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Summary We are looking to appoint an experienced compliance professional to the newly created role of Quadrant Compliance Manager. Working with the South Quadrant Assistant Director and Academy Principals, the position will oversee all aspects of compliance for the South Quadrant in London. This role will involve regular travel to each of the academy sites and will have a base site at Harris Academy Morden. The purpose of this role is to ensure that each academy in the South Quadrant is both compliant and has outstanding operational management. We are looking for an experienced compliance manager who can help develop processes across the South Quadrant, both strategically and at academy level. We are interested to hear from talented individuals who have the skills and ability to help build a robust and best practice culture of constant excellence that will put learning first. About Us The South Quadrant comprises: <ul> <li>Harris Academy Morden</li> <li>Harris Academy Merton</li> <li>Harris Academy Purley</li> <li>Harris Academy South Norwood</li> <li>Harris Academy Sutton</li> <li>Harris Academy Wimbledon</li> <li>Harris Invictus Academy</li> <li>Harris Aspire Academy</li> <li>Harris Professional Skills Sixth Form</li> </ul>Main Areas of Responsibility We are looking for an experienced and enthusiastic individual who can: <ul> <li>Lead on compliance work across the South Quadrant and ensure all academies are compliant with statutory requirements at all times.</li> <li>Ensure that specialist staff in each academy are supported, developed and challenged to ensure that they take responsibility at a local level for statutory compliance</li> <li>Provide specialist professional development in areas of compliance for academy-based staff</li> <li>Liaise with the Federation central team on behalf of academies within the quadrant to ensure compliance issues or concerns are dealt with quickly and effectively</li> </ul>The main areas of responsibility include: <ul> <li>Quadrant FSM/Pupil Premium Compliance</li> <li>Quadrant Medical &amp; First Aid Compliance</li> <li>Quadrant Asset and Contract Register Compliance</li> <li>Quadrant Heath &amp; Safety Compliance</li> <li>Quadrant Data Protection Compliance</li> <li>Safer Recruitment Procedures and Single Central Record</li> <li>Project Management across the quadrant</li> <li>Lettings across the Quadrant</li> </ul>Qualifications &amp; Experience We would like to hear from you if you have: <ul> <li>At least five years' experience working an office environment</li> <li>At least two years' experience of managing a team</li> <li>Education to degree level or equivalent</li> <li>Good verbal and written communication skills and working with stakeholders</li> <li>Knowledge of Microsoft software packages</li> <li>Secure knowledge of health and safety legislation</li> <li>Secure knowledge of human resources legislation</li> <li>Basic knowledge of financial procedures</li> <li>Knowledge of procurement processes</li> <li>Knowledge of the key principles of staff management (desirable)</li> <li>Experience of working in an inner-city academy or educational establishment (desirable)</li> <li>Professional qualification e.g. CIPD or equivalent to NVQ Level 4 (desirable)</li> </ul>Next Steps If you have any questions about this opportunity, please contact us via e-mail, or call to arrange a conversation. Before applying, please download the Job Pack for full details on the job responsibilities and person specification. You will need this when completing your application. Please note: we may hold interviews as and when applications are received and we reserve the right to offer to a candidate prior to the closing date. We only accept applications submitted online via our careers website and which are completed before the closing deadline. With this in mind, we encourage you to apply as soon as possible and advise you check the job information as per the listing on our careers site. Rewards &amp; Benefits Our people are at the heart of our success. We have developed a strong culture of collaboration and best practice, with professional development and career planning at its centre. We invest in our staff with support, coaching, mentoring, and a wide range of top-quality training programmes delivered at every level. In addition to the opportunities for career development and progression, we also offer a competitive rewards and benefits package which includes our Harris Allowance for teachers on MPS/UPS, a Performance and Loyalty Bonus, Pension Scheme with generous employer contributions, a Wellbeing Cash Plan and many other benefits. Learn more about our benefits on our website. Safeguarding Notice The Harris Federation and all our academies are committed to ensuring the highest levels of safeguarding and promoting the welfare of children and young people, and we expect all our staff and volunteers to share this commitment. All offers of employment are subject to an enhanced Disclosure and Barring Service (DBS) check, references, an online search, and where applicable, a prohibition from teaching check will be completed. Equal Opportunities The Harris Federation is an equal opportunities employer and welcomes applications from all suitably qualified candidates. We value the diversity of our staff and students, and everyone at the Harris Federation is equally valued and respected. We aim to be an inclusive employer that reflects the communities we serve. We are committed to providing a fair, equitable and mutually supportive learning and working environment. See all the benefits we offer Join our Talent Network Recruitment of ex-offenders statement Diversity and equality notice Before you start your application... Email communication Please remember to check your junk mail folders for our email communications. You will receive a confirmation email once you submit, or save the progress, of your application. Please check your junk/spam folder and add us to your safe senders list to ensure all future email communication is received. This is important to ensure you are kept up to date on the status of your application and to avoid delays in the recruitment process. Applying online We strongly advise that you complete the personal information section first and then save the progress of your application. You can return at any time to update and complete the rest of the application. Please ensure you regularly save the progress of your application to avoid losing any data. Once saved, you will receive an email with instruction on how to retrieve your application using a unique code. To submit an application, you'll need to have ready: <ul> <li>Personal information about you</li> <li>Details of your education and employment history</li> <li>Details of any qualifications and training gained</li> <li>A CV and/or supporting statement to upload</li> </ul>Using your CV or LinkedIn profile to apply: To reduce the application time, you will have the option to upload a CV or use your LinkedIn profile when applying for the job. The information in your CV or LinkedIn profile will auto populate the relevant sections of the online application, but please ensure you check this before submitting. If you have applied to work with us before, you can reuse and update an existing application. Need any help and support? Visit our Help and Support page for FAQs and support with completing your application. We look forward to receiving your application.

South Quadrant Compliance Manager

Job Description YOUR IMPACT Are you a strategic thinker with a strong work ethic, desire to work within a growing global business, and ability to think outside the box? Analysts/Associates on the Global Risk Management Team will gain exposure and access to senior managers in PWM, build expertise in risk analysis and risk management, and develop a deeper understanding of the PWM business on a macro level. The team is seeking a candidate who has the ability to thrive in a fast paced environment where attention to detail, strong communication skills, and passion for working with others are essential to maintaining and enhancing our business. OUR IMPACT Private Wealth Management (PWM) secures, develops and manages relationships with high net worth individuals, their families, family offices and foundations. PWM assists clients with building and preserving their financial wealth by creating and implementing long-term asset allocation within the context of each client's particular risk tolerance, and by providing access to innovative investment ideas and opportunities. PWM professionals develop customized investment strategies and offer a full array of wealth management products and services, including private banking and trust company services. The PWM Global Business Risk Management team is the In-Business function that provides analysis, review and management of the client, product, and platform related risks of the PWM business. We are looking for an analytical and quantitative Analyst or Associate or to work on the team, based in London. This role focuses on credit and suitability risks: our exposure to our clients through their investing and trading activities using leverage, complex products or more volatile asset classes. You will work closely with EMEA and Asia PWM Management Teams, Credit Risk Officers, PWM Product Specialists and Private Wealth Advisors to review and advise on various activities. HOW YOU WILL FULFILL YOUR POTENTIAL <ul> <li>Review and analyze client portfolios from a credit risk and suitability risk perspective.</li> <li>Counterparty Credit Risk - risk to GS balance sheet from client default via derivatives and lending <ul> <li>Help to provide regular portfolio reviews to senior PWM management in both Asia and EMEA - deep and wide ranging analysis on our clients' portfolios and our corresponding credit exposures.</li> <li>Daily ongoing monitoring of clients exposing the firm to counterparty credit risk via derivatives or borrowing - helping ensure clients meet margin calls in a timely manner, reviewing swings in client portfolio values that may drive margin calls and scanning our overall universe of accounts to find similar exposures.</li> <li>Help with analysis and implementation of improvements to our risk management infrastructure.</li> <li>Work with Strats team to develop specific risk analytics/reporting to be used internally and/or externally with clients.</li> </ul></li> <li>Suitability Risk - risk to client loss via investing / trading relative to their wealth, sophistication, or risk tolerance <ul> <li>Ongoing monitoring and assessment of clients, their wealth and sophistication vs. their products and portfolios with GS.</li> <li>Periodic portfolio reviews.</li> </ul></li></ul>WHERE WILL YOU MAKE AN IMPACT Our Private Wealth Management business spans the globe and you will be working with individuals in EMEA and Asia. QUALIFICATIONS EXPERIENCE &amp; SKILLS WE'RE LOOKING FOR <ul> <li>Minimum of 2 years of experience in a financial organization, preferably in the private wealth high net worth area or a Credit/Market Risk function.</li> <li>Good base of derivatives knowledge - pricing, risk management of structured products, options and more exotic derivatives.</li> <li>Experience in risk analysis and management - VaR and Stress Testing.</li> <li>Exposure to Margin / Collateral Management systems.</li> <li>Outstanding analytical skills; ability to work with detailed financial or other data and understand and communicate commercial implications.</li> <li>Exceptional communication and interpersonal skills; confidence to work closely with senior management</li> <li>Highly organized with attention to detail </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.

Asset & Wealth Management - Wealth Management Risk Team, Analyst/Associate, London

Deskpro, a leading provider of help desk software, is seeking a Security and Compliance Manager to join our team. As a Security and Compliance Manager at Deskpro, you will be responsible for ensuring the security and compliance of our software and systems, as well as implementing and enforcing policies and procedures to safeguard sensitive data. We take security seriously, and we work with many enterprise and government clients. In this role, you will have the opportunity to make an impact and contribute to the continued success of Deskpro as a trusted provider of secure help desk solutions. Responsibilities: <ul> <li>Manage all existing security and compliance security policies, practices, procedures and systems</li> <li>Where required, develop and implement additional security policies, practices and procedures</li> <li>Ensure compliance with relevant industry standards and regulations</li> <li>Monitor and assess potential security risks and vulnerabilities</li> <li>Design and implement security controls, including authentication, encryption, and access controls</li> <li>Perform regular security audits and vulnerability assessments</li> <li>Engage with customers and prospects regarding custom security and compliance requests</li> <li>Conduct security incident response and investigations</li> <li>Educate and train employees on security best practices</li> <li>Maintain awareness of emerging security threats and solutions</li> <li>Collaborate with cross-functional teams to implement security measures</li> <li>Stay up-to-date with industry trends and best practices in security and compliance</li> </ul>Requirements <ul> <li>Proven experience in a similar role, with a focus on security and compliance</li> <li>Deep knowledge of relevant industry standards and regulations (e.g., SOC 2, ISO 27001, GDPR, HIPAA)</li> <li>Strong understanding of security principles, technologies, and best practices</li> <li>Experience in developing and implementing security policies and procedures</li> <li>Familiarity with security tools and technologies, such as intrusion detection systems, firewalls, and data encryption</li> <li>Ability to assess and mitigate security risks</li> <li>Excellent communication and interpersonal skills</li> <li>Ability to work independently and collaboratively in a fast-paced environment</li> <li>Attention to detail and strong analytical skills</li> <li>Relevant certifications (e.g., CISSP, CISM, CRISC) are a plus</li> </ul>Benefits Competitive benefits package including stock options. Specifics will be dependent on location (either London, UK or Austin, TX, USA).

Security and Compliance Manager (London)

At Direct Line Group, insurance is just the start. Combining decades of industry experience with talented people in every field from data, technology, customer care and auto repair, to HR, finance and procurement , we're a customer-obsessed market powerhouse. And we all work together to be brilliant for customers, every single day. DLG's growth is supported by our Risk function. From Upstream Risk, Regulatory Advice and Compliance Management Information to Privacy and Data Protection, our Risk and Compliance teams keep us one step ahead, always. With links to every part of the business, and the responsibility for keeping people safe and compliant with all regulatory, claims, and underwriting controls, we've got opportunities to develop your skills no matter your specialisation. The role: You will support the Head of Business Risk through providing effective Group oversight of operational risk and internal control management, including risk reporting. Working within the Business Risk team alongside other Business Risk Managers, you'll provide oversight of operational risk and monitor our DLG risk profile - while staying on top of developments and changes as they happen (both internally and externally!) What else you'll be doing: Risk Management <ul><li>Provide oversight of Operational Risk, through review and challenge of business area risk profiles, Key Risk Indicators, management actions and responses to Events. Ensuring findings, risk impacts and recommendations are agreed with relevant stakeholders and delivered appropriately.</li><li>Feed into the assessment and monitoring of the Group's overarching Risk Profile, against Risk Appetite, taking into consideration internal and external developments and trends.</li><li>Help to mature Risk Appetite application, through rationalising and enhancing directorate risk and control assessment activities, including KPI/KRI/KCI usage, through appropriate and consistent methodologies, models, and systems.</li><li>Identify risk management digitisation/automation opportunities; to streamline and focus on value. </li><li>Work collaboratively with 1LOD management and ensure that, where risks are outside appetite, action plans are in place to enable a return to appetite within suitable timescales and are adequately monitored through effective governance structures.</li><li>Help to identify areas that may require formal Risk Assurance and feed suggestions into the Head of Business Risk for consideration. </li><li>Promote a risk-aware/risk-positive culture across the Group and personally demonstrate the required culture and behaviours. </li><li>Support the effective implementation of a quarterly RCSA process, including the transition from the current annual IRCA process, and the ongoing maintenance and coordination of the process thereafter. </li><li>Support the development, refresh or adaption of Risk policies, minimum standards, guidelines, templates and Risk management tools, associated with Operational Risk, as requested by the Head of Business Risk. </li><li>Actively participate in Group Governance activities, ensuring they are fit for purpose, proportionate to the level of risk, and support making sound/balanced risk decisions. </li><li>Maintain effective working relationship across all three lines of defence, including within the Risk and Compliance function itself, to remove unnecessary silos and enhance read across opportunities. </li></ul>Risk Reporting <ul><li>Provide input to effective Executive and Board risk reporting. Including, but not limited to the CRO Report, ORSA, Annual Report &amp; Account submissions etc, as requested by the Head of Business Risk.</li><li>Provide input into the activity to refresh the Group assessment of Emerging and Top risks, including the facilitation of discussion across the wider business.</li><li>Support the effective running of the Operational Risk Committee (ORC) and the Risk Management Committee (RMC), including meeting schedules, forward planning, agenda setting, delivery of strong papers that address key areas of risk and enable good levels of debate from members.</li><li>Regular contribution to papers and commentary at governance for a, to help ensure the operational risk profile is clearly reported, aligned with the business and understood at relevant levels. </li></ul>What you'll need: <ul><li>Awareness of the balance between risk, control and growth</li><li>Curiosity and passion for generating new ideas </li><li>Strong stakeholder engagement skills</li><li>Experience of conducting thematic risk assurance assessments</li><li>Strong report writing skills and an ability to present complex subjects simply</li><li>Financial Services experience preferable</li></ul>Hours: 35 hours (Monday - Friday) Ways of Working Our hybrid model way of working offers a 'best of both worlds' approach combining the best parts of home and office-working, offering flexibility for everyone. When you'll be in the office depends on your role, but most colleagues are in 2 days a week, and we'll consider the flexible working options that work best for you. Read our flexible working approach here Benefits We recognise we wouldn't be where we are today without our colleagues, that's why we offer excellent benefits designed to suit your lifestyle: <ul><li>Generous 9% employer pension. Regardless of whether you contribute into your pension or not, DLG pay 9% into your pension (but you can take this as cash if you want!)</li><li>Eligibility for annual performance bonus of up to 10%</li><li>Generous holidays, starting at 25 days and going up to 28 days per year. Plus, the option of buying or selling upto 5 days each year!</li><li>50% off home, motor and pet insurance</li><li>Free travel insurance and Green Flag breakdown cover</li><li>Electric Vehicle car scheme which allows all colleagues to lease a brand new electric or plug-in hybrid car in a tax efficient way</li></ul><ul><li>Buy-as-you-earn share scheme</li><li>Employee discounts and cashback</li></ul>Being yourself Direct Line Group is an equal opportunity employer, and we think diversity of background and thinking is a big strength in our people. We're delighted to feature as one of the UK's Top 50 Inclusive Employers and are committed to making our business an inclusive place to work, where everyone can be themselves and succeed in their careers. We know you're more than a CV, and the things that make you, you, are what bring potential to our business. We recognise and embrace people that work in different ways so if you need any adjustments to our recruitment process, please speak to the recruitment team who will be happy to support you. #LI-Hybrid #LI-AC1

Business Risk Manager

Our Story Hello there. We're Zopa. We started our journey back in 2005, building the first ever peer-to-peer lending company. Fast forward to 2020 and we launched Zopa Bank. A bank that listens to what our customers don't like about finance and does the opposite. We're redefining what it feels like to work in finance. Our vision for a new era of banking puts people front and centre - we've built a business that empowers everyone to aim high, every day, to move finance forward. Find out more about our fantastic offerings at Zopa.com! We're incredibly proud of our achievements and none of it would be possible without the amazing team here. It's not just industry awards we're winning, we've also been named in the top three UK's Most Loved Workplaces. If you embrace unconventional challenges, are unafraid to think differently and are driven to make an outsized impact, you'll thrive here at Zopa, so join us, and make it count. Want to see us in action? Follow us on Instagram @zopalife The 1st Line of Defence (1LOD) Risk Function are responsible for managing risks across the organisation, working closely with cross-business stakeholders and adopting the bank's risk framework to embed effective and efficient risk management into everything we do. We are looking for a Risk Manager to partner with our Lending Product areas (these range from POS, Credit Cards, UPL's to Auto) to identify, assess and manage operational risks. The role is an exciting opportunity for a risk professional motivated by driving change and contributing to delivering responsible growth and a truly customer centric experience. A day in the life: <ul><ul><li>You'll report into the Senior Manager - Lending and work closely with stakeholders across the three lines of defence to ensure Zopa operates within risk appetite, through the application of commensurate mitigating controls. </li><li>Be able to identify areas of risk and have a strong knowledge of operational risks and controls. </li><li>Lead in defining solutions in response to risks which are i) smart and proportionate, iii) sustainable (e.g. Automated controls over manual interventions) and iv) considered (i.e. not just plugging the gap but thinking more holistically about the issue and what we need, to improve the risk environment) </li><li>Be able to manage interdependencies in order to support in the delivery of agreed solutions, change initiatives in a timely and high-quality way. </li><li>Ensure that MI and reporting is delivered in a timely manner, enabling accountable individuals to make informed, risk-based decisions. </li></ul></ul>About you: <ul><ul><li>You'll be an experienced risk professional with a strong understanding of retail banking environment and a passion for supporting teams to deliver better customer outcomes. </li><li>Proven track record of experience of managing operational risk (ideally in the first line) in a consultancy, fintech or specifically within the financial services sector. </li><li>Good awareness of the regulatory framework in which Zopa operates and driven to self-educate and learn about the evolving open banking regulatory landscape. </li><li>You'll be able to lead stakeholders to identify areas of risk, support in the delivery of change across the business and look for ways to improve our existing risk-based practices. </li><li>You should be technical, outcome orientated, and be able to apply the risk framework to propose optimal outcomes for customers and the bank. </li><li>A strong communicator who can articulate issues clearly, flagging trade-offs and solutions in order to gain buy in to your proposals. </li><li>Passionate about improving the risk environment and general ways of working across the teams you support. </li><li>Act as a source of knowledge and point of contact for business colleagues in your area such as second line risk and first line counterparts. </li><li>Guide first line teams in completing comprehensive risk assessments and promoting a risk-aware culture across the business. </li></ul></ul>Bonus points for: <ul><ul><li>Practical working knowledge ofregulations surrounding lending products </li><li>Experience of change projects involving automated and tech solutions. </li></ul></ul>#LI-LK1 Flexible working? Yes please! At Zopa we value flexible ways of working. We understand the benefits of face-to-face collaboration and the importance of a good work-life balance. Our teams work in a hybrid manner, from our vibrant UK offices and the comfort of their own homes, at a frequency that suits the team and the work they do. Not only that - you'll also have the option of working from abroad for up to 120 days a year!* But no matter where you are, we'll make sure you've got everything you need to thrive, both in your work and home life, from day one. *Subject to having the right to work in the country of choice Diversity Statement Zopa is proud to offer a workplace free from discrimination. Diversity of experience, perspectives, and backgrounds leads to better products for our customers and a unique company culture for our people. We are made up of nearly 50 nationalities, have a DE&amp;I forum made up of Zopians wanting to make a difference and we are proud of our culture where everyone can bring their full self to work. Our approach to DE&amp;I is reflected in our hiring process so please let us know if you require any reasonable adjustments.

Operational Risk Manager (1st Line)

Ideas | People | Trust We're BDO. An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today's changing world. We work with the companies that are Britain's economic engine - ambitious, entrepreneurially-spirited and high-growth businesses that fuel the economy - and directly advise the owners and management teams leading them. We'll broaden your horizons As a firm our focus on delivering quality audit work for the benefit of the public interest is our key priority. Our Audit teams are essential, not just to BDO, but to the whole economy. With specialist knowledge of sectors, markets and geographies; our auditors have the business understanding necessary to deliver the high quality and robust audits that companies and their stakeholders can trust. The international audit team is an industry agnostic team that specialises in providing fully coordinated secondary audit services to multinationals. Working closely with BDO Member Firms from around the world, the international audit team leverages the controls present at finance service centre locations to design high quality and highly efficient global audit strategies. The international audit team provide a fully project managed and centralised global audit offering to audited entities. Many engagements have an element of travel required, with team members often travelling overseas a number of times a year on audit engagements. We'll help you succeed The work we do is underpinned by quality. We deliver audits which are trusted and transparent which can be relied upon by companies and their stakeholders. You'll be someone who is comfortable working pro-actively and, managing your own tasks, as well as confident collaborating with others and communicating regularly with Senior Managers, Directors, and BDO's Partners. You'll help deliver accurate and transparent reporting to all relevant stakeholders as you provide long term value. You'll be someone with: <ul><li>ACA/ACCA/ICAS Qualified or overseas equivalent</li><li>Experience supervising and coaching junior members of staff </li><li>Working knowledge of ISAs, IFRS, UK GAAP and Financial Reporting requirements</li><li>Experience reviewing systems and control environments, as well as undertaking risk assessment and substantive testing on key risk areas</li><li>Working knowledge of firm services, issues regarding advice, and regulation and compliance, including anti-money laundering</li><li>Demonstrable knowledge of current economic and market trends</li></ul>Desirable <ul><li>Sector experience appropriate to BDO audited entities</li><li>Experience auditing international groups and coordinating engagements that operate cross border </li><li>Experience designing audit strategies base don a combination of substantive and controls-based audit strategies</li><li>Experience in conducting Group audits under ISA 600</li></ul>You'll be able to be yourself; we'll recognise and value you for who you are and celebrate and reward your contributions to our business. We're committed to agile working, and we offer everyone the opportunity to work in ways that suit them, their teams, and the task at hand. At BDO, we'll help you achieve your personal goals and career ambitions, and we have programmes, resources, and frameworks that provide clarity and structure around career development. We're in it together Mutual support and respect is one of BDO's core values and we're proud of our distinctive, people-centred culture. From informal success conversations to formal mentoring and coaching, we'll support you at every stage in your career, whatever your personal and professional needs. Our agile working framework helps us stay connected, bringing teams together where and when it counts so they can share ideas and help one another. At BDO, you'll always have access to the people and resources you need to do your best work. We know that collaboration is the key to creating value and satisfying experiences at work, so we've invested in state-of-the-art collaboration spaces in our offices. BDO's people represent a wealth of knowledge and expertise, and we'll encourage you to build your network, work alongside others, and share your skills and experiences. With a range of multidisciplinary events and dedicated resources, you'll never stop learning at BDO. We're looking forward to the future At BDO, we help entrepreneurial businesses to succeed, fuelling the UK economy. Our success is powered by our people, which is why we're always finding new ways to invest in you. Across the UK thousands of unique minds continue to come together to help companies we work with to achieve their ambitions. We've got a clear purpose, and we're confident in our future, because we're adapting and evolving to build on our strengths, ensuring we continue to find the right combination of global reach, integrity and expertise. We shape the future together with openness and clarity, because we believe in empowering people to think creatively about how we can do things better.

Audit Assistant Manager - International Audit Team

Would you like to kick start your career in a supportive, collaborative and innovative company? Do you enjoy working as part of an enthusiastic, passionate, and collaborative team? Join our Credit Underwriting and Risk team The credit underwriting and risk team is a business critical, growing, and dynamic team led by the Head of Credit &amp; Commercial risk who reports into the Group Financial Controller. The team work closely with the sales team, financial reporting, and various areas of business operations. The credit underwriting team are ultimately responsible for the management, underwriting, and control of credit exposure to the business in what is a rapidly evolving environment. Success. The Softcat Way. There's a uniqueness to Softcat - what we do, how we do it and why we do it. That's because we help customers to use technology to succeed, by putting our employees first. We give everyone the chance to step up and show how much they can achieve. We succeed when all our people succeed. Be part of a team that enables business growth This role will lead the credit underwriting and risk team supporting our rapidly growing and dynamic IT solutions business. This passionate, highly numerate underwriter will work closely with our finance and sales teams as well as external stakeholders, insurance brokers and customers alike, to maintain credit risk controls within an existing framework and provide a unique service to our customers. As a Credit Risk Manager, you'll be responsible for: <ul> <li>Analyze data on low, medium, and high-risk customers and reviewing the accuracy of automated scorecards, with support of the deputy </li> <li> Analyse monthly reports and preparation of departmental meetings (GFC review). </li> <li> Participating in credit review meetings with the senior leadership team, displaying understanding of customers who have gone into administrations, high exposure risks, industry updates and credit assessment SLA </li> <li> Manage data on credit exposure levels and ensure regular meetings are held with all credit and senior credit underwriters to fully understand the reasons behind why exposure levels are at a certain </li> <li> Producing both reports and approval requests for the board, including analysis of the information and commentary behind the </li> </ul>We'd love you to have <ul> <li>Exceptional communication skills, with the ability to develop and maintain relationships with different personalities across the </li> <li> Ability to identify areas for positive change and implement these. </li> <li> Ability to motivate others and instil values that align to the highest levels of customer service while maintaining high levels of employee </li> <li> Recognising the need to adapt your management approach to work with different team personalities to best enhance their motivation and work output. </li> <li> Ability to give constructive feedback to individuals or the wider team. </li> <li> Good emotional intelligence helping to relate to and manage emotions of other team </li> </ul> Work in a way that works for you We recognise that everyone is different and that the way in which people want to work and deliver at their best is different for everyone too. In this role, we can offer the following flexible working patterns: <ul> <li> Hybrid working - 3 days in the office and 2 days working from home </li> <li> Working flexible hours - flexing the times you start and finish during the day </li> <li> Flexibility around school pick up and drop offs </li> </ul> Working with us Wherever you work, we want you to experience the freedom and autonomy to realise your potential. You will feel supported by a team that celebrates individuality, encourages different perspectives, and embraces every background. Join us To become part of the success story, please apply now. If you have a disability or neurodiversity, we can provide support or adjustments that you may need throughout our recruitment process or any mitigating circumstance you wish for us to consider. Any information you share on your application will be treated in confidence. You can find out more about life at Softcat and our commitments to diversity and inclusion at jobs.softcat.com/jobs/our-culture/ Documents <ul><li> Softcat Diversity Inclusion Report 2022.pdf (11.20 MB) </li></ul>

Credit Risk Manager

Line of Service Assurance Industry/Sector Banking and Capital Markets Specialism Risk Management Level Manager Job Description &amp; Summary About the role: Our Banking Conduct team works with global banks and capital market firms on a range of regulatory and business change programmes. We bring expertise in risk and regulation, and work with our clients to design and implement change to their operating models, governance, processes and controls. Most recently, our projects have included: <ul><li>Trading Supervision and Controls reviews and remediation,</li><li>Front to back migrations of trading desks as part of firm's post Brexit response activities including the Desk Mapping Review,</li><li>ESG Target Operating Model implementations and supporting firms with their Corporate Sustainability Reporting,</li><li>Broader governance and controls reviews and remediation (including w.r.t. transaction reporting, algorithmic trading, trader mandates)</li></ul>Our teams are self-starting, agile and thrive on new and diverse challenges. We work across Front Office, Risk Management, Operations and Finance supporting critical business change initiatives and remediation programmes. We operate globally, working with the global PwC network to deliver large scale change. You will take a leading role across a range of projects to build a broad range of expertise and be passionate about delivering value and insights to your clients. You'll invest time in building your client relationship network and thrive on taking on new challenges in unfamiliar situations. What your days will look like: <ul><li>Proactively assist in the delivery of business change and conduct risk transformation projects, which may include managing several concurrent client programmes, reporting progress to Senior Managers and above.</li><li>Develop strategies to solve complex technical challenges, help firms to rethink their approach to risk and control and work with our clients to create robust and sustainable change, including through the incorporation of technology enablement and AI.</li><li>Build and maintain effective working relationships with clients and help identify opportunities to broaden relationships with new and existing clients.</li><li>Keep up to date with significant economic challenges and contribute to the development of your team's technical acumen.</li></ul>This role is for you if you have: <ul><li>Experience working within financial services risk and control projects either from a consulting, banking or regulatory background.</li><li>Experience working with senior stakeholders, developing effective working relationships and providing insightful management information.</li><li>Experience leveraging technology tools and generative AI in day to day activities, or as part of projects or programmes of work. (Ideal but not essential)</li><li>Strong commercial awareness, sound reporting skills and experience leading teams whilst working under your own initiative.</li><li>Excellent communication skills, both verbal and written and the ability to work under pressure and deal with ambiguity.</li><li>Strong attention to detail, including robust analysis and presentation skills (Excel, Powerpoint, Power BI/Tableau)</li><li>Must possess an ACA or CFA Qualification (or an international equivalent) or have equivalent work experience. This includes international candidates who qualify through experience in their home country</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

Wholesale Banking Risk & Control Analyst - Manager

Operational Risk Manager (1LoD) The Account Compliance team at Amazon are dedicated to making the organization the safest and most trusted place to buy and sell. Our primary goal is to protect our customers' interests while balancing risk management with exceptional customer experience. This is achieved through our global first line of defense (1LoD) risk program. We are now seeking an experienced Operational Risk Manager to join our Global 1LoD risk program. The role involves supporting the implementation of operational risk objectives and contributing to the development and execution of risk strategies, with a primary focus on the governance and management of the Risk &amp; Control Self-Assessment (RCSA) framework. Key Responsibilities • \tConduct Ongoing RCSAs: Lead and support regular Risk &amp; Control Self-Assessments to identify, assess, and review the adequacy and effectiveness of risk management and control systems. • \tDevelop Operational Risk Strategies: Assist in formulating procedures that define operational risk strategy and program goals. • \tStakeholder Engagement: Collaborate with stakeholders to drive risk mitigation through comprehensive risk assessment and treatment plans. • \tProject Management: Play a key role in managing projects related to the implementation of risk management systems. • \tReporting: Produce detailed reports on risk management across multiple functions within Account Compliance, working closely with cross-functional teams to gather input, and providing updates to senior leadership at varying cadences (Weekly, Monthly, Quarterly) • \tRisk Consistency: Collaborate with various functions to ensure consistent understanding and awareness of operational risks across the organization. • \tPresentation of Findings: Present risk assessment findings and recovery strategies to key stakeholders across 1st and 2nd Line. • \tRisk Treatment Management: Partner with relevant teams to coordinate risk treatment plans identified through the risk assessment process and assist in responding to significant disruptions, influencing globale prioritization roadmaps. • \tFacilitate Workshops: Organize RCSA workshops to help identify unknown operational risks. • \tTraining and Awareness: Identify opportunities for training and enhancing awareness of operational risk methodologies. Basic Qualifications • \t3+ years of experience in Risk Management, Assurance, Compliance, or Audit roles. • \tExcellent communication skills and ability to coordinate with multiple stakeholders. • \tProject management experience or experience working on complex projects. • \tProven track record of creative problem-solving and a desire to create and build new processes. • \tComfort with challenging the status quo, even in confrontational situations. • \tStrong time management, multitasking skills, and attention to detail. • \tProficient in MS Office Suite, including Word, PowerPoint, Excel, Outlook, and SharePoint. • \tAbility to provide concise and effective answers to questions, offering expertise on procedures to associates and management across diverse sites. Preferred Qualifications • \tExperience in generating risk intelligence reports and analysis. • \tDemonstrated ability to make sound decisions, take ownership, and deliver results in a management capacity. • \tProven ability to challenge norms, improve performance, and enhance efficiency. • \tAbility to analyze data and existing processes to identify risks and opportunities. • \tStrong interpersonal skills, including the ability to build relationships and positively influence decision-making. • \tProven ability to meet deadlines while managing multiple complex work streams. BASIC QUALIFICATIONS - Bachelor's degree or equivalent - Experience in compliance program management, legal, governance, audit, risk/loss prevention, or equivalent - Experience handling confidential information PREFERRED QUALIFICATIONS - Professional auditing qualification, or similar risk or compliance credentials - Experience with SQL and Excel - Experience in program requirements definition, together with data and metrics leveraging to drive improvements Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. For individuals with disabilities who would like to request an accommodation, please visit <a href="https://www.amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://www.amazon.jobs/content/en/how-we-hire/accommodations</a>.

Operational Risk Manager, Account Compliance

Our team is seeking a Senior Environmental Compliance Manager who will lead and drive environmental operational excellence across our operations in UK and Ireland. They will also provide technical support at our existing operations and future expansion across the region. This role is responsible for ensuring strategy and operational tactics are executed by providing technical support for existing operations and future expansion across multiple facilities within their region. The Senior Environmental Compliance Manager will report to the Business Environmental Leader for UK and IRL through the EU Environmental Assurance and Protection team. The Senior Environmental Compliance Manager will also partner with the operations leadership teams to execute company environmental procedures and ensure compliance with all applicable specific country, state/province, region and local regulations. Utilizing risk assessments and compliance evaluations, this individual will lead site specific continuous improvement initiatives to minimize environmental aspects and impacts and communicate and implement best practices. This role entails up to 50% travel to multiple sites across the countries listed above. Key job responsibilities • Manage and execute multi-site responsibilities to comply with air emissions, stormwater, waste, wastewater and other environmental related laws, regulations and permits. This includes required Country, State/Province and local reporting. • Develop and maintain relationships with business partners to support their success in environmental compliance, performance and sustainability initiatives. • Participate in the development, introduction, control, improvement and application of environmental management control systems, procedures, processes and products. • Measure and analyze sites' performance against published requirements in environmental policies. For all deficiencies, identify a plan for the site to implement and fix all identified deficiencies. • Cooperate in contacts with the authorities and in the implementation of any notification, permission and approval procedures according to environmental law (water / waste water, pollution control, waste). • Participate in the annual data collection and reporting (internal, external) as well as controls (measurements, reviews) on environmentally relevant issues. • Manage environmental risk program(s) and/or projects, where the risk is defined, but the business problem and solution may not be defined. • Be the environmental subject matter expert for your area; up to date on related industry trends (e.g., changing regulations, innovations in risk mitigation, testing mechanisms), knowing how to apply them across teams, and when not to. • Drive goal and regulation-based control outcomes and/or risk reduction, informing/helping to establish mechanisms where applicable to bring risk within tolerance levels. • Manage overall schedules for your environmental risk mitigation projects, overcome issues, and keep the scope of effort under control. A day in the life Every day will be different. You will be visiting our UK and Ireland locations, engaging with the local teams and ensuring the sites and the business as a whole are set up to deliver effective environmental compliance. You could be working with our Legal Team to engage a Regulator or helping sites deliver environmental training. The ability to flex is essential in this role, as priorities will change on an almost daily basis and as a team, we need to be able to respond accordingly. About the team The Environmental Assurance and Protection team protects Amazon businesses and supports the needs of our customers by proactively mitigating environmental regulatory risks and protecting the environment. BASIC QUALIFICATIONS - Bachelor's degree in civil, chemical or environmental engineering or related field. - Experience in serving as an environmental technical resource, program specialist, or program manager. - English written and verbal communication skills, including comfortable interfacing with site and regional leaders. - In depth knowledge of EU, country and region-specific environmental regulation. - Experience in engaging with Regulatory Agencies in permit applications. PREFERRED QUALIFICATIONS - Experience in warehouse operations and logistics is preferred. - Proficient in Microsoft Office and the use of pivot tables and the development of charts and graphics. - Detailed-minded and technically-oriented to comfortably deep dive with engineering teams to understand operations process for environmental risk assessment. - Experience managing change in multiple site environments and the ability to influence peers and superiors. Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. For individuals with disabilities who would like to request an accommodation, please visit <a href="https://www.amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://www.amazon.jobs/content/en/how-we-hire/accommodations</a>.

Senior Environmental Compliance Manager, EU EAP Field

<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 In this role you will be responsible for ensuring activities comply with applicable rules and regulations. You will leverage your compliance experience to develop and advise on policies, processes, and procedures. There will also be opportunities for you to support the business with new initiatives and provide a range of compliance training to ensure robust controls are in place. You will also be required to contribute to ad-hoc projects within the broader regional and global compliance teams as required. What you offer Press space or enter keys to toggle section visibility <ul><li>A good level of experience as a Senior Compliance Officer within the commodities trading sector, specifically in base metals with a solid understanding of the London Metal Exchange (LME) rules and practices</li><li>An in-depth knowledge of UK and international regulations applicable to a financial organisation</li><li>A good understanding of base metals compliance along with a desire to extend your knowledge and experience to other commodity assets and markets businesses</li><li>Excellent relationship and communication skills, be collaborative, solutions driven, detail orientated, pragmatic and proportionate during your professional duties</li><li>A strong team player and will be able to identify, assess and mitigate risks</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.

Business Compliance Officer | Commodities and Global Markets | Physical Metals (VP)

We are looking for an experienced compliance professional to join the Amazon Payments UK (APUK) team to support compliance operations of the firm. Reporting to APUK's Senior Compliance Manager, the Compliance Manager will be responsible for supporting regulatory compliance of the payments propositions within the UK. The Compliance Manager will be part of the 2nd line Compliance Office and responsible for providing regulatory oversight and approval for new programs, providing expert advice to stakeholders and supporting strategy design with regulatory input. This opportunity requires a subject matter expert to contribute within a fast-paced, growing team. You will champion customer outcomes and use your knowledge of the industry and regulatory horizon to ensure sustainable, compliant solutions are formed. You will comfortably handle ambiguity, and provide pragmatic challenge to colleagues, peers and leadership and you are not afraid to roll up your sleeves and dive into the details. You think outside of the box, coming up with solutions in times of ambiguity. Key job responsibilities • \tAssist in ensuring APUK's payment activities operate in accordance with all legal and regulatory requirements by monitoring the compliance of business activity • \tProvide advice on regulatory requirements, including in the development of compliance requirements for new business propositions • \tAssist with the development, documentation and maintenance of policies and procedures • \tProvide compliance awareness and training to the business • \tPrepare reporting to internal governance committees • \tReview, challenge and approve risk records, policy breaches and matters for escalation • \tWork with business leads to identify and collate relevant information to respond to requests for information from auditors and regulators (ad hoc and regulatory returns). • \tMaintain up to date knowledge of relevant regulations by monitor regulatory change and emerging risk from regulatory sources, to proactively communicate key developments to internal stakeholders and support the implementation of regulatory change. About the team APUK Compliance is an ambitious team of professions who are passionate about supporting Amazon grow in a compliant and scalable way. We see Compliance as a service to our business teams and customers, we get excited about innovation and collaboration. We are a group that challenge each other to ensure we maintain high standards and enjoy internal debate to make sure we keep our core values at the forefront of how we work. BASIC QUALIFICATIONS - • Minimum of four years generalist compliance experience in financial services working in risk and compliance, or within a financial regulatory body or consultancy practice - • A good understanding of the Payment Services Regulations 2017 and FCA regulations, in areas including complaint handling, safeguarding, operational resilience and consumer duty. - • Excellent team player with the ability to work closely with others to deliver results, identify and resolve issues; shares information and keeps team members and management informed - • Excellent organisational skills with the ability to prioritise workload and manage various tasks simultaneously. - • The ability and willingness to learn new skills and upskill quickly to be an SME on new requirements - • Strong and demonstrable influencing, stakeholder management, presentation and communication skills. - • Resilient and able to thrive and lead in a fast paced, entrepreneurial environment - • Strong judgment and analytical thinking - • Strong ownership and delivery orientated, to perform independently with minimal supervision PREFERRED QUALIFICATIONS - • Experience within the payments sector and/or fin-tech environment - • Experience of relationship management with regulatory bodies Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. For individuals with disabilities who would like to request an accommodation, please visit <a href="https://www.amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://www.amazon.jobs/content/en/how-we-hire/accommodations</a>.

Regulatory Compliance Manager, Amazon Payments UK

Amazon opened its virtual doors in 1995 and strives to be the world's most customer-centric company, where customers can find and discover anything they might want to buy online. The successful candidate will be a key part of the engineering compliance team and will play an integral role in managing regulatory compliance of Amazon EU fulfillment network buildings. The compliance manager will collaborate cross-functionally with engineering, operational, commercial and legal teams. This role will analyze and evaluate compliance on site level and define solutions while supporting the standardization of the technical and facility related processes and mechanisms. This opportunity combines compliance &amp; permit management, construction engineering, planning, project management, facilities management, and contract management. You should have significant project management, construction or engineering experience with focus on permitting or compliance and a proven track record of managing both new builds and the enhancement of existing industrial buildings. You should be experienced in the creation of specifications, management of contracts and be able to deal with matters requiring statutory consent. Experience of facilities management would be beneficial. Would you like an opportunity to travel and work in multiple countries and cultures? The role will be based in UK with up to 50% of time traveling either domestically or to other European countries. Key job responsibilities • Manage technical regulatory compliance of Amazon fulfillment network buildings, with focus on building regulations, workplace regulations, fire life safety, environmental regulations and other permits and licenses. • Identify and govern compliance related risks from an interdisciplinary viewpoint, engaging right stakeholders to manage risk; Manage projects to mitigate risk • Governance of licenses and permits on site and regional level • Manage internal audits to proactively assure compliance with all permits and regulatory requirements, including procuring required services and managing external consultants • Identify improvement opportunities in internal processes and mechanisms; Create and own new tools and mechanisms • Collaborate with construction and other engineering teams in design of new buildings and building conversions to assure compliance management throughout the project; Provide technical direction and consult within engineering design, building design, details, schedules, installation and commissioning • Change management and support to operational and central teams on change in Amazon buildings; Coach and guide key teams regarding compliance of the full asset lifecycle • Prepare reports, specifications and technical analysis; Recommend solutions to improve facility infrastructure, safety and security involving facilities and people • Act as direct point of contact for site leadership and other operations leadership around compliance, including risk management and reporting of activities on program level; Collaborate with other departments managing compliance • Coach other (new) team members on best practices, manage and coordinate relevant training initiatives About the team We are diverse, creative and passionate engineering and construction managers. We own our scope and deliver results. We are empowered to adapt personal needs for a better work/life balance. Our values: SAFETY FIRST. We continuously improve and innovate in Safety, raising the bar and setting a new global standard. PEOPLE OBSESSION. We understand the value of listening, promote diversity, lead by example and work together to achieve and remember to have fun. CHALLENGE THE NORM. We challenge each other to develop new methods of working, making a SAFER and more SUSTAINABLE environment. TRUST. We build trust with our Customer, making ambitious but realistic commitments. BASIC QUALIFICATIONS • Bachelor's Degree in architecture, engineering, construction or surveying, or a relevant other degree • Professional experience as a compliance manager, permit manager, engineer, construction manager or similar field • Project management and engineering experience • English language • Willingness to travel frequently within Europe, up to 50% of the time PREFERRED QUALIFICATIONS • Facilities management experience would be beneficial • German, French, Polish, Arabic, Turkish, Afrikaans and Zulu are considered preferred qualifications. Amazon is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. We make recruiting decisions based on your experience and skills. We value your passion to discover, invent, simplify and build. Protecting your privacy and the security of your data is a longstanding top priority for Amazon. Please consult our Privacy Notice (<a href="https://www.amazon.jobs/en/privacy_page" target="_blank">https://www.amazon.jobs/en/privacy_page</a>) to know more about how we collect, use and transfer the personal data of our candidates. Amazon is committed to a diverse and inclusive workplace. Amazon is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. For individuals with disabilities who would like to request an accommodation, please visit <a href="https://www.amazon.jobs/content/en/how-we-hire/accommodations" target="_blank">https://www.amazon.jobs/content/en/how-we-hire/accommodations</a>.

Engineering Compliance Manager, Global Engineering Services

About us: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a dedication to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It's how we've contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years. Through a comprehensive suite of trusted financial market infrastructure services - and our open-access model - we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity. LSEG is headquartered in the United Kingdom, with significant operations in over 60 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG's ticker symbol is LSEG. Our people: People are at the heart of what we do and drive the success of our business. Our values of Integrity, Partnership, Excellence and Change shape how we think, how we do things and how we help our people fulfil their potential. We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential. We know that real personal growth cannot be achieved by simply climbing a career ladder - which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise. As a global organisation spanning over 60 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers. The Role: The Director of Compliance, FTSE Russell, is a leadership position within the LSEG Legal and Compliance function responsible for providing second line oversight of FTSE Russell's index administration activities, in line with the requirements of the UK Benchmark Regulation and the IOSCO Principles for Financial Benchmarks. The role involves leading the FTSE Russell regulatory compliance team, maintaining relationships with the FCA and other relevant regulators, and working closely with the FTSE Russell CEO and their leadership team to provide proactive advice and constructive challenge on how FTSE Russell aligns with relevant regulations, policies and Group frameworks. This role reports into the Divisional Head of Compliance for Data and Analytics, FTSE Russell and Risk Intelligence and has the following responsibilities: <ul><li>Leading a high performing team of Compliance SMEs of different seniority levels, encouraging talent, and providing opportunities for growth and development.</li><li>Compliance advisory to LSEG's FTSE Russell business, working with the FTSE Russell CEO and their leadership team to provide advice on compliance with existing regulations and evolving new regulations applicable to indices and ESG products, as well as new product launches and changes to internal operational frameworks.</li><li>Building and managing relationships with the FCA supervision team and other regulatory authorities in the UK and abroad, providing advice and direction on addressing regulatory enquiries and proactively engaging with regulators with regards to key matters and significant developments.</li><li>Supporting the development of and maintaining regulatory compliance frameworks, compliance monitoring programmes and conducting thematic reviews of existing first line processes and controls to identify and recommend potential enhancements.</li><li>Representing Compliance in cross-divisional programmes and governance forums.</li></ul>Key Responsibilities: <ul><li>Leading a team of regulatory compliance SMEs.</li><li>Provision of Compliance advisory and training to the Business.</li><li>Applying ongoing second line oversight over critical business activities.</li><li>Key regulator liaison, including being the first point of contact for the FCA supervision team, advising the Business on regulatory notifications and addressing regulatory enquiries, both ad hoc and thematic reviews.</li><li>Proactive identification and assessment of regulatory change and advice on implementation of regulatory requirements.</li><li>Regulatory analysis of incidents and complaints.</li><li>Completing all Compliance risk assessments, including reporting of periodic management information (MI).</li><li>Actively participating, by providing constructive review and challenge, in first line governance forums and chairing the second line FTSE Russell Oversight Committee.</li></ul>Skills / Experience: <ul><li>Extensive experience in compliance advisory.</li><li>In depth knowledge of regulatory requirements related to benchmark and index administration.</li><li>Experience in embedding compliance frameworks.</li><li>Leadership and managerial experience with developing and leading a successful, resilient team.</li><li>Strong stakeholder management skills, with the credibility, expertise and gravitas to influence at the senior management level.</li><li>Sound judgement with experience of balancing challenging factors to deliver optimal outcomes.</li><li>Experience of establishing and maintaining good relationships with regulators in multiple jurisdictions.</li></ul>LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth. Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions. Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity. LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives. We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone's race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it's used for, and how it's obtained, your rights and how to contact us as a data subject. If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.

Director of Compliance FTSE Russell

The role... Interactive Brokers (U.K.) Limited, based in London, part of IBKR global online financial brokerage services, seeks a generalist compliance professional to join our fast-paced business in a complex operating environment. You will hit the ground running from the start, so we expect you to have relevant experience and a can-do attitude to relish the challenge and pace in helping the business. You will join a dedicated regulatory team in the Compliance department, which looks after multiple aspects of internal, market conduct, and consumer protection Compliance, including any associated second-line controls, and manages advisory and regulatory change projects. Your particular focus will be to design and maintain testing and monitoring programmes for each relevant regulatory area (financial promotions, product governance or others depending on your experience). In a dynamic and complex environment with growing regulatory challenges and product and process innovations, your role will require addressing regulatory change by identifying required systems and controls adaptations. Your responsibilities are separate from anti-money laundering (AML) related tasks, as a different monitoring plan covers these. In your role, you will work with other General Compliance team members at the Pan-European level, other Compliance teams and other subject matter experts and stakeholders, providing an excellent opportunity for personal and professional development. This role will report to the Senior Compliance Officer heading the General Compliance team. We currently operate a hybrid working model at IBKR, so you can commute to our fantastic central London office three days per week, where you will be pleased to hear we offer lunch every day you are in the office from a selection of vendors. You will .... <ul><li>Drive compliance oversight through the testing and monitoring programme, identify areas for enhancements of systems and controls operated by the firm, and support the implementation of required changes;</li><li>Execute all testing and monitoring activities in a timely and thorough manner in accordance with industry standards and expectations of management, auditors, and the FCA, covering all regulatory risk overseen by general compliance, notably including Product Governance, PRIIPS, Client Appropriateness, Categorisation, Product Restrictions, Financial Promotions, Consumer Duty and other conduct related matters under MiFID II/FCA Handbook;</li><li>Liaise with control owners to discuss and agree on any remedial actions emerging from the testing and monitoring activities and follow through to ensure agreed action plans are met in a timely and accurate manner;</li><li>Report on outcomes and conclusions of testing and monitoring and ancillary activities, including the remediation of any gap identified;</li><li>Effectively organise and document information arising from the execution of the monitoring and testing programme targeted at different stakeholders. Maintain records of all remediations following assurance work;</li><li>Prepare management presentations and communication on regulatory developments and Compliance Monitoring Framework;</li><li>Create, maintain, and implement compliance-related policies; conduct internal compliance reviews, and perform legislative and regulatory gap analysis, ensuring all artefacts are updated regularly;</li><li>Assist the Compliance department with its advisory role in the business by conducting research, processing requests and queries;</li><li>Manage FCA's and European product governance regulatory requirements, including regulatory compliance advise in periodic reviews of regulatory change impact;</li><li>Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the compliance testing and monitoring plan and the business;</li><li>Support others in the General Compliance team as required.</li></ul>You have and bring... <ul><li>Bachelor's degree or equivalent.</li><li>Prior 3+ years' experience in regulatory compliance, audit or risk function in an investment or platform-based environment, ideally within areas of General Compliance or Investment Compliance.</li><li>Knowledge of the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD and other relevant FCA sourcebooks.</li><li>Outstanding analytical, problem-solving, organisation and follow-up skills.</li><li>An analytical mind and able to recognise and pinpoint the complexities of procedures and regulations but then simplify these for others.</li><li>A pragmatic, commercial and creative approach to problem solving and decision-making.</li><li>A team player with great people skills who can effectively collaborate with colleagues throughout the business to build strong relationships and achieve results.</li><li>High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions (strong Excel skills are a must).</li><li>Ability to work independently (exercising judgement with discretion) and manage multiple, deadline-driven priorities with strong attention to detail in a fast-paced work environment.</li><li>Ability to work under pressure, formulate and articulate solutions and defend assumptions.</li><li>Versatile as the needs and demands of the team evolve.</li></ul>Location: 20 Fenchurch St, London EC3M 8AF 9 am - 6 pm, Monday - Friday Benefits: <ul><li>Career support and development</li><li>Salary commensurate with experience</li><li>Performance-based discretionary cash bonus scheme</li><li>Discretionary stock grant</li><li>Group Life Assurance cover</li><li>Group Income Protection</li><li>Occupation pension scheme based on Gross earnings</li><li>Hybrid working model</li><li>Above statutory annual leave, increasing with service</li><li>Daily company-paid lunch and healthy snack options throughout the day (when working from the office)</li><li>Access to Private Medical Insurance, Dental Plan and / or Health Cash Plan*</li><li>Corporate events</li><li>Travel season ticket loans</li><li>Cycle to work scheme</li></ul>Interactive Brokers (UK) values in promoting, monitoring, implementing best practices, policies and procedures and culture in adhering to and promoting the FCA Consumer Duty with the organisation. Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Compliance Monitoring Manager

About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. For more information visit <a href="http://www.marex.com" target="_blank">www.marex.com</a> Role Summary Marex Financial Ltd are searching for Senior Surveillance Compliance officer to join their team in London. The role focusses on Surveillance (Trade and Comms) across the Fixed Income, Swaps and OTC space; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company. The successful candidate will manage the manual OTC coverage, the Trade Reconstruction and lead on the Fixed Income / OTC transition onto an automated surveillance solution (Nasdaq SMARTS). Responsibilities <ul><li>Lead on OTC / Fixed Income manual surveillance implementation / enhancement. </li><li>Manage the transition from these current tactical controls to Nasdaq SMARTS. </li><li>Escalating any suspicious activity findings to management and reporting to regulators. </li><li>Participating in thematic reviews and the annual MARA process, factoring these findings into enhancing the OTC / Fixed Income control framework.</li><li>Conducting Trade Reconstruction reviews of Fixed Income / OTC activity, using Global Relay, Audio platforms and various Marex data sources.</li><li>Ensuring compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory body</li><li>Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>At all times complying with the FCA's Code of Conduct and Marex's Code of Conduct </li><li>To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility</li><li>To report any breaches of policy to Compliance and/ or your supervisor as required</li><li>To escalate risk events immediately </li><li>To provide input to risk management processes, as required.</li></ul>Competencies <ul><li>A collaborative team player, approachable, self-efficient and influences a positive work</li><li>Demonstrates curiosity</li><li>Resilient in a challenging, fast-paced environment</li><li>Ability to take a high level of responsibility in a fast pace and high-volume environment</li><li>Excels at building relationships, networking and influencing others</li><li>Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness</li></ul>Skills and Experience <ul><li>7+ years* of immediately transferable skills gained in a similar role within fixed income or in an OTC Surveillance SME / organisation </li><li>Strong team player / leader, experience of dealing with a variety of stakeholders </li><li>Strong Surveillance knowledge, including regulation, tools used (Global Relay, SMARTS Broker or similar surveillance tools is essential)</li><li>Knowledge of tactical / manual Surveillance and experience of implementing these controls in conjunction with transitioning to an automated surveillance solution. </li><li>Educated to degree level in a related subject would be beneficial, but not essential</li><li>Excellent verbal and written communication skills</li><li>Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.</li></ul>Conduct Rules You must: <ul><li>Act with integrity</li><li>Act with due skill, care and diligence</li><li>Be open and cooperative with the FCA, the PRA and other regulators</li><li>Pay due regard to the interests of customers and treat them fairly</li><li>Observe proper standard of market conduct</li><li>Act to deliver good outcomes for retail customers</li></ul>Company Values Acting as a role model for the values of the Company: Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. *candidates outside of the indicated range will also be considered Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. #LI-MH1

Senior Surveillance Compliance Officer - Fixed Income, Swaps & OTC Derivatives

LHV Bank, a fully licensed UK bank, specialises in Banking Services for global fintechs and SME Lending solutions for UK businesses. The SME Lending division offers commercial real estate investment loans and trading loans from £0.5m to small and medium-sized businesses in the UK. As a leading Banking Services provider, LHV Bank delivers a wide range of services, including real-time multi-currency payments, accounts, acquiring, indirect scheme access, open banking, and FX solutions. Over 200 renowned fintech companies, such as Airwallex, Currencycloud, Truelayer, and Wise, utilise LHV Bank to serve more than 10 million end customers and access a pool of 500 million potential customers across the UK and Europe. LHV Bank gained its UK banking licence in May 2023 and launched into the retail savings market through deposit aggregators in August 2023. It is in the process of developing its direct to customer retail banking proposition for launch in 2024. More information: lhv.com About the Role: As a Compliance Manager at LHV Bank, you will play a crucial role in shaping the compliance landscape of a dynamic and growing financial institution. Reporting directly to the Chief Compliance Officer (CCO), you will work closely with AML/Fraud and Compliance Monitoring teams to develop and implement a robust compliance agenda. Your expertise will be pivotal in guiding the business through regulatory changes, ensuring compliance with UK industry standards, and embedding a strong compliance culture across the organisation. Key Responsibilities: <ul><li>Lead regulatory horizon scanning and provide risk-based analysis to guide LHV Bank's strategic decisions.</li><li>Drive regulatory change projects and deliver clear progress reporting to senior management.</li><li>Champion the bank's approach to Consumer Duty, providing constructive challenge and ensuring compliance.</li><li>Coordinate compliance activities, support the CCO, and ensure clear communication of compliance objectives across the organization.</li><li>Provide day-to-day compliance guidance to business units, develop relevant UK policies, and maintain compliance frameworks.</li><li>Oversee compliance training, ensuring it is tailored to LHV Bank's UK operations and effectively monitored.</li><li>Develop and deliver insightful compliance reporting to Executive and Board committees.</li><li>Support the business in meeting regulatory requirements, including managing the Management Responsibilities Map (MRM) and contributing to AML and Fraud investigations.</li></ul>What We're Looking For: <ul><li>Extensive 2nd Line of Defense experience in retail and/or corporate banking compliance, with a deep understanding of relevant FCA and PRA rules.</li><li>Strong background in policy and procedure writing, with a focus on best practice compliance and risk management frameworks.</li><li>Experience in a challenger or start-up environment is preferred, with a proven ability to deliver clear, technology-driven reporting.</li><li>Expertise in payment services or retail banking.</li><li>A proactive approach to developing compliance systems, fostering a culture of compliance, and providing constructive solutions to emerging issues.</li></ul>Why Join Us? This is a unique opportunity to join a forward-thinking bank at a pivotal time in its growth. You will have the chance to make a significant impact on our compliance strategy, working in a fast-paced environment that values innovation, collaboration, and professional development. Ready to Make a Difference? If you are a compliance professional looking to take the next step in your career with a dynamic and growing bank, we encourage you to apply. This role may occasionally require you to travel and work in our overseas offices. Key relevant business/regulation: <ul><li>Payment Services, especially banking as a service business models.</li><li>Merchant Acquiring and card issuing, including payment scheme rules.</li><li>Provision of safeguarding accounts.</li><li>Commercial lending, including unregulated secured loans via broker distribution.</li><li>Retail deposit-taking, including via deposit aggregators and depositor protection rules.</li><li>Consumer lending.</li><li>Conduct risk and emerging knowledge of consumer duty.</li></ul>Some of our benefits • Competitive salary &amp; progression • Open and inclusive culture • Hybrid working • Fantastic offices and great working environment • Vitality Health Plan (includes private health insurance, travel insurance, gym discounts) • Medicash health plan (Level 3) • 5% employer pension contribution • Life assurance • Income protection insurance • 28 days holiday plus 3 additional days, bank holidays &amp; further days for various key life events • Team socials

Compliance Manager

The Role Department : Business Acceptance Unit Location : Manchester or London Role : Conflict and Compliance Analyst The Role You will be responsible for assisting partners and other members of Clyde &amp; Co with the new business inception process in line with legislation and regulatory requirements. This will include conflict of interest searches for legal and commercial conflicts, anti-money laundering processes for new and existing clients, on-going client monitoring, sanctions checks and other risk management procedures. Key Responsibilities Conflicts <ul> <li> Reviewing new client and matter forms ensuring satisfactory details are provided by the Case Handlers and querying instances where information is either incomplete or unclear. </li> <li> Analysing the new client and/or new matter to determine the risks associated with the instruction. </li> <li> Conducting conflict checks using the firm's conflict database paying close attention to sensitive entries in the firm's Black Book database. </li> <li> Analysing conflict search results and liaising with Partner/ Case Handler on the matters that may present a legal or commercial conflict. Obtaining relevant information on the matter, if required, in order to make a judgement call on whether a conflict or potential conflict is present. </li> <li> Escalating conflict issues to the Team Leaders, Head of BAU, Risk Lawyers and General Counsel as appropriate with clear analysis of the conflict and the conclusions reached so far. </li> <li> Proactively following up when seeking information or conflict resolution from other stake holders around the firm. </li> <li> Maintaining and updating the conflict search database as key information becomes apparent on existing matters. </li> <li> Assisting in the research and implementation of information barriers by working with the Risk Team as matters are created, safeguarding confidentiality at all times for the involved teams. </li> <li>Supporting the high volume business on matter inception, ensuring that conflict checks are carried out in a timely manner.</li> <li> Recording all conflict research, communication with stake holders and analysis and conclusion of the conflict resolution in the firm's client and matter inception software, for the purposes of compliance and auditing. </li></ul> Anti-Money Laundering <ul> <li> Researching, identifying and verifying new clients by using online data providers and any other online resources. </li> <li> Analysing and establishing the corporate structure for clients where relevant and tracing up to the ultimate beneficial owners. </li> <li> Advising Case Handlers on further details that are required from the client in the event that information is not available in the public domain or documentation is required on identified individuals. </li> <li> Researching and identifying PEPs and high risk clients by creating an online profile. </li> <li> Attributing a risk rating to the client and escalating the client to the Team Leader, Head of BAU where a decision needs to be made upon analysis of documentation and risk. </li> <li> Seeking sign off from MLRO's and Risk Partners when required and advising the Case Handlers on any steps that need to be taken to taken to mitigate the risks associated with the client. </li> <li> Assisting in the on-going monitoring for existing clients and updating Client Due Diligence for existing clients. </li> <li> Recording all AML documentation, communication and risk rating in the Client Risk Assessment section of the client and matter inception software, with a clear synopsis of how the client rating has been attributed stating any mitigating factors and follow up steps that need to be taken by the BAU or Case Handlers. </li></ul> Compliance <ul> <li> Maintaining technical knowledge, expertise and know how on the nature of the work each department undertakes in the Firm, conflicts, AML and sanctions. </li> <li> Screening all clients and matters for sanctions and escalating any adverse findings to the Risk Team and Sanctions Partners. </li> <li> Carrying out the conflict checking and client on-boarding process for lateral hires. </li> <li> Supporting junior members of the BAU Team on queries and training. </li> <li> Answering queries from Case Handlers and escalating urgent queries to the appropriate individual within the department. </li> <li> Assisting on the execution of projects as and when they arise. </li></ul> Essential Skills &amp; Experience <ul> <li> Knowledge of the SRA rules including conflicts of interests and knowledge of case law on conflicts of interest (Desirable). </li> <li> Knowledge of anti-money laundering legislation (Desirable). </li> <li> Strong MS Office. </li> <li> Meticulous attention to detail. </li> <li> Strong customer focus. </li> <li> Excellent communications skills. </li> <li> Strong spelling and grammar skills. </li> <li> Degree or other relevant qualifications (Desirable). </li> <li> Experience using Elite Enterprise or similar management systems (Desirable). </li> <li> Strategic thinker with commercial awareness. </li> <li> Service orientated: Recognising internal and external clients and the importance of service delivery. </li> <li> Ability to work as part of a team and using own initiative, manage own workload and adapt to changing priorities. </li> <li> Adaptable to new systems, procedures and requirements of role. </li> <li> Flexible approach: Willing to assist others in achieving team objectives. </li> <li> Confident dealing with senior management and ensuring service levels are adhered to. Well-disciplined and self-motivated. </li> <li> Ability to work well under pressure. </li> <li> Confident and proactive approach. </li> <li> Enthusiastic and positive attitude. #LI-HYBRID #LI-CG1</li></ul>Additional Documents JD Conflicts and Compliance Analyst (... Download

Conflicts and Compliance Analyst (London or Manchester)

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. With a focus on simplicity, ease of use, speed and power - we aim to develop the best trading service on the market. We are a fintech company with deep expertise in trading, markets, technology, customer centricity and financial regulation. We provide great customer service to accompany our smart news feed, intelligent financial content, a broad range of education, and a wide range of markets for our clients to trade. We are seeking a Compliance Analyst to join our Compliance team. The successful candidate will be responsible for ensuring that our firm complies with all regulatory/legislative requirements and standards. Responsibilities: <ul><ul><li>Conduct regular reviews of the firm's policies and procedures to ensure they comply with relevant regulations</li><li>Assist with the implementation of new compliance processes and procedures</li><li>Provide guidance and support to the business on regulatory compliance matters</li><li>Assist with the preparation of regulatory reports and returns</li><li>Monitor regulatory developments and advise the business on the impact of any changes</li><li>Assist with the delivery of compliance training to the business</li><li>Investigate and report on any breaches of regulatory requirements</li><li>Conduct investigations and reviews of suspicious transactions or other potential compliance issues</li><li>Assisting with the review and approval of marketing and advertising materials</li><li>Support the compliance team and client-facing teams in responding to client complaints.</li></ul></ul>Requirements: <ul><ul><li>A minimum of 1-2 years experience in a compliance role within financial services, preferably within aCFD and Spread Betting firm</li><li>Knowledge of FCA regulations and the wider regulatory landscape</li><li>Strong analytical, and problem-solving skills</li><li>Excellent attention to detail</li><li>Strong communication and interpersonal skills</li><li>Ability to work independently as well as part of a team</li><li>A degree educated in a relevant subject is preferred but not essential</li><li>An understanding of the functioning of the physical crypto asset environment is preferred but not essential.</li></ul></ul>What you will get in return: <ul><ul><li>Medical Insurance Coverage</li><li>Hybrid type of work with flexible working hours</li><li>Modern and outstanding equipment</li><li>Full annual performance assessment</li><li>Death in Service</li><li>Employee Assistance and referral program</li><li>Company matched contributory pension</li><li>Workation policy</li><li>The opportunity to work with one of the smartest teams on the market. </li></ul></ul>This is an excellent opportunity for a compliance professional with 1-2 years experience to join a leading CFD and Spread Betting firm in London. The successful candidate will work closely with the compliance team to ensure that our business operates within regulatory requirements, whilst supporting our growth and development. Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

Compliance Analyst

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talent team. With a focus on simplicity, ease of use, speed and power - we aim to develop the best trading service on the market. We are a fintech company with deep expertise in trading, markets, technology, customer centricity and financial regulation. We provide great customer service to accompany our smart news feed, intelligent financial content, a broad range of education, and a wide range of markets for our clients to trade. We are seeking an AML Compliance Analyst to join our compliance team. The successful candidate will be responsible for ensuring that our firm complies with the AML and Financial Crime regulatory/legislative requirements and standards. Responsibilities: <ul><ul><li>Conduct daily transaction monitoring</li><li>Liaise with operations staff regarding due diligence/on-going monitoring requirements</li><li>Review AML screening escalations, providing appropriate guidance to the operations staff</li><li>Assist the (D)MLRO with any ad hoc duties</li><li>Assist with the design and delivery of AML-related management information</li><li>Conduct regular reviews of the firm's policies and procedures to ensure compliance with relevant regulations</li><li>Assist with the implementation of new AML processes and procedures</li><li>Provide guidance and support to the business on AML compliance matters</li><li>Assist with the preparation of regulatory reports and returns</li><li>Monitor regulatory developments and advise the business on the impact of any changes</li><li>Investigate and report on any breaches of regulatory requirements</li><li>Conduct investigations and reviews of suspicious transactions or other potential compliance issues.</li></ul></ul>Requirements: <ul><ul><li>A minimum of 1-2 years experience in an AML compliance role within financial services, preferably within a CFD and Spread Betting firm</li><li>Knowledge of FCA regulations, in particular rules and legislation relating to AML/Financial Crime</li><li>Strong analytical, investigative and problem-solving skills</li><li>Excellent attention to detail</li><li>Strong communication and interpersonal skills</li><li>Ability to work independently as well as part of a team</li><li>A degree educated in a relevant subject, is preferred but not essential</li><li>An understanding of the functioning of the physical crypto asset environment is preferred but not essential</li></ul></ul>What you will get in return: <ul><ul><li>Medical Insurance Coverage</li><li>Hybrid type of work with flexible working hours</li><li>Modern and outstanding equipment</li><li>Full annual performance assessment</li><li>Death in Service</li><li>Employee Assistance and referral program</li><li>Company matched contributory pension</li><li>Workation policy</li><li>The opportunity to work with one of the smartest teams on the market. </li></ul></ul>This is an excellent opportunity for an AML-focused compliance professional with 1-2 years experience to join a leading CFD and Spread Betting firm in London. The successful candidate will work closely with the UK compliance team to ensure that our business operates within regulatory requirements, whilst supporting our growth and development. Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

AML Compliance Analyst

Management Consultant - Non-Financial Risk Specialist Joining Capco means joining an organisation that is committed to an inclusive working environment where you're encouraged to #BeYourselfAtWork. We celebrate individuality and recognize that diversity and inclusion is critical to success. It's important to us that we recruit and develop a diverse range of talent. We believe everyone brings something different to the table - so we'd love to know what makes you different. About Capco Capco is a global technology and business consultancy focused on the financial services sector. We are passionate about helping our clients succeed in an ever-changing industry. We are: <ul><li>Experts in banking and payments, capital markets, wealth and asset management and insurance</li><li>Skilled in financial services offerings e.g. Finance, Risk and Compliance; Financial Crime; Core Banking</li><li>Committed to growing our business and hiring the best talent to help us get there</li><li>Focussed on maintaining our nimble, agile and entrepreneurial culture</li></ul>The Role We are looking for Non-Financial Risk Specialists to fill a variety of Project/Programme Management or Business Analyst roles within major Financial Institutions. As a Risk SME, you will be expected to bring a clear understanding of the Operational Risk landscape to your role and work closely with stakeholders to drive good practice through risk transformation, advisory and implementation. You will be required to deliver clear and concise Client requirements and manage Client relationships to achieve outcomes. You should be comfortable defining and documenting business and risk processes and controls, assessing risk frameworks, making and presenting recommendations to senior stakeholders and ensuring regulatory compliance through the use of sound risk management tools and techniques. In your Client-facing role, you will be an ambassador for Capco and are expected to help drive the continued growth of our Risk Practice by identifying future opportunities to expand our Risk footprint across the industry. Skills &amp; Experience Essential <ul><li>Experience in Enterprise Risk Management or Operational Risk, ideally within Financial Services</li><li>Ability to build credible trusted advisor relationships with key client stakeholders at all levels</li><li>A clear understanding of key risk regulations and regulatory trends within Financial Services</li><li>Excellent communication skills</li><li>Project management or change management experience</li><li>A good understanding of the concept of end to end process and the ability to document and analyse processes and controls, identify weaknesses and propose enhancements</li><li>Strong attention to detail, with an ability to work at pace whilst maintaining accuracy</li></ul>Beneficial <ul><li>Ability to analyse a process or framework, identify opportunities for improvement (e.g. risk reduction, control effectiveness, process efficiency)</li><li>Risk and control testing, assurance or remediation experience</li><li>Ability to draft and review risk and associated policies and procedures</li><li>Capability to run workshops and lead discussions with senior stakeholders</li><li>Consulting background</li></ul>WHY JOIN CAPCO? You will work on engaging projects with some of the largest banks in the world, on projects that will transform the financial services industry. We offer: <ul><li>A work culture focused on innovation and building lasting value for our clients and employees</li><li>Ongoing learning opportunities to help you acquire new skills or deepen existing expertise</li><li>A flat, non-hierarchical structure that will enable you to work with senior partners and directly with clients</li><li>A diverse, inclusive, meritocratic culture</li><li>Enhanced and competitive family friendly benefits, including maternity / adoption / shared parental leave and paid leave for sickness, pregnancy loss, fertility treatment, menopause and bereavement</li></ul>

Business Analyst/Project Manager - Non-Financial Risk Specialist (Operational Risk - Enterprise Risk)

Joining Capco means joining an organisation that is committed to an inclusive working environment where you're encouraged to #BeYourselfAtWork. We celebrate individuality and recognize that diversity and inclusion, in all forms, is critical to success. It's important to us that we recruit and develop as diverse a range of talent as we can. We believe that everyone brings something different to the table - so we'd love to know what makes you different. Such differences may mean we need to make changes to our process to allow you the best possible platform to succeed, and we are happy to cater to any reasonable adjustments you may require. You will find the section to let us know of these at the bottom of your application form or you can mention it directly to your recruiter at any stage and they will be happy to help. ABOUT CAPCO Capco is a global business, data and technology consultancy, focused on the Financial Services sector. We are passionate about helping our clients succeed in an ever-changing industry. We are: <ul><li>Experts in banking and payments, capital markets and wealth and asset management</li><li>Deeply knowledgeable in financial services, including, e.g., Finance, Risk, Compliance, Regulatory Change, Financial Crime, Core Banking, etc.</li><li>Committed to growing our business and hiring the best talent to help us get there</li><li>Focused on maintaining our nimble, agile and entrepreneurial culture</li></ul>ROLE DESCRIPTION We are looking to recruit financial risk transformation candidates into our growing Financial Crime, Risk, Regulation and Finance (FRRF) capability. Successful candidates will be involved in advising on risk frameworks and controls, and delivering transformation across the Risk functions of our clients, in support of their Chief Risk Officers (CRO). This includes implementation of regulatory changes (e.g. Basel, IFRS9, BCBS-239), delivery of data to support IRB and VaR modelling, and automation of risk controls, control gap assessment and control implementation. The types of projects we cover are as follows: <ul><li>Our clients are predominantly within Financial Services and look for support in delivering solutions to improve risk management practices and control frameworks. This may include Risk Assessments, Target Operating Model design and implementation, Risk Rating Methodologies and Models, Gap Analysis, data and reporting</li><li>Gap analysis and implementation of regulatory changes</li><li>Identification and implementation of technology and data solutions to support credit, operational, market, liquidity, and capital risk management processes.</li><li>As a Risk Management SME at Capco, you may be required to communicate risk policies and processes for an organisation, develop risk models involving market, credit, liquidity, capital and/or operational risk, ensure controls are operating effectively, and provide research and analytical support.</li><li>You will also be encouraged to support Capco in client account planning, business development and relationship building / networking within the Capco UK FRRF capability. This may include contributions to Capco's Risk Management thought leadership.</li></ul>SKILLS AND EXPERTISE The ideal candidate will have the following skills and experience and will be able to perform the following activities: <ul><li>Good knowledge of regulatory requirements around Basel, IFRS9, BCBS-239 etc with specific focus on credit, market, liquidity and capital risks.</li><li>Knowledge of relevant financial regulations and experience implementing regulatory change and working with regulators</li><li>Experience working in the risk and regulatory practices of a relevant financial services institution</li><li>Ability to evaluate the client's current risk management processes (e.g. analyse potential impacts of key current and emerging risks, trends, reports, statistics, and relevant documentation)</li><li>Define and implement risk management process improvements and track benefit realisation</li><li>Facilitate risk conversations between different departments within organisations (e.g. client-facing businesses, credit risk, operational risk, legal, IT, finance, HR, and operations teams)</li></ul>This will be coupled with strong change management experience and prior success, either as a management consultant or within a change role in a financial services institution. <ul><li>This role allows you to deliver as part of a long-term strategic partnership with our clients, whilst developing within a forward thinking and entrepreneurial business. </li></ul><ul><li>Proven expertise delivering change in the capacity of a Programme / Project Manager or Business Analyst.</li><li>Self-starter and strong team player.</li><li>Strong interpersonal &amp; written communication skills.</li><li>Strong problem-solving skills and an analytical mind-set.</li><li>Demonstrable expertise in building and leveraging relationships.</li><li>To be able to face off to key stakeholders with strong credibility.</li><li>The ability to present to a wide range of stakeholders from AVP to senior MDs.</li></ul>Other Expectations <ul><li>To balance client delivery and supporting development of new client opportunities or market propositions with Financial Risk Management.</li></ul>For senior level candidates <ul><li>Mentor and coach other members of the team.</li><li>Solution development, showing a clear ability as a Subject Matter Expert (SME) to enhance existing propositions, and develop new ones.</li><li>People management, building a team of consultants with the right mix of grades, skills and experience to support client opportunities and projected growth.</li><li>Develop and convert a pipeline of opportunities.</li><li>Fulfil a key role in account and proposition development within Market Domains and Key Client Accounts, assisting senior management to increase revenue.</li><li>Formulate propositions and solutions that meet client requirements in addition to managing and directing pursuit activity.</li><li>Strong bid management abilities, with a proven ability to mentor and train Consultants.</li><li>Drive thought leadership and client campaigns</li><li>Build and maintain strong client relationships within the sector, leveraging proven industry content and delivery capability.</li></ul>WHY JOIN CAPCO? You will work on engaging projects with some of the largest financial services firms in the world, addressing our clients' biggest challenges. We offer: <ul><li>A work culture focused on innovation and building lasting value for our clients and employees</li><li>Ongoing learning opportunities to help you acquire new skills or deepen existing expertise</li><li>A flat, non-hierarchical structure that will enable you to work with senior partners and directly with clients</li><li>A diverse, inclusive, meritocratic culture</li><li>Enhanced and competitive family friendly benefits, including maternity / adoption / shared parental leave and paid leave for sickness, pregnancy loss, fertility treatment, menopause, and bereavement</li></ul>#LI-KA1

Management Consultant - Financial Risk

Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at <a href="http://www.blackstone.com" target="_blank">www.blackstone.com</a>. Follow @blackstone on LinkedIn, Twitter, and Instagram. The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion. Blackstone is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state and local laws. This policy applies to all terms and conditions of employment, including but not limited to hiring, placement, promotion, termination, transfer, leave of absence, compensation, and training. All Blackstone employees, including but not limited to recruiting personnel and hiring managers, are required to abide by this policy. If you need a reasonable accommodation to complete your application, please contact Human Resources at 212-583-5000 (US), +44 (0)20 7451 4000 (EMEA) or +852 3656 8600 (APAC). Depending on the position, you may be required to obtain certain securities licenses if you are in a client facing role and/or if you are engaged in the following: <ul><li>Attending client meetings where you are discussing Blackstone products and/or and client questions;</li><li>Marketing Blackstone funds to new or existing clients;</li><li>Supervising or training securities licensed employees;</li><li>Structuring or creating Blackstone funds/products; and</li><li>Advising on marketing plans prepared by a sales team or developing and/or contributing information for marketing materials.</li></ul>Note: The above list is not the exhaustive list of activities requiring securities licenses and there may be roles that require review on a case-by-case basis. Please speak with your Blackstone Recruiting contact with any questions. To submit your application please complete the form below. Fields marked with a red asterisk * must be completed to be considered for employment (although some can be answered "prefer not to say"). Failure to provide this information may compromise the follow-up of your application. When you have finished click Submit at the bottom of this form.

2025 Blackstone Legal & Compliance - Compliance Analyst, London

SMBC: A trusted partner for the long term Our internal opportunities aim to grow you professionally and personally. Be curious, expand your network and explore how your skills and knowledge can transfer into different roles and areas of SMBC. Even if your experience doesn't perfectly align with the job description 100%, we still welcome your application. Find the resources and support available to help you transition your career and flourish on our Internal Mobility page. Section 1 - Details Job Title / Corporate Title Financial Crime Compliance Advisory - Assistant Vice President Department / Group Compliance Department Financial Crime General / SMBC BI Responsible to / Line Manager Line Manager's Role, Job Title / Corporate Title. Financial Crime Advisory. Vice President Direct Reports N/a Location London Date Prepared May 2024 update Certification regime Out of scope Section 2 - Purpose of Job To assist in identifying where the products and services offered by SMBC BI are or may be used for criminal activities. To provide the EMEA region with advice and guidance with respect to the financial crime risk involving transactions, clients or other business which the Bank could be exposed to, whilst meeting legal and regulatory requirements. To provide advice and guidance to key stakeholders in the first line of defence on financial crime escalations. To identify where enhancements to the financial crime framework could be made. To work collaboratively with colleagues dealing with sanctions escalations Conduct reviews of individuals, corporate entities, business sectors, individual countries, products etc. to identify from a financial crime and reputational risk perspective any key risks the Banks may face. Ensure that management information is accurately obtained and analysed to help assess the financial crime risks. Section 3 - Background As a regulated entity the Bank has both a regulatory and statutory obligation to ensure it implements systems and controls necessary to mitigate the risks of the firm being used in connection with money laundering and / or the financing of terrorism or fraud. The role sits within the Banks 2nd line of defence and as such is responsible for supporting both Front Office and back-office departments by conducting detailed reviews of financial crime matters escalated to CPD - FCG. Working in partnership with 1st line teams to ensure that the Bank can undertake business whilst sufficiently mitigating any underlying financial crime risks. Section 4 - Facts / Scale Main interfaces/relationships: Head and Deputy Head of FCC, Front office departments, OAD staff within EMEA. Additionally, EMEA MLROs &amp; RCCO on ad hoc basis. Primary remit: 2nd line activities, as defined by CPD - FCG policies, in relation to financial crime advisory referrals and reviews. To continually risk assess and escalate accordingly when required. Secondary remit: Undertake role of SME for at least one area of financial crime as directed. Provide advice, guidance, assistance and training to EMEA staff in line with SME responsibilities. The AVP role holder will also be required to support the EMEA Head and Deputy Head of FCC with respect to strategic initiatives, in order to ensure that the Bank's financial crime systems and controls framework remains fit for purpose. Section 5 - Accountabilities &amp; Responsibilities <ul> <li>Responding to enquiries from the business in a timely manner. </li> <li>Providing advice and guidance to EMEA front office departments to mitigate financial crime risk associated with regards to current and potential customers and proposed trades / transactions, supplier engagements and corporate hospitality. </li> <li>To review and assess the appropriateness of financial crime related clauses contained within financing documentation/ agreements, to ensure transactions fall within the bank's risk appetite. </li> <li>To assist in the writing of applicable policies and procedures.</li> <li>To escalate effectively to the EMEA Head/Deputy Head of FCC/ Manager of FCC Advisory, any other matters that require further guidance.</li> <li>Identify developing themes, assist in building control frameworks which proactively prevent or detect financial crime. Keep fully apprised of proposed changes to legislation, directives and guidance, and ensure that key points are communicated to Head/Deputy Head of FCC.</li> <li>Collate MI and draft reports in preparation for internal committees. </li> <li>Draft Suspicious Activity Reports (SARs) for submission to the Nominated Officer/MLRO/NCA.</li> <li>In conjunction with CPD Training unit produce and deliver specialist training with regards to financial crime across EMEA.</li> <li>In addition to the normal responsibilities over the department in the EMEA offices, the role holder is responsible for day-to-day provision of services to SMBC London Branch based on the Agreement for the Provision of Services between SMBC London Branch and SMBC BI</li> </ul>Section 6 - Knowledge, Skills, Experience &amp; Qualifications <ul> <li>Understanding and practical ability to apply the management of financial crime risks within the UK Banking environment. </li> <li>Inquisitive, motivated and highly trustworthy with an ability to work with the minimum of direct supervision, experienced in dealing with highly confidential material. </li> <li>Ability to independently conduct reviews of complex referrals </li> <li>Strong analytical skills, capable of making logical assessments based upon factual data.</li> <li>Thorough understanding of the Bank's products and services.</li> <li>Excellent verbal and written communication skills, especially when faced with challenge.</li> <li>Strong ability to appropriately prioritise tasks in a high-risk environment.</li> <li>An International Compliance Association or other recognised professional qualification in financial crime.</li> <li>Ability to acknowledge that there is often a need to be a member of more than one team. Tactful, diplomatic, customer focused individual. </li> <li>Ability to act as financial crime SME on behalf of CPD-FCG.</li> <li>Knowledge of Proceeds of Crime Act 2002, Bribery Act 2010, Fraud Act 2006. </li> <li>Knowledge of the wider financial crime landscape - UK and global.</li> <li>Well organised with excellent ability to prioritise conflicting work whilst retaining an excellent attention to detail.</li> </ul>Section 7 - Challenges The role holder will be required to collate, analyse and summarise a large amount of complex data working in time sensitive situations where attention to detail is critical whilst effectively managing conflicting demands and expectations placed upon them. 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 SMBCE and Nikko CM and any other relevant agreements entered into 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 value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing our sustainable growth as an organisation. If you're in need of reasonable adjustment to the recruitment process due to disability or long-term condition, just let your recruiter know.

PERM - CPD - Financial Crime Compliance Advisory - Assistant Vice President

About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Role/ Department: Reporting to the Capital Markets Head of Risk and Change Management, this first line risk role within the Banking and Markets business will identify, measure, and escalate key risks within the business. The Risk Specialist will work with business unit stakeholders to identify opportunities to mitigate inherent risks by supporting the development of frameworks and enhanced standards. This role will include engagement with key subject matter experts within the business and supporting areas, as well as collaboration with second line risk and compliance functions. Therefore, strong communication skills and knowledge of the Capital Markets business are preferred. The key responsibilities of the role include: <ul><li>Coordinate and facilitate monthly forums to foster open and candid discussions of inherent risks, risk profile changes and mitigating controls</li><li>Identify areas of highest risk, highlight key controls and control gaps to senior stakeholders</li><li>Strengthen the foundation to mitigate the inherent risks of the business by supporting the development of frameworks, enhanced standards and related procedural documentation</li><li>Lead forums to review, advise, challenge and document changes to the Capital Markets product offerings including new products, product enhancements and process changes</li><li>Foster an environment for open dialogue with business partners serving as a trusted advisor on risk related issues</li><li>Act as a business unit liaison to the second line risk and compliance functions function</li><li>Represents Risk on Steering Committees and/or Working Groups</li></ul>Skills/ Qualifications: The successful candidate will benefit from having: <ul><li>Excellent verbal and written communication skills</li><li>Strong organization, attention to detail, time management, planning skills and the ability to handle multiple competing priorities with a collaborative approach to work,</li><li>Ability to make independent decisions and also to be a team player and effective communicator to ensure that issues are appropriately resolved</li><li>Inquisitive and enthusiastic approach to problem solving</li><li>Leadership and organizational skills to direct the activities for the multiple business units</li><li>Several years financial services experience with strong experience in operational risk, controls, or audit.</li><li>Excellent working knowledge of audit, risk and operational management concepts and the ability to understand and interpret the impact of decisions, as well as identify and convey potential problem areas.</li><li>Confidence and expertise to advise management and the business</li><li>Knowledge of Capital Markets (or a business within Capital Markets)</li></ul>Working with Us: As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose. We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater Reasonable accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at <a href="mailto:MyHRHelp@ntrs.com" target="_blank">MyHRHelp@ntrs.com</a>. We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater.

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