scheme regulations</li></ul>We are keen to see your CV if you have the following skills and experience: <ul> <li>Previous experience in a similar Compliance and Funding based role with a demonstrable record of operating project grant systems and successfully implementing and applying Revenue Grant Funding rules </li> <li>Ability to hold a basic / intermediate conversation through the medium of Welsh (may struggle to keep up fully)</li> <li>Educated to level 3 with a good general standard of education to include GCSE at Grade C, or above, in English and Maths, or equivalent</li> <li>Prince 2 qualified at Foundation level or relevant experience</li> <li>Excellent IT skills including MS Office </li> <li>Ability to work to deadlines, in a confidential manner </li> <li>Ability to work as a team member and be flexible, adaptable, and approachable</li> <li>Ability to travel to different sites as and when required </li> <li>A Current Enhanced DBS Certificate, or willing to undertake a DBS check is essential</li></ul>This is a full- time role working 37 hours per week Monday to Friday until the end of Feb 2025. In exchange, you will receive an hourly payrate of £14.15 per hour plus holiday pay. If this sounds like just the challenge, you have been looking for please apply today!

Funding & Compliance Officer

The Vacancy In this newly created role, the incoming hire will work as a key member of the Compliance Advisory team, supporting the business with regulatory advice in relation to financial markets trading, corporate, custody and wealth services. Key Responsibilities <ul> <li>Support the Advisory Manager in providing the business with advice in line with FCA and other regulatory requirements.</li> <li>Assist in the creation and delivery of compliance training, policies and internal procedures;</li> <li>Perform investigations into the activities within the business to ensure compliance with internal policies;</li> <li>Assist in the analysis of new regulation and delivery of ad-hoc Regulatory Projects</li> <li>Assist in the analysis of new business initiatives, applicable regulatory obligations and associated risk impact.</li> <li>Oversee day to day compliance matters which may include responsibility related to control room, operational and other core compliance queries and tasks;</li> <li>Utilise and build knowledge and experience of Capital Markets</li> <li>To represent the Company and communicate effectively with Group stakeholders, clients, employees, regulators, legal authorities, professional associations and other relevant stakeholders</li> <li>To maintain and enforce a strong compliance culture and champion the Company's integrity, accountability, responsibility, ethics, behaviors &amp; values</li></ul>Required Skills and Experience <ul> <li>2+ years' relevant experience in a financial Compliance related role</li> <li>Outstanding relationship management and communication skills</li> <li>Strong problem solving and organisational skills</li> <li>Good understanding of organizational and governance processes</li> <li>Strong Microsoft office skills</li></ul>Benefits <ul> <li>Competitive salary plus discretionary annual bonus &amp; annual pay review</li> <li>Work Abroad Policy for up to 15 days per year</li> <li>25 days holiday plus bank holidays and additional well-being day</li> <li>Option to purchase an additional 5 days holiday per year</li> <li>Flexible working options available, including hybrid working</li> <li>Pension scheme up to 10% employer contribution</li> <li>Sharesave scheme</li> <li>Income Protection &amp; Life insurance (4 x salary core level of cover)</li> <li>Private health care via BUPA</li> <li>Employee Assistance Programme</li> <li>Discounted Gym Membership</li> <li>Variety of travel to work schemes</li></ul>Company benefits are provided on completion of either six months service, or a successful probation period whichever is sooner. Entitlement outlined above is in respect of full-time entitlement, and will be provided to part-time workers on a prorate basis in accordance with the relevant scheme rules. All benefits are subject to rules of the scheme and associated provider. The Company in its sole and absolute discretion reserves the right to discontinue, vary or amend any of the aforementioned benefits. At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don't tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life. We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role. To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you. The Company Winterflood Securities is a leading market maker committed to providing liquidity and flexible execution services to retail brokers, asset managers and institutional investors. Winterflood's strengths are a combination of traditional trading values and the performance of our own cutting edge technology. Our experienced team of traders helps clients achieve high quality execution in over 15,000 tradable instruments including UK, European and North American Equities together with Investment Trusts, Exchange Traded Products, Fixed Income, Structured Products and Funds. Founded in 1988, Winterflood has gone from being a niche market maker in the UK Small Cap market, to a mature, diverse and major liquidity provider across multiple asset classes in the UK and European markets. Winterflood is authorised and regulated by the Financial Conduct Authority. Winterflood Securities is a wholly-owned subsidiary of Close Brothers Group plc, a specialist financial services group which makes loans, takes deposits, trades securities and provides advice and investment management solutions to a wide range of clients. Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading. We employ approximately 4,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange. Inclusion The Benefits Private medical Discounted health checks Stakeholder pension contribution Gym discounts Cycle to work scheme Save As You Earn scheme Purchase additional holiday Previous Next Charity &amp; Sustainable work At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees' favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them. To find out more detail please follow the link below: <a href="https://www.closebrothers.com/charity" target="_blank">https://www.closebrothers.com/charity</a>. Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future. To find out more detail please follow the link below: <a href="https://www.closebrothers.com/sustainability" target="_blank">https://www.closebrothers.com/sustainability</a>.

Analyst - Compliance Advisory

Line of Service Assurance Industry/Sector Not Applicable Specialism Risk Management Level Senior Manager Job Description &amp; Summary About the role: We are seeking a Senior Manager to join our Risk and Resilience team in Macro Risk Services to focus on Enterprise Risk Management. If you would like to work with the senior management teams of some of the UK's leading non-financial services companies, have strong problem solving skills, intellectual agility and can build deep and productive relationships, our practice could be the right opportunity for you. What your days will look like: You'll work across a diverse range of well-known clients and have the opportunity to build experience designing and implementing risk management frameworks to help Boards identify, assess and manage the most significant risks in their organisation. If you're successful you'll undertake client work which includes for example: <ul><li>Managing and delivering assignments, both independently and as part of a team</li><li>Developing and managing client relationships and identifying new opportunities</li><li>Creating customised risk management and resilience frameworks and processes</li><li>Conducting risk identification interviews and facilitating executive-level risk assessment workshops</li><li>Designing risk reporting templates, dashboards, and key risk indicator suites</li><li>Performing risk analytics, delivering risk management training, and providing ongoing risk monitoring support</li></ul>This role is for you if: We're looking for motivated, passionate and enthusiastic individuals who will relish the opportunity to work in a growing team, with a portfolio of varied assignments and with significant possibilities to progress within the firm. The successful applicant will have practical experience, ideally gained within a large consultancy or client organisation, of conducting some or all of the following activities: <ul><li>Highly confident and resilient, able to assert yourself with senior clients (Executive and Board level)</li><li>Strong technical risk management knowledge with experience in developing and implementing practical risk management processes in non-FS businesses</li><li>Excellent presentation skills with experience in planning and facilitating workshops/risk exercises for senior audiences</li><li>Solid financial and commercial acumen with an understanding of corporate governance requirements</li><li>Strong interpersonal communication skills, capable of building trust and rapport with diverse stakeholders</li><li>Proven team management skills, including coaching junior resources and managing multiple simultaneous projects</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 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

Enterprise Risk Management - Senior Manager

Job Description OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. YOUR IMPACT Compliance, Legal and the Conflicts Resolution Group (CLC) work at the intersection of finance and control functions, enabling the firm to conduct business with the highest level of integrity. The expertise and experience of the three divisions address the legal, compliance and reputational risks facing Goldman Sachs. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales and trading. <ul> <li>Global Compliance prevents, detects and mitigates compliance, regulatory and reputational risks across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program as a part of the firm's second line of defense.</li> <li>The Legal Division's advice and counsel provided to all areas of the firm are critical for maintaining our commitments to our clients, regulators and shareholders and to promote our culture of excellence and integrity. Our goal is to provide legal advice that protects the firm's financial well-being and reputation and assists our various businesses in evaluating the risks associated with completing transactions and other activities.</li> <li>The Conflicts Resolution Group (CRG) is a control function whose mission is to evaluate advisory, financing, principal investing, lending and certain other activities to identify actual or perceived conflicts of interest and assess the potential reputational risks resulting from the potential intersection among new and existing roles, positions and responsibilities that the firm may have.</li></ul>The Core Compliance Team is at the forefront of delivering robust compliance risk management in adherence with regulator expectations. We are looking for a team member who can help drive our Enterprise Compliance Risk Management program forward, by collaborating with first and second line teams, including engineering, Operational Risk, business and compliance globally. The successful candidate should demonstrate an understanding of regulatory change management practices, including strategic technology solutions, awareness of financial services businesses and products and regulatory authorities. Individual should be highly organized and comfortable interacting with senior audiences. We are looking for someone with experience managing regulatory change and mapping activities countries and has experience in operational or compliance risk management. The role requires collaboration, organization and innovation. Examples of duties include: <ul> <li>Support the design and implementation of strategic and sustainable regulatory inventory and traceability process <ul> <li>Incumbent must be comfortable influencing all levels of staff to drive change. </li> </ul></li> <li>Align and continuously evolve strategy for managing a Regulatory Inventory and mapping to relevant parts of the Risk Management Framework, including policies and controls </li> <li>Engage key stakeholders to make strategic decisions, prioritize implementation plans and manage volumes.</li> <li>Oversee consistency across pillars and divisions; identifying and addressing opportunities</li> <li>Facilitate reporting and information sharing</li> <li>Manage regulatory mapping activities across Compliance and the Firm globally</li> <li>Manage vendor content, including identifying opportunities for automation and and engage strategically for efficient and optimized vendor information</li> <li>Partner with and direct vendors to deliver against GS expectations.</li> <li>Manage requests and exams from outside regulators and internal audit.</li> <li>Represent Compliance in first line and second line led remediation efforts.</li></ul>BASIC QUALIFICATIONS <ul> <li>5+ years of experience in Financial Services, with risk, legal, compliance and/or project management experience </li> <li>Bachelor's Degree </li> <li>Professional experience in handling various regulatory change objectives</li> <li>Advanced PowerPoint and Excel skills, with an ability to learn new tools quickly</li> <li>Program management and reporting capabilities</li> <li>Strong understanding of Compliance program mandates and Operational Risk Frameworks Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines</li> <li>Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders </li> <li>Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders</li> <li>Experience in delivering high quality work products, reflecting attention to detail </li> <li>Work independently and exercise strong judgment when executing an assigned task </li> <li>Multi-task and have the ability to manage and advance multiple projects simultaneously.</li> <li>Identify and effectively escalate potential issues to appropriate person(s)</li></ul>ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: <a href="https://www.goldmansachs.com/careers/footer/disability-statement.html" target="_blank">https://www.goldmansachs.com/careers/footer/disability-statement.html</a> © The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

551 Jobs in United Kingdom