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Line of Service Tax Industry/Sector Not Applicable Specialism Global Compliance Services Management Level Manager Job Description &amp; Summary About the role: We are a leading provider of technology enabled corporate tax compliance and integrated advisory services, working across a prestigious client base. A career within our corporate tax team, will provide you with the opportunity to help our clients meet their tax obligations while managing the impact tax has on their business. The variety of work, size of our team and focus on learning and development brings about opportunities to specialise in particular industries or technical areas. Our team is agile and open to new ways of working. The investment in automation and robotics enables us to be at the forefront of change and innovation. Together, we produce technical excellence, innovative solutions and an outstanding client experience. Our team spans multiple locations across the UK and we work collaboratively, as one team, with overseas centres. This also means that there are no geographical restrictions to the type and complexity of work that can be undertaken. What your days will look like: You will join our team of experts specialising in supporting clients with their Corporate Tax Compliance and Tax Accounting obligations. Our clients range from multinationals to smaller mid tier clients across a wide range of industry sectors, providing you with opportunities to broaden your technical knowledge. You will work alongside other tax specialists managing a range of activities for the clients in your portfolio including: <ul><li>Up-front scoping and engagement planning with clients</li><li>Liaising with the Data Management team on the approach to data collection for your clients</li><li>Managing a portfolio of clients, being the primary contact for all corporate tax compliance related matters.</li><li>Review and submission of tax accounting schedules</li><li>Review and submission of corporation tax returns</li><li>Experience working across a broad range of clients and technical areas, including the opportunity to specialise in a particular technical area or industry, e.g. tax accounting, real estate, financial services, private equity, large corporates and private business.</li></ul><ul><li>Being empowered to apply a growth mindset and play a part in shaping the future of compliance practices, approaches and technology.</li><li>Developing transferable professional and digital skills, including leadership, coaching, communication and relationship capabilities.</li></ul>This role is for you if: <ul><li>Strong UK corporate tax skills</li><li>Sound accounting knowledge, including familiarity with accounting principles and ability to understand and interpret statutory accounts.</li><li>Must possess a tax professional qualification (e.g. ACA, ATT, CTA, ACCA (or an international equivalent) or have equivalent work experience. This includes international candidates who qualify through experience in their home country.</li><li>Developed client service ethos and are agile in meeting client needs</li><li>Be able to establish, build and maintain a good working relationship with key decision makers.</li><li>Be an effective delegator and strong coach for junior staff.</li></ul>What you'll receive from us: No matter where you may be in your career or personal life, our benefits are designed to add value and support, recognising and rewarding you fairly for your contributions. We offer a range of benefits including empowered flexibility and a working week split between office, home and client site; private medical cover and 24/7 access to a qualified virtual GP; six volunteering days a year and much more. Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Accepting Feedback, Accepting Feedback, Accounting Practices, Active Listening, Analytical Thinking, Coaching and Feedback, Communication, Corporate Tax Planning, Creativity, Drafting Tax Documents, Embracing Change, Emotional Regulation, Empathy, Financial Audit, Financial Review, Financial Statement Analysis, Inclusion, Intellectual Curiosity, Learning Agility, Monitoring and Analyzing Financial Trends, Optimism, Preparing Tax Documents, Professional Courage, Project Management, Regulatory Compliance Consulting {+ 14 more} Desired Languages (If blank, desired languages not specified) Travel Requirements Up to 60% Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Corporate Tax Compliance, Manager

Job Description We are looking to appoint an experienced financial services Compliance Officer to maintain and develop an effective conduct and regulatory risk framework to ensure that the Arbuthnot Latham (AL) Group (Core and Subsidiaries) operates in compliance with all regulatory requirements. Main objectives <ul> <li>Provide compliance and risk focused advice and challenge into decision making at all levels of the Group, balancing risk and reward with the objective to profitably grow the business over the long term.</li> <li>Act as the independent second line of defence in accordance with AL's three lines of defence model, providing oversight and guidance as appropriate. </li> <li>To manage and oversee the Compliance department including all resources therein.</li> <li>Be part of the Risk Oversight function Senior Leadership team.</li> <li>Be part of the AL Senior Leadership team.</li> <li>To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers; and to comply with the FCA and PRA's Conduct Rules.</li></ul>Key Responsibilities: <ul> <li>As SMF16 (Compliance Oversight Function) comply with all responsibilities as detailed.</li> <li>Embed a positive culture of confident and informed risk awareness within the AL Group through training, communication and promotion of the agreed Conduct/Regulatory risk framework.</li> <li>Regularly engage with the firm's Executives to understand the conduct and regulatory risk relating to their areas, providing advice and guidance where appropriate, and escalating any concerns to either the CRO and/or the Chair of Risk Committee.</li> <li>Own the Compliance Strategic Plan and Compliance Terms of Reference ensuring they are updated annually to reflect AL's overall strategy, risk appetite, business model and regulatory environment. </li> <li>Monitor, analyse and communicate current and future regulatory changes. </li> <li>Advise on the potential conduct and compliance risks of new strategic initiatives including acquisitions and new business activities.</li> <li>Advise and guide Senior Management, in co-operation with the Head of Legal, to ensure that all terms and conditions relating to clients, compliance policies and procedures are documented and kept up to date and that they reflect current regulatory requirements. </li> <li>Advise and oversight of the Senor Management and Certification Regime (SMCR). </li> <li>Be responsible for the risk based Compliance Monitoring Plan. </li> <li>Be responsible for the Compliance Training Plan. </li> <li>Manage the FCA/PRA day to day relationship for AL. </li> <li>Be the responsible person for FATCA/CRS and Qualified Intermediary (QI) regime.</li> <li>Be the firm's Data Protection Officer.</li> <li>Resource, develop, performance manage and motivate the Compliance team.</li> <li>Actively engage with and contribute to the overall functioning of the Risk Oversight Function and its strategic objectives.</li> <li>Adhere to the Code of conduct as set out by the PRA/FCA and described in the Arbuthnot Latham Compliance Manual.</li> <li>Accountable for managing the risks detailed in the department's RCSA on day to day basis </li> <li>Responsible for managing risks inherent to the role by diligently observing internal policies and procedures</li></ul>Risk: <ul> <li>Accountable for managing the risks detailed in the department's RCSA on day to day basis.</li> <li>Oversight of department Risk and Control Self Assessments (RCSA) for conduct and compliance risks.</li> <li>Oversight of conduct risk reporting. This covers committee reporting including risk tolerances and RCSA based risk reporting.</li> <li>Support for the Conduct Risk Committee including coordination of the production of the committee reporting pack.</li></ul>Key Interfaces: <ul> <li>CEO </li> <li>Chair of Risk Committee </li> <li>Arbuthnot Latham Board</li> <li>Risk Committee </li> <li>Conduct Risk Committee</li> <li>AL Executives and functional heads</li> <li>Subsidiary Executives</li> <li>External Regulatory bodies including the FCA, PRA, HMRC and ICO.</li> <li>Professional bodies and Trade bodies including UK Finance, CISI and PIMFA</li></ul>Person Specification Knowledge / Experience/Skills: <ul> <li>Extensive knowledge and experience of regulatory compliance, including the FCA Handbook and PRA Rulebook.</li> <li>Experience of Banking and Investment services gained within a Banking environment.</li> <li>Detailed understanding of high net worth, retail market place and appropriate regulations.</li> <li>Sound knowledge and insight into the operations of the FCA and PRA (or future regulatory authorities).</li> <li>Good understanding of Data Protection law and the requirements of the ICO.</li> <li>Long-term leadership experience at both team and Senior Management level.</li></ul>Qualifications: <ul> <li>Ideally educated to degree standard.</li> <li>Ideally qualified to compliance diploma level 4 or equivalent compliance related qualification.</li></ul>Competencies: <ul> <li>Problem solving and judgement</li> <li>Team working </li> <li>Working proactively </li> <li>Expert knowledge</li> <li>Planning and reviewing </li> <li>Business and Commercial focus</li> <li>Communication and confidence</li></ul>

Chief Compliance Officer

You are applying for a job at: Brown &amp; Brown (Europe) We are part of Brown &amp; Brown Insurance group. Built on meritocracy, our unique company culture rewards self-starters and those who are committed to doing what is best for our customers. Financial Compliance Manager - Europe Location: London (Hybrid) Package: Negotiable + Benefits As part of our ongoing journey of growth and building on our approach as A Forever Company™ we're looking to appoint a Financial Compliance Manager establish, improve and operate our internal control frameworks across Financial reporting for our businesses within Europe. You'll be working with some fantastic Teammates at all levels to make sure we're ticking all the right boxes and our teams are working as compliantly and efficiently as possible. This is a role that will have some significant potential for development as we continue our ongoing growth across the Insurance market both within the United Kingdom and Europe. We're looking for a Teammate to join us with prior experience of the Insurance Broking / MGA / Insurer world or proven experience within practice of assisting Insurance businesses. Essential Duties and Functions: include the following. Other duties may be assigned. <ul><li>Evaluate and act upon Financial Risks, Guidelines, Controls, and Reporting.</li><li>Administer Controls for European Profit Centers in Europe<ul><li>Controls, Setup, Users, Reference Documents, Etc. specific to European Profit Centers</li><li>Evaluation of Control Exceptions and Deficiencies specific to European Profit Centers</li><li>Educate and Trouble Shoot items related to Archer with European Teammates</li><li>Administrator for late CSAs for European Profit Centers and Ensure timely resolution</li></ul></li><li>Admin in the updating of the Brown &amp; Brown Accounting Guidelines including updating controls, processes, and procedure changes</li><li>Manage Risk Fraud Deterrence Analysis Review for Europe specific issues</li><li>Correspond with Financial Team Leaders in Europe</li><li>Update, Review, Document, and Test COSO requirements and ensure in place for European Profit Centers</li><li>Liaison to the External Auditors of the Company</li><li>Perform other duties as assigned by Head of European Reporting</li><li>Aid in the annual budget preparation and budget monitoring</li></ul>About you: You'll already have solid exposure to Financial Compliance within the Insurance Industry and be looking for the next step in your career where you can drive a function forwards. You'll be a qualified accountant ACA/ACCA (or equivalent) A well-developed skill set that includes high level Communication (Written, Verbal, Video), Analytical, Stakeholder Management, Influencing and Problem Solving skills coupled with the ability to use related Finance and IT related packages. Exposure to SOX Controls, GAAP (including US GAAP), working knowledge of IFRS and FCA / Financial Legislation / Rules Be comfortable when required travelling to various business locations outside of London Exposure to Auditing of US businesses and Workday Finance is desirable but by no means essential. The Rewards: <ul><li>A negotiable salary coupled with all the normal benefits you'd expect (Pension, Life Assurance, Individual PMI, 25 days holiday + Bank Holidays and Flex Benefits post probation.</li><li>Access to the annual company share save scheme</li><li>Full support for ongoing professional development (including fully funded professional qualifications)</li></ul>We are an Equal Opportunity Employer. We take pride in the diversity of our team and seek diversity in our applicants.

Financial Compliance Manager - Europe

Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, equities and alternatives. Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future. For more information about the firm please visit our website. Overview of the Role The UK Head of Compliance, will support and assist the Head of Compliance &amp; Operational Risk, Europe &amp; APAC in developing and maintaining the Nuveen compliance framework, together with the related execution of the compliance program in support of the UK and wider Europe &amp; APAC businesses. The Compliance function provides advice to senior management on regulatory matters and regulatory change as well as providing independent monitoring/testing to ensure the business continues to operate within the appropriate regulatory standards, internal policies and industry norms. This role will look to focus on the execution of the compliance program in support of the UK businesses as well as providing Group Compliance support to the Nuveen Europe &amp; APAC regulated entities. This is a key hire and requires the candidate to engage with Nuveen Senior leadership, Local UK CEO and Directors, key business stakeholders and international colleagues, including our partners in Compliance in the U.S. The ability to engage and deliver on key change initiatives is critically important. The jobholder will also be required to communicate with the FCA effectively on behalf of the business and must therefore possess a high degree of credibility and gravitas in order to drive the compliance agenda forward. Key responsibilities will include: <ul><li>Lead from a Compliance perspective the advisory and oversight activities in the United Kingdom particularly relating to the Real Estate, Sales &amp; Distribution (GCG), Product and Fixed Income activities. Support the establishment of public-side portfolio management capabilities in the UK;</li><li>Oversee and ensure the ongoing effectiveness and implementation of all Compliance policies and procedures across the UK business as well as collaborate with Europe &amp; APAC Compliance colleagues as required. Conduct policies reviews at least annually;</li><li>Perform and manage the Europe &amp; APAC Compliance Risk Assessment programme as it applies to the Europe &amp; APAC regulated entities and work at designing and executing an effective Compliance Monitoring programme applicable to the regulated activities that complements the Compliance Testing programme;</li></ul><ul><li>Attend and present Compliance Papers at the relevant UK regulated Boards and Europe &amp; APAC Governance Committees;</li><li>Provide thought leadership, guidance, and drive implementation with respect to the compliance aspects for regulatory matters, implementation of Group programmes and regulatory change as it relates to Nuveen UK business;</li><li>Work across the UK business to review and oversee Client Money controls (CASS) and manage Compliance interaction with the external auditor;</li><li>Liaise with the business in relation to regulatory issues identified and ensuring remedial action points are followed up, including close collaboration with Operational Risk colleagues;</li><li>Conduct training of the business in various compliance policies, procedures and provision and implementation of Computer Based Training modules;</li><li>Represent Compliance on ad hoc projects and initiatives as required from time to time;</li><li>Liaise and develop compliance contacts across the Nuveen affiliates and Group Compliance.</li><li>Responsible for overseeing the Code of Ethics Compliance functions. Lead with Nuveen-wide engagement on group wide policy initiatives pertaining to Code of Ethics.</li><li>Act as Deputy Head of Compliance for Europe &amp; APAC as and where required.</li></ul>Technical Skills &amp; Qualifications Required <ul><li>Experience of compliance working in an institutional asset management business</li><li>Extensive experience with MiFID II requirements relating to product, distribution and trading/portfolio management.</li><li>Experience working in a global organisation is advantageous.</li><li>The candidate will also take a keen interest in regulatory developments particularly those that impact clients</li><li>Experience in managing compliance functions and personnel.</li><li>Sound knowledge of regulatory requirements and principles especially, but not limited to, those set by the Financial Conduct Authority.</li><li>AIFMD knowledge</li><li>Demonstrable experience of private funds registration and distribution</li><li>Compliance related qualification desirable.</li><li>Candidate must have SM16 certification in prior role.</li></ul>Competencies Required <ul><li>Proven team management and leadership skills with the ability to motivate and develop a dedicated compliance team</li><li>Excellent judgement, communication and influencing skills</li><li>Detail conscious and tenacious approach to dealing with regulatory matters but also the ability to see the bigger picture.</li><li>Excellent organisation skills, including the ability to prioritize work.</li><li>Highly effective interpersonal skills, resulting in the ability to liaise with all levels of staff and management.</li><li>Strong written and verbal communication skills.</li><li>Model the values of the wider Nuveen &amp; TIAA Group.</li></ul>This is level 10 People Leader role. This role requires SMF16 regulatory designation. Nuveen is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace. Nuveen offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities. Please contact <a href="mailto:ta@nuveenglobal.com" target="_blank">ta@nuveenglobal.com</a> should you require any assistance. Related Skills Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking Company Overview Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, listed equities and alternatives. Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future. For more information about the firm please visit our website at <a href="http://www.nuveen.com" target="_blank">www.nuveen.com</a> Accessibility Support TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities. If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team: Phone: (800) 842-2755 Email: <a href="mailto:accessibility.support@tiaa.org" target="_blank">accessibility.support@tiaa.org</a> Privacy Notices For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here. For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here. For Applicants of TIAA Global Capabilities, click here. For Applicants of Nuveen residing in Europe and APAC, please click here.

Head of UK Compliance - MD - Based in London

Job Description The Role The Senior Compliance Analyst - Monitoring will deliver compliance monitoring activities which provide quality assurance on business adherence to relevant legislation, regulation, internal policies / procedures / processes, and industry standards, by conducting regular assessments, identifying potential compliance risks, and proposing corrective actions to maintain ongoing compliance across all business operations. They will assist the Group Compliance Team in maintaining a robust Compliance Framework which actively identifies, monitors and reports on the management of significant regulatory risks. Responsibilities: <ul> <li>In conjunction with relevant stakeholders, the creation and delivery of the Annual Compliance Monitoring Plan, via a combination of Focused, Thematic, and Awareness type quality assurance reviews.</li> <li>Contributing to the evolution of the Compliance Universe, including the ongoing development of key risk &amp; performance metrics.</li> <li>Regulatory liaison strategy in conjunction with Regional Governance Resource, to foster a culture of open and transparent communication.</li> <li>Delivering bespoke compliance sponsored workshops and training programs to enhance business awareness of key legislative &amp; regulatory matters.</li> <li>Contributing to delivery of compliance advisory services as part of BAU.</li> <li>Assisting in the ongoing maintenance of Compliance owned Policies, Processes, and Procedures across all global entities.</li> <li>In conjunction with other Governance stakeholders, the ongoing development of the Compliance Business Plan, taking account of local regulatory developments and emerging compliance risks.</li> <li>Monitor activities of the business against internal and external requirements, reporting MI as necessary to ensure effective oversight. </li> <li>Develop and maintain relationships across all areas of business operations to promote the embedding of the evolving compliance culture, in keeping with all applicable legislative 7 regulatory requirements.</li> <li> Ad hoc project and transactional work</li></ul>Skills and Experience: The successful candidate will be able to demonstrate the following: <ul> <li>Sound understanding of UK legislation &amp; regulation</li> <li>Ability to create &amp; deliver a Compliance Monitoring Plan</li> <li>In-depth knowledge of the key elements of a robust and effective Compliance Universe model</li> <li>Excellent writing &amp; presentation skills</li> <li>Proactive self-starter who shows initiative and is always willing to take on more</li> <li>Confident in liaising with stakeholders in a constructive way, giving commercially attuned advice</li> <li>Attention to detail with a high degree of accuracy in work product</li> <li>Collaborative team worker </li> <li>Willingness to help innovate and drive change where required</li> <li>Ability to work well under pressure and unphased by competing priorities, deadlines and volumes of work</li></ul>About Us Our benefits We offer all employees a comprehensive benefits package that focuses on their whole wellbeing. This includes hybrid working, a competitive base salary, non-contributory pension, discretionary bonus, insurances including health (family) and dental cover, and many other benefits to enhance financial, physical, social and psychological health. About Canopius Canopius is a global specialty lines (re)insurer. We are one of the leading insurers in the Lloyd's of London insurance market with offices in the UK, US, Singapore, Australia and Bermuda. At Canopius we foster a distinctive, positive culture which enables us to bring our whole selves to work to flourish as people, and build a business which delivers profitable, sustainable results. Based in incredible new offices in the heart of the City of London, Canopius operates a flexible, hybrid working model and is committed to providing an environment that challenges employees to be their best and where everyone's unique contributions are recognised, valued and respected. We are fully committed to equal employment opportunities for all applicants and providing employees with a work environment free of discrimination and harassment. All employment decisions are made regardless of age, sex, gender identity, ethnicity, disability, sexual orientation, socio-economic background, religion or beliefs, marital or caring status, or any other status protected by the laws or regulations in the locations where we operate. We encourage and welcome applicants from all diverse backgrounds. We make reasonable adjustments throughout the recruitment process and during employment. Please let us know if you require any information in an alternate format or any other reasonable adjustments.

Senior Compliance Analyst - Monitoring

Job Description Company Overview At Cboe Europe, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world. We're building inclusive ways to support professional and personal development while strengthening the trust we've earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to "go for it" and equip our managers with the training to coach their teams to the next level. Our Associate Resource Groups champion diversity, equity and inclusion, giving associates a safe space to network, share ideas and create opportunities. Sound like the place for you? Join us! Summary: The Data &amp; Reporting Compliance Manager will be responsible for developing and maintaining an effective compliance program to cover all of Cboe Europe's non-financial regulatory data management, record keeping and reporting obligations. The successful applicant will be part of an experienced Compliance team. Location: London, UK Responsibilities <ul><li>Oversee the compliance oversight program covering end-to-end data governance and non-financial regulatory reporting processes, including data collection, validation, and submission and ensure compliance with all relevant regulations, including but not limited to the FCA Handbook and MiFID/R.</li><li>Stay up-to-date with the latest UK and EU regulatory requirements from the FCA, AFM and ESMA.</li><li>Interpret and work with technology teams to apply regulatory changes into our reporting processes.</li><li>Implement and maintain robust controls to ensure reporting accuracy and completeness.</li><li>Work with Technology to develop new tooling for Compliance, to automate reporting controls, and to improve efficiency and reduce risk.</li><li>Analyse regulatory data to identify trends and potential risks and provide senior management with updates on regulatory reporting performance and risks.</li><li>Support the development of regulatory reporting strategies and policies.</li><li>Build and maintain strong relationships with regulators, auditors, and internal stakeholders.</li><li>Represent the organisation in relevant regulatory discussions and industry groups.</li></ul>Requirements <ul><li>A Bachelor's degree or equivalent, ideally in a science or engineering discipline.</li><li>Proven subject matter expertise and 7+ years of experience in Order Record Keeping and regulatory reporting, preferably gained within a regulator, trading venue, broker and/or data reporting services provider.</li><li>Experience of data governance, data architecture, advanced analytics, data management practices</li><li>Proven ability to interpret regulatory reporting requirements</li><li>Ability to work well under pressure and adapt to changing situations.</li><li>Familiarity with trading techniques and technology.</li><li>Strong troubleshooting, problem-solving and analytical skills.</li><li>Ability to work well in a team environment.</li><li>Strong written and verbal communication skills.</li></ul>#LI-CP2 #LI-Hybrid Location Overview The Cboe office in London is situated in The Monument Building, a modern space that spans two floors and features a spacious outdoor balcony. From the balcony, employees can enjoy stunning views of some of London's most iconic architectural landmarks, adding a unique touch to the work environment. The building is equipped with convenient amenities for office commuters, including bike storage and showers, making it easy for staff to freshen up after their commute. Its prime location in the heart of London's financial district ensures that employees have easy access to a variety of cafes, restaurants, and shops, creating an ideal balance of work and leisure. The office is located directly adjacent to the historic Monument to the Great Fire of London and is just across the street from the Monument Underground Station. This provides convenient transport links, with access to the West End in less than 15 minutes. The location blends the vibrancy of central London with the business-centric atmosphere of the City, making it an attractive hub for professionals. Benefits and Perks of working for Cboe We value the total wellbeing of our people - including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization. Still, you should know we offer: Flexible, Hybrid Work Environment Private Medical Insurance Life Insurance GP Service Fitness Corporate Membership Employee assistance Program (EAP) Eye Care Short Term Incentive (STI) Pension Income Protection Accident Insurance Business Travel Insurance Associate Referral Program Perks at Work Employee Stock Purchase Plan (ESPP) LinkedIn Learning courses Service Awards Subsided Lunch Corporate Events Education Assistance Holiday (Annual Leave) Other Forms Enhanced Leave (Maternity, Paternity, Adoption, Compassionate Leave, Community Service / Volunteering Day &amp; School Visit) Working Abroad Days Allowance More About Cboe Europe We're reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We're investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed. We celebrate the diversity in our communities, inside and out, and welcome new perspectives with equity, inclusion and belonging. We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We're an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes. Learn more about life at Cboe on our website and LinkedIn. Equal Employment Opportunity We're proud to be an equal opportunity employer - and celebrate our associates' differences, including race, religion, sex, sexual orientation, gender identity, national origin, age and disability. Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.

Data & Reporting Compliance Manager

Job Description The Role To assist the Group Financial Crime team and broader Group Compliance function in ensuring that Canopius has a robust financial crime and compliance framework in place which actively identifies, controls and reports on the management of significant regulatory risks Responsibilities <ul> <li>Working with the Group Financial Crime Manager to establish and maintain a robust financial crime framework which enables Canopius to comply with relevant financial crime laws and requirements in the territories in which it operates.</li> <li>Assist the Group Financial Crime Manager in ensuring that Canopius' policies, processes and procedures demonstrate compliance with relevant regulatory requirements.</li> <li>Assist first line business owners to take direct responsibility for the management and control of financial crime related risk and to provide oversight and challenge to the business in order to ensure a robust framework is in place.</li> <li>Assist the Group Financial Crime Manager in the completion of the annual Financial Crime Risk Assessment.</li> <li>Provide advisory support to the business, including handling sanctions referrals.</li> <li>Assist the Group Financial Crime Manager, Business Unit Compliance teams and AML Nominated Officers to carry out investigations in relation to financial crime concerns.</li> <li>Supporting the Whistleblowing Process, ensuring concerns are appropriately escalated for internal investigation.</li> <li>Support the Group Financial Crime Manager with the provision of relevant training to the business.</li> <li>Support wider Compliance projects and initiatives as required.</li> <li>Actively contribute to the positive compliance and risk management culture in the Company and observing all relevant regulatory requirements.</li> <li>Review regulatory updates, issues and publications, analyse, and interpret their application to Canopius and communicate the analysis within the business as appropriate</li> <li>Actively develop and maintain relationships with a wide range of senior managers and underwriters across the business to ensure that processes are fully embedded</li></ul>Skills and Experience <ul> <li>Demonstrable, comprehensive Financial Crime knowledge and experience across International Sanctions (including a deep understanding of the UK, EU and US sanctions regimes), Anti-Money Laundering, Anti-Bribery, Anti-Fraud, Prevention of Tax Evasion, Prevention of Market Abuse and Competition Law</li> <li>Wider experience within a broader Compliance role</li> <li>Knowledge and experience of the Lloyd's market</li> <li>Strong communication skills at all levels</li> <li>Ability to analyse compliance requirements and embed them into business processes</li> <li>Ability to build relationships to implement change</li> <li>Ability to apply regulatory requirements to commercial scenarios</li> <li>Ability to independently and pro-actively identify areas that require compliance focus and put together a plan to address</li></ul>

Senior Compliance Analyst- Financial Crime

Job description Connect to your Industry In a world that is constantly changing, organisations need to adapt quickly, this is your opportunity to join Deloitte's market-proven Non-financial Risk team and help our clients to better manage their risks on a day-to-day basis across the enterprise. You will develop an impressive range of commercial skills that will multiply your career options. Benefiting from early client exposure and collaborating with some of the top practitioners in the field, you will be involved in some of the largest, most complex and innovative advisory engagements in the UK and internationally. Our Non-financial Risk team offers unrivalled depth of experience in providing solutions based on our client needs. We design, implement and provide assurance over enterprise risk management approaches including risk strategies, operating models and risk management and appetite frameworks and associated processes. In addition, we help clients develop an effective risk culture to underpin their risk management activities. Our Financial Services clients are being driven by regulatory pressures, the need to do 'more with less' and increasingly a desire for a more integrated approach to risk management across the enterprise. They look to our professionals to help them achieve that aim, efficiently and with an unrelenting focus on their needs. Connect to your career at Deloitte Deloitte drives progress. Using our vast range of expertise, we help our clients' become leaders wherever they choose to compete. To do this, we invest in outstanding people. We build teams of future thinkers, with diverse talents and backgrounds, and empower them all to reach for and achieve more. What brings us all together at Deloitte? It's how we approach the thousands of decisions we make every day. How we behave, our beliefs and our attitudes. In other words: our values. Whatever we do, wherever we are in the world, we lead the way, serve with integrity, take care of each other, foster inclusion, and collaborate for measurable impact. These five shared values lead every decision we make and action we take, guiding us to deliver impact how and where it matters most. Connect to your opportunity We are looking for a candidate with a background in operational risk management, enterprise risk management and risk culture who can demonstrate a track record of subject area knowledge, relationship building and a desire to gain experience and progress their career. Your focus will be on providing innovative solutions to our clients across risk transformation and non-financial risks; and you will contribute to our ambitious growth plans for our team and propositions. Part of the role you will: <ul> <li> Work on variety of projects such as Risk Transformation supporting clients with the design and implementation of their Future Risk Operating Models and Vision; Risk Management Frameworks' design and implementation including, for example, Risk Strategies, Risk Appetite, Risk Governance, Risk Assessments and Risk Culture. </li> <li> Liaise with clients both face to face and remotely. </li> <li> Manage the planning and execution of projects part of Engagement Teams. </li> <li> Manage sometimes tight deadlines, often requiring prioritisation of numerous activities and requirements. </li> <li> Analyse and drive insights from client current state practices versus our market-leading benchmarking tools. </li> <li> Provide research and analysis related to Risk Culture, Operational Risk and other non-financial risk projects, business development and thought leadership where appropriate. </li> <li> Have an opportunity to work in multi-discipline teams; have a clear understanding of the firm's commitment to creating a more inclusive team culture where people are recognised for their contribution. </li> </ul> Connect to your skills and professional experience Essentials: <ul> <li> Experienced in Financial Services within Operational Risk Management, Risk Culture, and/or broader Enterprise Risk Management frameworks and operating models. </li> <li> Educated to a degree level or equivalent experience. </li> <li> Someone who can analyse complex information, draw insights and write high quality outputs including reports. </li> <li> Natural at taking initiative. Someone who can think creatively, generate innovative ideas, challenge the status quo and deliver effectively with what can often be ambiguous requirements. </li> <li> Able to connect with clients, industry experts and colleagues in the field to share insights and opportunities to drive personal and business growth via a diverse network. </li> <li> Open to travel to client sites as required by this position. </li> </ul>Desirables: <ul> <li> Familiar with insurance regulatory requirements including PRA and FCA. </li> </ul> Connect to your business - Strategy, Risk &amp; Transactions Advisory In an ever-evolving world, there are no certainties in business. Our teams help clients to navigate risks, process major transactions and deliver transformational change that will future-proof their business. Join us to make a positive difference. Regulatory &amp; Financial Risk We provide advisory services across the risk and regulatory landscape to help our clients move beyond simply meeting the minimum compliance standards, to strategically creating a responsible, sustainable future. This includes providing critical insight and advice on the future of regulation to assist our clients in anticipating change and responding with confidence. Personal independence Regulation and controls are standard practice in our industry and Deloitte is no exception. These controls provide important legal protection for both you and the firm. We are subject to a number of audit regulations, one of which requires that certain colleagues abide by specific personal independence constraints (e.g., in relation to any financial interests and employment relationships). This can mean that you and your "Immediate Family Members" are not permitted to hold certain financial interests (shares, funds, bonds etc.) with audit clients of the firm, and also prohibitions on certain employment relationships (e.g., you are not permitted to hold a secondary employment role with SEC audit clients of the firm whilst being employed by the firm). The recruitment team will provide further detail as you progress through the recruitment process or you can contact the Independence team upon request. Connect with your colleagues "At Deloitte you're given all the training, support and on the job experiences you need to equip you with the core skills and knowledge for your role. I've been supported in developing technical and leadership skills for example" - Gurpal, Risk &amp; Transactions Advisory Our hybrid working policy You'll be based in London with hybrid working. At Deloitte we understand the importance of balancing your career alongside your home life. That's why we'll support you to work flexibly through our hybrid working policy. Depending on the requirements of your role, you'll have the opportunity to work in your local office, virtual collaboration spaces, client sites and remotely. You'll get the chance to meet face to face when needed, while you collaborate and learn from colleagues, share your experiences, and build the relationships that will fuel your career and prioritise your wellbeing. Please check with your recruiter for the specific working requirements that may apply for your role. Our commitment to you Making an impact is more than just what we do: it's why we're here. So we work hard to create an environment where you can experience a purpose you believe in, the freedom to be you, and the capacity to go further than ever before. We want you. The true you. Your own strengths, perspective and personality. So we're nurturing a culture where everyone belongs, feels supported and heard, and is empowered to make a valuable, personal contribution. You can be sure we'll take your wellbeing seriously, too. Because it's only when you're comfortable and at your best that you can make the kind of impact you, and we, live for. Your expertise is our capability, so we'll make sure it never stops growing. Whether it's from the complex work you do, or the people you collaborate with, you'll learn every day. Through world-class development, you'll gain invaluable technical and personal skills. Whatever your level, you'll learn how to lead. Connect to your next step A career at Deloitte is an opportunity to develop in any direction you choose. Join us and you'll experience a purpose you can believe in and an impact you can see. You'll be free to bring your true self to work every day. And you'll never stop growing, whatever your level. Discover more reasons to connect with us, our people and purpose-driven culture at deloitte.co.uk/careers WPFULL SLSRTA BARISREG

Manager, Insurance Enterprise and Operational Risk Management and Risk Culture

Your role Are you an experienced Compliance and Operational Risk professional? Can you take responsibility for the delivery of the Compliance and Operational Risk framework for our UK operations of UBS Asset Management, and support a robust compliance and operational risk framework to ensure sustainable performance and the right outcomes for our clients, markets and people? We are looking for a Compliance Officer like you to support us with: • advising Asset Management key stakeholders on regulatory topics, risk identification, mitigation, and all necessary regulatory measures, ranging from individual specific issues to broader strategic projects • ensuring compliance and operational risk controls are robust, applied and appropriately owned across both 1st and 2nd lines of defense and that policies and procedures reflect regulatory requirements and industry best practice in alignment with our firmwide C&amp;ORC framework • implementing the relevant aspects of our UBS Non-Financial Risk Framework and management of the delivery of the regulatory obligations arising from our UK AM entities • deputizing for our Head of UK C&amp;ORC in Committee and Board Meetings as well as representation at various associations • management of regulatory topics • arranging and providing compliance training to AM UK business • being considered as a trusted partner of our AM business whilst also delivering effective independent challenge Join us At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs. From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact? Disclaimer / Policy statements UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce. Your team You will be reporting into our UK Head of Asset Management C&amp;ORC based in London. Your team consists of subject matter experts (SMEs) who cover Operational Risk Control, Investment and Product Advisory, Financial Crime and Regulatory Developments. Our wider team supports our UK Asset Management business by ensuring the effective management of its regulatory and operational risks. Additionally you will ensure close alignment and collaboration between other AM C&amp;ORC regional teams, leveraging other key SMEs as required. Your expertise • at least 10 years experience of Compliance and/or related operational roles • strong background in Passive Asset Management • proven track record in compliance and operational risk control, with a focus on and/or experience working in asset management • broad understanding of the UK regulatory framework • effective communication skills, both written and spoken English • exceptional stakeholder management skills • structured, analytical approach coupled with proven capability to think laterally and understand, both the big picture and underlying details • willingness to work in a hands-on manner, to understand and adapt positively to changes About us UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal &amp; Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.. We have a presence in all major financial centers in more than 50 countries.

Compliance Officer, Asset Management

Open is an Australian-founded insurtech company on a mission to deliver the best insurance experiences for the world. We are growing rapidly since launching in the UK and are working with some of the UK's leading brands. We're now looking for our first Manager of Insurance Operations &amp; Compliance in the UK to drive our insurer partnerships and regulatory compliance as we scale. Reporting to the Chief Commercial and Insurance Officer, you'll be getting hands on in everything we do from new product launches to our biggest partnerships. This is a fantastic opportunity for you to blend your insurance knowledge, commercial nuance and data literacy skills and have a strong impact across all aspects of our scaling business. You'll work closely with our Legal and Compliance advisors who will provide technical guidance, so while compliance experience is beneficial, it is not essential. About Open Open's on a mission to deliver the best insurance experiences for the world. With data and technology at our core, we power the embedded insurance programs for leading brands like Avios, Starling Bank, Bupa and Telstra (Australia's largest telco) and their customers. Starting in Australia in 2016, we've launched in the UK and are growing rapidly across travel, gadget and home insurance. We're backed by leading investors, including LocalGlobe (UK), AirTree Ventures (AU), Movac (NZ), and Hollard Insurance (AU). Plus, we've been a certified B Corp since 2017, keeping our commitment to having a positive impact on our people, partners and communities at the heart of everything we do. Come and join our global team and help us to deliver the best insurance experiences for the world. What You'll Do What you get up to day-to-day will vary, but here's an idea of what you can expect: <ul><ul> <li>Own insurer relationships - You'll be the primary contact for our insurer partners.</li> <li>Lead reporting &amp; oversight - Manage regulatory and customer outcome reporting for our Board, underwriters and the FCA.</li> <li>Support product innovation - Collaborate with distribution partners, underwriters and the wider team to launch innovative new products and experiences within the regulatory environment we operate in.</li> <li>Ensure regulatory alignment - Oversee adherence to insurance product terms and underwriting agreements.</li> <li>Scale governance frameworks - Drive Open's compliance and insurance governance strategies, processes and controls, working closely with our Risk and Compliance advisors.</li> <li>Maintain compliance excellence - Keep our internal compliance documentation up to date, oversee compliance training, and proactively navigate regulatory changes.</li> </ul></ul>We firmly believe your career is what you make it. There's no shortage of things to do at Open, and in this role you'll have exposure to all parts of our business in the UK. You'll also get a chance to learn from, and share your own learnings and experience with, the broader global team. With broad experience, tons of responsibility, the balance of plenty of autonomy with coaching, feedback and support, you'll have all of the ingredients you need to develop rapidly and propel your career growth. Requirements To succeed, you'll need: <ul> <li>3-5 years of underwriting operations, legal, regulatory, compliance or other relevant experience in the financial services sector, ideally in insurance;</li> <li>a strong understanding of the FCA Handbook and Consumer Duty;</li> <li>the ability to create plans, prioritise and then roll up your sleeves and get things done;</li> <li>a "no excuses" attitude to delivering great experiences for our customers and our partners and taking ownership when you see a problem that needs fixing;</li> <li>excitement to learn new things and challenge yourself when faced with complex problems;</li> <li>to be very organised and able to manage multiple projects at once in a fast-paced scale-up environment; </li> <li>strong analytical, critical thinking, problem solving and communication skills; </li> <li>proven ability to work effectively with data, ideally with modern data tools like Snowflake; and</li> <li>the ability to build and manage relationships with other Open teams and external partners.</li> </ul>Benefits It's an exciting time to join our team and be part of a company that is solving some of the most exciting problems at the intersection of insurance and technology. We provide our team with: <ul> <li>Highly competitive compensation, including share options - we believe in paying people what they're worth and having everyone in our company share in our success</li> <li>High levels of autonomy and trust so you can do your best work</li> <li>Growth opportunities internally - as you grow, your role can too</li> <li>Flexible working - In our UK team, we're in the office near Bond St, London 3 days a week to get the most out of collaborating together, but we are about impact, not time at your desk.</li> <li>Annual allowance for professional development - use it towards a gym membership, professional coaching, a conference. Whatever matters most to you.</li> </ul>At Open, we're open and this means that we celebrate diversity and are committed to providing an inclusive environment for all employees. Lastly, Open is a high-performing team that strives to achieve brilliant things every day and we encourage you to apply even if your experience doesn't exactly match the job description. We're looking for people who are intellectually curious, courageous, innovative and passionate. Our culture is truly open, we're continuously challenging each other to live our values, and aren't afraid to raise questions when we fall short. Most importantly, Open is for those that want to create change and have an impact. If that sounds like you, apply for this role and let's build the future of insurance together.

Insurance Operations & Compliance Manager UK

We're looking for a UK HEAD OF REGULATORY COMPLIANCE &amp; MLRO The UK Head of Regulatory Compliance &amp; MLRO will be a strategic and hands-on leader responsible for ensuring iwoca's compliance with all applicable regulatory requirements, fostering a strong culture of compliance, and serving as a trusted advisor to senior stakeholders. Reporting to the UK General Manager (who is also a co-Founder), this role is vital in ensuring that iwoca understands and adheres to regulatory standards. About us Fast, flexible finance empowers small businesses to manage their cash flow better and seize opportunities - making their business and the economy stronger as a whole. At iwoca, we do just that. We help businesses get the funds they need, when they need it, often within minutes. We've already made several billion in funding available to over 100,000 businesses since we launched in 2012, and positioned ourselves as a leading Fintech in Europe. Our mission is to finance one million businesses. We'll get there by continuing to make our finance ever more relevant and accessible to more businesses by combining cutting-edge technology, data science and a 5-star customer service Your mission <ul><li>Regulatory Compliance: <ul><li>Oversee compliance with FCA regulations, specifically under PSD2, anti-money laundering (PSD designated MLRO) requirements, and data protection laws. We offer our loan products to Ltd companies, we no longer serve sole traders in the UK except for via our buy-now-pay-later product</li><li>Ensure ongoing adherence to conduct risk frameworks and regulatory changes including those of the Lending Standards Board (LSB) and Advertising Standards Authority (ASA).</li><li>Lead investigations into regulatory compliance breaches and remediate and escalate breaches in a timely manner</li><li>Conduct regulatory compliance risk assessments and ensure that appropriate controls are in place</li><li>Ensure that there is a programme of periodic regulatory compliance monitoring to provide a second line assurance for iwoca's core regulatory risk exposures</li><li>Ensure effective compliance training is in place for all iwocans</li></ul></li><li>Policy Development: <ul><li>Develop, maintain, and implement regulatory compliance policies, procedures, and frameworks aligned with regulatory requirements and industry codes and standards</li></ul></li><li>Advisory and Stakeholder Engagement: <ul><li>Act as a trusted adviser to the leadership team on regulatory compliance risks and strategies</li><li>Provide practical regulatory advice on new products, services, and operational changes</li></ul></li><li>Regulatory Relationships: <ul><li>Maintain positive relationships with relevant regulatory bodies, and lead the interactions with the FCA and other relevant standard setters</li><li>Engage with external bodies, such as the Lending Standards Board, as well as industry peer groups, forums, roundtables, and regulatory task forces to stay informed about emerging risks, trends, and regulatory changes</li></ul></li><li>Collaboration and Team Leadership: <ul><li>Manage the UK compliance and fincrime compliance team (currently 4 people)</li><li>Collaborate with other iwoca functions such as Legal, Technology, Analytics, Operations and Product groups to ensure the regulatory compliance view is considered in our commercial strategies and business practices</li><li>Build and maintain an effective relationship with the Risk Committee ensuring that regulatory compliance risks and issues are reported at regular intervals</li></ul></li></ul>Requirements <ul><li>8+ years of proven experience in a senior compliance role ideally within a B2B lending fintech, corporate lender or other related financial services</li><li>We are launching card products and experience of managing card compliance programmes, gained within an EMI or similar regulated entity will be a distinct advantage</li><li>Meet the fitness and proprietary requirements of the FCA for a PSD individual.</li><li>Be able to demonstrate strong leadership and an ability to challenge senior stakeholders while supporting business growth</li><li>Be exceptionally analytical, including skilled at using data to understand and explain regulatory initiatives and guidance</li><li>Hold relevant industry certifications (e.g. ICA)</li></ul>The salary We're open-minded, so definitely include your salary goals with your application. We routinely benchmark salaries against market rates and run quarterly performance and salary reviews. The culture At iwoca, we look to hire smart, passionate, humble individuals with a growth mindset. We prioritise a culture of learning, growth, and support, and invest in the professional development of our team members. We value thought and skill diversity and encourage you to explore new areas of interest to help us innovate and improve our products and services. Our friendly and inclusive environment, combined with our flexible work policies, ensures that you'll have the perfect balance between work and life, empowering you to thrive both personally and professionally. The offices We put a lot of effort into making iwoca a brilliant place to work: <ul><li>Offices in London, Leeds, and Frankfurt with plenty of drinks and snacks</li><li>Events and clubs, like bingo, comedy nights, yoga classes, football, etc.</li></ul>The benefits <ul><li>Medical insurance from Vitality, including discounted gym membership</li><li>A private GP service (separate from Vitality) for you, your partner, and your dependents.</li><li>25 days' holiday, an extra day off for your birthday, the option to buy or sell an additional five days of annual leave, and unlimited unpaid leave</li><li>A one-month, fully paid sabbatical after four years.</li><li>Instant access to emotional and mental health support.</li><li>3% Pension contributions and share options.</li><li>Generous parental leave and a nursery tax benefit scheme to help you save money.</li><li>Cycle-to-work scheme and electric car scheme.</li><li>Two company retreats a year, we've been to France, Italy, Spain, and further afield.</li></ul>And to make sure we all keep learning, we offer: <ul><li>A learning and development budget for everyone.</li><li>Company-wide talks with internal and external speakers.</li><li>Access to learning platforms like Treehouse.</li></ul>Useful links: <ul><li>iwoca benefits &amp; policies</li></ul>

UK Head of Regulatory Compliance & MLRO

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 65 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. The Role: We are hiring for a Senior Manager, Operations &amp; Operational Risk to join LSEG Regulatory Reporting, part of the Markets division at LSEG. This is a dynamic, blended role requiring an individual who can navigate between operational risk management and day-to-day operations support. You will play a key part in overseeing the operational resilience of the organization while also support the Head of Operations to ensure smooth and efficient function execution. You must demonstrate a deep understanding of both operational risk and the broader operations function, ensuring compliance with regulatory standards. Key Responsibilities: Operational Risk &amp; Resilience Management: Lead the identification, assessment, and mitigation of operational risks across the organization. Work closely with business units to ensure risks are understood and handled effectively. Ensure the organization's resilience frameworks are in line with regulatory requirements (e.g., DORA, FCA's Operational Resilience framework). Develop and manage risk management programs, including scenario testing and stress-testing exercises to assess the organization's ability to withstand operational disruptions. Oversee the implementation of business continuity and disaster recovery plans, ensuring they are regularly tested and updated. Regulatory Knowledge &amp; Compliance: Keep the organization compliant with key regulations, such as DORA (Digital Operational Resilience Act), the FCA's operational resilience framework, and SOC2 requirements. Act as a subject matter expert for regulatory initiatives and ensure the operations team is aware of and adhering to all required regulations and controls. Support the preparation for audits and regulatory inspections, ensuring that all required documentation and evidence are prepared in advance. Operational Function Support: Work closely with the Head of Operations, providing day-to-day support to ensure operations run smoothly. Assist in managing operational processes, performance metrics, and continuous improvement initiatives. Contribute to the optimization of operational workflows and implementation of controls, ensuring they align with best practices in risk management. Develop and monitor Key Control Indicators (KCIs) to measure the effectiveness of operational controls and ensure corrective actions are taken when needed. Senior Management Communication: Present key operational risk updates to the Management Committee, Board, and senior stakeholders, ensuring they understand potential risks and mitigation strategies. Provide thought leadership and strategic insights on operational resilience and risk management to senior management. Collaborate cross-functionally with other teams (e.g., IT, legal, compliance) to ensure all aspects of operational risk are being effectively handled. Continuous Improvement &amp; Scenario Testing: Lead scenario testing initiatives to assess the resilience of operational functions in the face of various disruptions (e.g., cyber incidents, market shocks, regulatory changes). Identify areas for improvement and champion projects to enhance the organization's overall operational resilience. Support the development and delivery of training programs to increase awareness of operational risk and resilience across the organization. Skills and Experience Required: Operational Risk Experience: <ul><li>Strong background in operational risk management, resilience, and controls in a senior role.</li><li>Experience working with regulatory frameworks such as DORA, FCA's operational resilience agenda, and SOC2 compliance.</li><li>Ability to identify and mitigate operational risks effectively, with a focus on maintaining business continuity.</li></ul>Operations Expertise: <ul><li>Good understanding of how an operations function runs, including performance metrics, workflow management, and resource optimization.</li><li>Hands-on experience in implementing controls, key performance indicators, and key control indicators (KCIs) to measure operational effectiveness and mitigate risks.</li></ul>Senior-Level Communication &amp; Presentation Skills: <ul><li>Experience presenting complex operational risk data to senior management, the board, and external partners in a clear, actionable manner.</li><li>Ability to influence senior leaders on risk-related decisions and operational improvements.</li><li>Strong report-writing skills to deliver structured and impactful presentations.</li></ul>Scenario Testing &amp; Stress-Testing: <ul><li>Experience in conducting scenario testing and stress-testing exercises, assessing the impact of various risk events on operational functions.</li><li>Familiarity with the tools and techniques used to perform and analyze such tests.</li></ul>Regulatory Compliance &amp; Audit Preparation: <ul><li>Deep understanding of SOC2 requirements and the ability to drive compliance across operational processes.</li><li>Ability to prepare for and lead regulatory audits and inspections, ensuring all necessary documentation and action plans are in place.</li></ul>Key Competencies: <ul><li>Analytical Thinking: Strong ability to analyze operational risks and identify solutions that balance resilience with efficiency.</li><li>Problem-Solving: Ability to think creatively and address complex operational challenges.</li><li>Leadership: Experience managing teams, driving projects, and influencing senior leaders on risk-related issues.</li><li>Collaboration: Ability to work across departments and influence colleagues at all levels to improve operational risk management processes.</li><li>Attention to Detail: Strong focus on accuracy and thoroughness when designing controls and assessing risks.</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.

Senior Manager, Operations & Operational Risk

Rothesay is the UK's largest pensions insurance specialist, purpose-built to protect pension schemes and their members' pensions. With over £68 billion of assets under management, we secure the pensions of more than one million people and pay out, on average, approximately £200 million in pension payments each month. Rothesay is dedicated to providing excellence in customer service alongside prudent underwriting, a conservative investment strategy and the careful management of risk. We are trusted by the pension schemes of some of the UK's best known companies to provide pension solutions, including British Airways, Cadbury, the Civil Aviation Authority, the Co-Operative, Morrisons, Smiths Industries and Telent. At Rothesay, we are striving to transform our industry. We believe deeply in creating real security for the future and our leadership in finding new and better ways to do that is the key to our success. To do that, we need the very brightest original thinkers to bring creativity as well as rigour. Rothesay is a rewarding place to work, where quality people can thrive and prosper. We pride ourselves on the connections our people build, many of whom have been with us for over ten years. Job title: Central Compliance Analyst Rothesay always strives to do the right thing. We have high ethical values and expect precision and excellence in everything we do. We have set rigorous Compliance Standards that we use to measure our culture and conduct. The Compliance Standards support the Compliance Function to proactively identify, monitor and mitigate conduct risk. The overarching purpose of the role is to ensure that Rothesay and its people adhere to our Compliance Standards, and that Compliance takes decisive action where required to maintain the conduct and culture we expect. Responsibilities You will be responsible for: <ul><li>Operating Rothesay's Employee Compliance ('EC') processes and associated tasks;</li><li>Be involved in the implementation of a new e-communications surveillance solution;</li><li>Escalating and reporting employee compliance breaches to senior management</li><li>Carrying out monitoring activities such as validation and reconciliation exercises to provide assurance over key business and Compliance processes</li></ul>Employee Compliance Processes and Other General Responsibilities You will: <ul><li>Operate Rothesay's EC processes, including but not limited to Personal Account Dealing, CBT Training, Gifts and Entertainment, and personal Conflicts of Interest/Outside Activities</li><li>Preparing Management Information (MI) and reports on employee compliance and compliance breaches to Rothesay's committees and senior management</li><li>Assist with the processes and administration around compliance training and attestations</li><li>Assist in the investigation of and reporting of Compliance breaches</li><li>Conduct monitoring of employee e-communications and escalate as necessary</li><li>Conduct thorough testing of new Compliance systems, such as an e-communications surveillance tool, and provide feedback to ensure the systems are fit for purpose</li><li>Assist with the team with other Compliance priorities</li></ul>Compliance Monitoring We provide our stakeholders with evidence-based assessment of whether business procedures, processes and controls are designed well and operate effectively. We principally do this through validation and reconciliation exercises, surveillance, Compliance monitoring and business attestations. Individually and collectively these activities test business arrangements against the Compliance Standards and applicable regulatory requirements and expectations in those areas we identify as presenting the greatest risk. In summary, you will be responsible for: <ul><li>Performing validation and reconciliation exercises to provide assurance over key business and Compliance processes</li><li>Working with key stakeholders on recommended actions and tracking them until completion</li><li>Providing MI and other reporting on monitoring outcomes</li></ul>General The role-holder should play an active role in the Compliance Function and the activities it carries on to meet its operational objectives. Specifically, we expect you to: <ul><li>Provide support to the business on current and prospective conduct risks, themes and issues impacting Rothesay</li><li>Both through your defined responsibilities and more generally, driving a positive, conduct-focused compliance culture at all levels of the business</li><li>Provide input into the Compliance Function's analytical framework and annual planning process</li><li>Ensure you remain competent for the work you do, and proactively manage your professional learning and development, maintaining at least 15 hours' CPD in a calendar year</li></ul>Skills and Experience Required: <ul><li>Relevant experience in a similar compliance role</li><li>Ability to comfortably manage multiple work streams and internal stakeholders at the same time</li><li>Experience with PRA and FCA requirements and expectations</li><li>Strong personal commitment to the highest ethical standards and exceptional customer outcomes</li><li>Experience working in a high-profile financial services environment</li><li>Demonstrable commitment to diversity, inclusion and making a real difference in the communities we live and work in</li></ul>Preferred: <ul><li>Project delivery experience, such as being able to deliver on a component part with a mix of supervision and independent working</li><li>Experience in operating, testing and refining Compliance IT systems</li><li>Expertise consulting with and advising internal stakeholders around regulatory frameworks.</li><li>Experience using excel for reporting purposes</li></ul>Competencies Our overarching Compliance competencies are integrity, enterprise and judgement. <ul><li>Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate analytical skills</li><li>Drive and Motivation - Be a self-starter; successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks</li><li>Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients and service providers, helps the client to identify/define needs and manages client/business expectations</li><li>Teamwork - Demonstrate evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions</li><li>Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others</li><li>Judgement and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues</li><li>Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value</li><li>Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendations</li></ul>Disclaimer This position description is intended to describe the duties most frequently performed by an individual in this position. It is not intended to be a complete list of assigned duties, but to describe a position level. The role shall be performed within a professional office environment. Rothesay Life has health and safety polices that are available for all workers upon request. There are no specific health risks associated with the role. Inclusion Rothesay actively promotes diversity and inclusivity. We know that our success depends on our people and that by nurturing a culture that values difference, we create a stronger, more dynamic business. We welcome applications from all qualified candidates, regardless of race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability or age.

Central Compliance Analyst

The Senior Tax Accounting and Compliance Manager will be responsible to set-up and lead the tax accounting and compliance function. About us With over 200 million customers in 50+ countries, Bolt is one of the fastest-growing tech companies in Europe and Africa. And it's all thanks to our people. We believe in creating an inclusive environment where everyone is welcome, regardless of race, color, religion, gender identity, sexual orientation, national origin, age, or disability. Our ultimate goal is to make cities for people, not cars, and we need your help to achieve this mission! About the role In this newly established role you will be responsible for developing, monitoring and maintaining Bolt's global tax accounting and compliance processes, including tax reporting positions in group financial statements, Pillar II reporting and corporate workings. This position allows you to combine your understanding of Corporate Income Tax (CIT) regulations, tax compliance and IFRS/tax accounting knowledge. This role requires a strategic thinker with excellent technical skills and the ability to work collaboratively across departments. Main Tasks and Responsibilities: <ul><li>Ensure Accurate Tax Provisions and Disclosures in Financial Statements</li><li>Provide Guidance on Accounting for Income Taxes, Deferred Taxes and Liabilities, Uncertain Tax Positions, and Other Tax-Related Financial Reporting Matters</li><li>Ensure Timely and Accurate Preparation and Filing of Corporate Tax Returns and Other Tax-Related Filings Across Multiple Jurisdictions</li><li>Perform periodical Tax forecasting and provide Tax (P&amp;L and Cash) guidance for mid to long-term.</li><li>Assisting in the implementation and roll-out of tax reporting tools and technology aimed at improving tax reporting quality and accuracy and compliance processes, including the implementation of OECD Pillar 2 for the Group.</li><li>Develop and implement strategies to optimise tax accounting and reporting processes</li></ul>About you: <ul><li>You have a minimum of 8 years of experience working in industry and/or consultancy or as an in-house tax accountant.</li><li>You have relevant Tax accounting and reporting (IFRS) experience.</li><li>You have an excellent understanding and experience of implications of various direct and indirect taxes that may affect business, including international taxation and transfer pricing.</li><li>You have very solid knowledge about corporate income tax, indirect tax and international tax in a global organization.</li><li>You have excellent written and verbal English communication skills.</li><li>You have strong interpersonal skills and the ability to build strong relations with internal stakeholders and teams in a multicultural global entrepreneurial environment.</li></ul>Experience is great, but what we really look for is drive, intelligence, and integrity. So even if you don't tick every box, please consider applying! Why you'll love it here: <ul><li>Play a direct role in shaping the future of mobility.</li><li>Impact millions of customers and partners in 500+ cities across 45 countries.</li><li>Work in fast-moving autonomous teams with some of the smartest people in the world. </li><li>Accelerate your professional growth with unique career opportunities.</li><li>Get a rewarding salary and stock option package that lets you focus on doing your best work.</li><li>Enjoy the flexibility of working in a hybrid mode with a minimum of 2 days in the office each week to foster strong connections and teamwork.</li><li>Take care of your physical and mental health with our wellness perks.</li></ul>*Some perks may differ depending on your location and role. #LI-Hybrid

Senior Tax Accounting and Compliance Manager

Job Description We are seeking an experienced Compliance Officer to join our Governance team. The Governance team ensures that the regulations set by the Regulated Body are complied with and the firm's regulatory obligations are met. The compliance department assesses the risk inherent in the business, looks at ways to minimise this risk and looks to harmonise business objectives with compliance and legal obligations. This role can be based in any of our nine offices, working on a hybrid basis. Responsibilities: <ul> <li>Perform the SMF16 (Compliance Oversight) function for Barnett Waddingham </li> <li>Responsible for overseeing / ensuring delivery of the compliance monitoring plan, including ensuring centralised policies are designed, implemented and maintained appropriately</li> <li>Perform the SMF17 function and as the company's Money Laundering Reporting Officer (MLRO), oversee the company's anti-money laundering activities, policies and procedures. Responsible for day to day AML investigation and reporting</li> <li>Assist with the operational effectiveness of the company's systems and controls that are designed to achieve compliance with CASS, supporting and working with the Partners responsible for CASS oversight</li> <li>Working with the relevant individuals in the team, you will work to set and oversee delivery of Audit, Compliance monitoring, Data protection and information security and Training </li> <li>Working to ensure the appropriate information security and data protection policies are implemented and remain effective</li></ul>We would love to hear from you if you have: <ul> <li>Relevant Financial services experience (essential)</li> <li>Relevant professional qualifications (essential) <ul> <li>Diploma in Financial Planning or equivalent qualification (essential)</li> <li>CISI Compliance qualifications</li> </ul></li> <li>Skills based qualifications are also relevant e.g. A1 Assessor</li> <li>Experience in Legal (desirable)</li> <li>Experience in risk management (desirable)</li></ul>What's in it for you: <ul> <li>Competitive discretionary annual bonus and salary review</li> <li>Generous pension scheme (we contribute 8%)</li> <li>Funded training and professional development</li> <li>Core benefits including private medical cover, life assurance, group income protection, and up to 30 days holiday per year with holiday trading</li> <li>A comprehensive range of voluntary benefits to suit you including an electric car leasing scheme, tech scheme, cycle to work scheme, dental cover, healthcare cash plan, health assessments, critical illness cover, Sports Allowance - we pay up to 50% of your gym/sports membership (up to £50 pm), travel insurance, paid volunteering, and a broad range of retailer discounts </li></ul>Happy to talk flexible working. Accessibility We are a Disability Confident Employer. If you require reasonable adjustments or want more information on accessibility, please click here Not quite the right opportunity for you this time? For more about us and other Careers at BW, please click here Follow Barnett Waddingham on LinkedIn We kindly ask recruitment agencies to not send speculative CVs. Should we need assistance, we will reach out. All enquiries should be directed to <a href="mailto:careers@barnett-waddingham.co.uk" target="_blank">careers@barnett-waddingham.co.uk</a>.

Compliance Officer

Description Trolley is the payouts platform for the internet economy. Our vision is to unlock the collective economic opportunity of the internet - for everyone - by building a truly global payouts ecosystem. Through our powerful platform and API, Trolley enables businesses to reach people from all corners of the world and offer creators, on-demand workers, and suppliers the ability to bring their specialized talents to a global market. Businesses use Trolley to automate and manage payouts, collect recipient tax and banking information, and mitigate fraud and risk. It is the go-to payouts solution for hundreds of businesses like Canva, Soundcloud, and Envato, ensuring creators, artists, and suppliers get paid efficiently. Trolley has processed millions of payments, supporting musicians, artists, makers, vendors, and suppliers worldwide. Trolley is an international business headquartered in Canada, with subsidiaries in Canada, US, UK, Europe, Singapore, Australia, and New Zealand. Trolley is looking for an ambitious and knowledgeable Financial Crime Compliance Analyst (AML Analyst, Compliance Analyst) to support our global compliance team. While the role is based in our office in London, England. You will interact closely with your other compliance peers as well as Sales team members based in our other global offices. Responsibilities: <ul><li>Onboarding of corporate customers in the UK, Europe, Canada, Australia, and New Zealand by performing an effective Risk Assessment of the business.</li><li>Obtaining information and supporting documentation to complete Customer Due Diligence (CDD) / Enhanced Due Diligence (EDD) for our business clients.</li><li>Transaction monitoring &amp; analysis as it relates to Money Laundering and Terrorist Financing</li><li>Complete the necessary regulatory reporting to FINTRAC, NCA, AUSTRAC, NZ Police, under their domestic regulations (PCMLTFA, UK MLRs, AML/CTF Amendment Act, etc).</li><li>Analyze and assess ongoing risks (Fraud, AML, CTF, Privacy, Reputational, etc) as per regulations according to compliance policy and procedures</li><li>Work closely with the Chief Compliance Officer &amp; the UK Director of Compliance / MLRO, to maintain, update, improve policies and procedures for the different international compliance programs.</li><li>Proactively escalating urgent cases to the MLRO for review.</li><li>Work cross-departmentally to proactively identify and resolve any queries and complaints.</li><li>Keep up to date with current and future regulatory changes that affect the business and use this knowledge to proactively suggest improvements to compliance policies and procedures.</li><li>Maintain organized and effective logs and reports of all activity for review and audits.</li><li>Be a self-starter and participate in other exciting compliance projects as the business grows domestically and internationally.</li><li>Working to a high standard with minimal supervision and meeting strict timeframes.</li></ul>Requirements <ul><li>2-3 years experience in Financial Crime Compliance / AML Compliance gained ideally with an MSB, Bank or Financial Institution.</li><li>Experience in reviewing identification documents and electronic sources, risk scoring, monitoring of transactions, watchlist screening of payments (Sanctions, PEP, Adverse Media), suspicious transaction / activity reporting.</li><li>Knowledge of Money Laundering Regulations (UK JMLSG guidance notes, FINTRAC, AUSTRAC).</li><li>Ability to analyze, evaluate and mitigate financial crime risks.</li><li>Disciplined self-starter with great attention to detail.</li><li>Ability to balance extreme pressure and deadlines with constantly changing priorities.</li><li>Hold a degree, CAMS certification preferred.</li></ul>What we offer: <ul><li>Competitive salary and meaningful equity (ESOP).</li><li>Join an amazing team of diverse people working together on a common mission.</li><li>Extended Healthcare benefits including dental, vision, LTD, etc. from day 1.</li><li>30 days (including bank holiday) + 1 extra vacation day per year of service.</li><li>30 days remote work from anywhere.</li><li>Gym membership allowance.</li><li>1/2 day Fridays off during summer.</li><li>Company provided use of Apple MacBook Pro and Mac gear.</li></ul>

Financial Crime Compliance Analyst

<ul> <li>The role requires the ability to effectively collaborate with other members of Risk, Business Services (Operational Resilience, Change, and Third Party and Outsourcing (TP&amp;O)) to secure buy-in for oversight and monitoring, and implement improvements to systems, processes, and technology, as appropriate.</li> <li>To apply knowledge and insights concerning Non-Financial Risk, including Operational Resilience, Change and TP&amp;O, Operational Risk, IT and systems risk and Conduct Risk, and how this impacts our policyholders. </li> <li>To provide challenge to the first line, reviewing Management Information, testing and other documentation to ensure a high degree of accuracy and regulatory compliance.</li> <li>To deliver good outcomes for the business, policyholders, shareholders, and other stakeholders.</li> <li>Our Company values are expected to be reflected in the delivery and performance of every role.</li> </ul>Specific accountabilities assigned to the role of Non-Financial Risk Manager within Risk <ul> <li>Conduct thorough analysis of first line tests, papers and Management Information, particularly review of Third-Party assessments, Exit plans, Operational Resilience scenario tests, mapping and vulnerabilities.</li> <li>Responsible for the successful delivery of routine reporting for the NFR team, input into Risk and Control Self Assessments (RCSA) process, Own Risk and Solvency Assessment (ORSA) scenario process and event management as required.</li> <li>Collaborate with and support the rest of the team, both the Operational Risk Managers and the Non-Financial Risk Leads, to ensure good coverage of business as usual work load, and assist with specific deep dives, projects, new deals, or field work where necessary.</li> <li>Prepare comprehensive reports reflective of the intended audience that demonstrate sound analysis and recommendations for Operational Risk, Management Risk and Board Risk Committees.</li> <li>Effectively collaborates with both the Non-Financial Risk team, the wider Risk team and the first line.</li> <li>Takes ownership for their own learning and development in both technical (e.g. data analysis and critical judgement) and non-technical (self-insight and relationship management) skills of Non-Financial Risk Management.</li> <li>Keeps informed of industry trends, market developments, regulatory changes in the public and private sectors, as well as best practice related to Non-Financial Risk Management by attending industry seminars, reading and sharing relevant published articles.</li> </ul>Requirements Knowledge <ul> <li>Good technical knowledge of Operational Risk Frameworks</li> <li>Good technical knowledge of business processes, standards, policies and procedures</li> <li>Good knowledge of relevant legal and industry requirements</li> <li>Good knowledge of non-financial risks </li> <li>Good knowledge of Operational Resilience regulations</li> <li>Good knowledge of best practise for change. </li> </ul>Experience <ul> <li>Professional qualification useful but not essential</li> <li>Prior experience of a risk management role in a relevant financial services entity (insurance, asset management, banking)</li> <li>Familiarity with the UK regulatory environment </li> <li>Experience in developing good relationships with stakeholders</li> <li>Experience of delivering high standard good quality management information, documentation and reporting.</li> </ul>Benefits In addition to a competitive base salary and the opportunity to participate in our annual, performance-related bonus plan, upon joining us here at Pension Insurance Corporation, you will get access to some great benefits, including private medical insurance, 28 days' annual leave (excluding bank holidays), a generous pension scheme and much more.

Non-Financial Risk Manager

31st January, 2025 Senior Risk and Compliance Specialist - London - £90k - £100k - Sustainable Investment Our client are a leading Advisory firm and are committed to driving sustainable growth through responsible investment and align their services with Environmental, Social, and Governance (ESG) principles to create value and positive impact. This business are right at the forefront of the ESG / Sustainability space throughout finance &amp; investment and offer a fast moving, progressive culture with plenty of opportunity to develop. They are hiring for a Snr Risk and Compliance Specialist to ensure their firm remains compliant with evolving regulations. This role involves managing external regulatory updates and internal implementation of these regulations. Key responsibilities include monitoring and interpreting regulations, assessing their impact on operations and collaborating with stakeholders to integrate compliance into business strategies. The areas of focus will be Compliance, AML and Risk Management (You will not be expected to know all of these). Topics include: Compliance <ul> <li>GDPR</li> <li>ISO 27001</li> <li>SOC</li> <li>DORA</li> </ul>AML <ul> <li>AML/CFT Measures</li> <li>ML / FT Risks</li> <li>FIU Systematic Reporting</li> </ul>Risk Management <ul> <li>Annual ICARA</li> <li>RCSA</li> <li>Balance sheet exposures</li> </ul>We're looking for the following: <ul> <li>5+ years experience in a Risk/Compliance role across Finance or Investment</li> <li>Knowledge of current regulatory requirements</li> <li>Experience project managing integration for regulatory updates</li> <li>Stakeholder engagement focused</li> </ul>Our client offer a competitive salary, benefits, professional growth opportunities, and a collaborative work environment. Apply today if you would like to be considered.

Senior Risk and Compliance Specialist (Sustainable Investment)

About the company: Steamship Mutual is a P&amp;I insurance company, with some 240 employees worldwide. The main office is based near Liverpool Street station, London. We have offices in Bermuda, Brazil, Cyprus, Greece, Hong Kong, Japan, and Singapore. Overall Job Purpose: To support the department's Compliance and Risk Management activities across all jurisdictions, providing technical, professional, and organisational support to the team. Requirements Monitoring <ul> <li>Lead certain monitoring reviews and support on others including assisting the Head of Compliance with engagement and research.</li> <li>Oversee outstanding recommendations from reviews, following up where necessary.</li> <li>Provide input to the annual Compliance Monitoring Plan.</li> <li>Produce reports in good time for all relevant committee meetings.</li> </ul>Regulatory developments &amp; advice <ul> <li>Conduct regular horizon scanning via websites, emails, circulars, and other correspondence issued by Steamship's regulators across the globe, sharing results with the Head of Compliance and/or other parties as appropriate.</li> <li>Summarise regulatory developments to share with team members, other staff and/or with the Compliance Committee where relevant or when requested by the Head of Compliance.</li> </ul>Regulatory engagement <ul> <li>Support compliance with the Senior Managers and Certification Regime including CONNECT submissions, statements of responsibilities and responsibility maps.</li> <li>Assist with general regulatory enquiries including the completion of surveys and waivers.</li> <li>Attend meetings with regulators, taking notes or minutes as appropriate, ensuring actions are tracked to completion.</li> </ul>Compliance Committee <ul> <li>Assemble papers for Compliance Committee meetings, liaising with colleagues across Steamship's offices.</li> <li>Arrange Compliance Committee preparatory meetings, ensuring attendees are available.</li> <li>Attend Compliance Committee meetings, presenting updates and capturing action points.</li> <li>Maintain the Compliance Calendar, following up on items occurring between meetings.</li> </ul>Risk Management <ul> <li>Assist in the administration of Steamship's Risk Register.</li> <li>Follow up on Risk Control Attestations, Risk Events and actions arising from the Risk Management Operations Committee ("RMOC").</li> <li>Attend Risk Review meetings, making notes and following up with Risk owners regarding changes to their Risks and/or controls.</li> <li>Produce reports/report summaries for Risk Management and to management committees as required.</li> <li>Assist with assembling papers for the RMOC including the Risk Register, Risk Event Reports, and other papers as appropriate.</li> </ul>General <ul> <li>Produce an overview of policy changes ahead of each applicable Board meeting.</li> <li>Provide other administrative support to the Chief Risk Officer as and when required.</li> <li>Maintain awareness of new regulations and their likely impact on a P&amp;I Club.</li> <li>Any other ad-hoc duties within the capabilities of the postholder that are relevant to the job and reasonably requested by the Head of Compliance or Chief Risk Officer.</li> </ul>Person Specification: <ul> <li>Experience gained within a financial services or law firm.</li> <li>Strong analytical skills, able to convey complex information in a clear and concise manner.</li> <li>Highly organised, capable of using initiative, prioritising workload according to team expectations, and preparing in advance.</li> <li>Excellent communication skills (written and spoken), able to collaborate with internal stakeholders at all levels.</li> <li>Appreciation of the need to align regulatory standards with commercial considerations.</li> <li>Adept in the extraction of relevant data from search engines, regulatory websites, and other data sources.</li> <li>Working knowledge of Microsoft programmes: Outlook, Teams, SharePoint, Word, Excel, and PowerPoint.</li> </ul>Benefits Join Us at Steamship Mutual <ul><ul> <li>Become part of our collaborative, supportive, and friendly working environment, where you can enjoy a rewarding career with opportunities to enhance your existing skills and knowledge. We prioritise a healthy work-life balance and offer a competitive hybrid working policy.</li> <li>Our clear and transparent career pathways provide continuous support for skill enhancement and create opportunities for professional development. Additionally, we offer access to the Protection &amp; Indemnity Qualification, created by the International Group of P&amp;I Clubs.</li> <li>Our attractive benefits package includes private healthcare and a competitive wellbeing subsidy.</li> </ul></ul>Company Values Mutuality ensuring fairness amongst Club Members Integrity upholding high ethical, legal, and regulatory standards Safety and Sustainability contributing to safety of life at sea and the preservation of the environment Transparency building strong relationships based on trust and open communication Excellence enabling our people to realise their full potential as team members, industry experts, leaders, and managers Collaborative embracing flexibility, diversity, and inclusivity **Steamship Insurance Management Services Ltd is committed to providing a great service to all our members. We pride ourselves on offering a people-centred culture that provides mutual respect and support for all our staff and we welcome and encourage you to apply**

Compliance and Risk Management Executive

Lloyd's is the world's leading insurance and reinsurance marketplace. We share the collective intelligence and risk sharing expertise of the market's brightest minds, working together for a braver world. Our role is to inspire courage, so tomorrow's progress isn't limited by today's risks. Our shared values: we are brave; we are stronger together; we do the right thing; guide what we do and how we act. If you share our values and our passion to build a future that's more sustainable, resilient and inclusive, you'll find a home at Lloyd's - build a braver future with us. Lloyd's is seeking to recruit a Manager, Enterprise Risk. You will contribute to the successful development and executing of the Lloyd's global risk framework, ensuring the key risks to Lloyd's are well understood and appropriately managed within risk appetite. The role will involve a large amount of engagement with stakeholders at various levels across the Corporation, including the production of analysis reports. Risk management skills are required to be able to design and deliver leading risk management tools which are tailored to the unique Lloyd's business model as well as satisfying regulatory requirements Principal Accountabilities To define and regularly monitor the annual risk management and co-ordinated assurance plans. Contribute to an effective risk culture at Lloyd's and deliver training to key stakeholders. To work closely with, and respond with agility to requests (i.e. ad hoc projects) from, the or Head Risk Management or Chief Risk Officer. To ensure the effective operation of the risk governance structure at Lloyd's and liaise with Secretariat to ensure the ongoing effectiveness of the risk committees. To lead operation of the Executive Risk Committee and work with the Chief Risk Officer to set the agenda and ensure the Committee is operating in line with its terms of reference. To produce high quality regular and ad hoc reporting to the various Lloyd's risk committees which enable the committees to effectively discharge their responsibilities. To produce high quality materials for external stakeholders (including rating agencies) and regulators. To build and maintain strong relationships with all relevant Corporation departments, including 'Heads of' functions where appropriate Lead, and contribute to, the development and operation of Lloyd's global risk framework including: Risk and Control Self-Assessment Risk Incident Reporting (losses, control failures, near misses) Emerging risk reporting Risk culture, awareness and engagement To develop and maintain the risk appetite framework. Regularly report to senior management on the risk appetite position and ensure risk appetites are considered and embedded in decision making. To lead and contribute to the annual and quarterly Lloyd's ORSA process. To lead and contribute to thematic reviews on key risk topics. To lead development and maintenance of the risk management system and reporting tools Skills Knowledge and Experience Experience in working as part of a high performing team to deliver successful risk management outcomes. Experience in managing senior stakeholders including challenging or unsupportive stakeholders. Good experiences of risk management frameworks, tools and processes. Knowledge of risk management frameworks and processes. Understanding of the insurance industry and the Lloyd's market would be an advantage Stakeholder management and relationship skills to build relationships with a range of senior stakeholders. Excellent analytical skills and be able to effectively communicate (in both written and verbal forms) and engage in debate on complex topics. Evidence of influencing outcomes with senior management in both formal (e.g. committee) and informal settings. Used to working to deadlines and under a certain amount of pressure and ability to maintain effective personal workload plans that are achievable, prioritised appropriately and meet business objectives. Ability to lead and deliver change within areas of responsibility Should be used to working as part of a team, making effective contributions to team meetings and team initiatives and also be able to take ownership of tasks and projects whilst often working remotely and without supervision. Ability to productively challenge technical experts across Lloyd's and be robust/resilient under scrutiny. Diversity and inclusion are a focus for us - Lloyd's aim is to build a diverse, inclusive environment that reflects the global markets we work in. One where everyone is treated with dignity and respect to achieve their full potential. In practice, this means we are positive and inclusive about making workplace adjustments, we offer regular health and wellbeing programmes, diversity and inclusion training, employee networks, mentoring and volunteering opportunities as well as investment into your professional development. You can read more about diversity and inclusion on our website. We understand that our work/life balance is important to us all and that a hybrid of working from the office and home can offer a great level of flexibility. Flexible working forms part of a total reward approach which offers a host of other benefits over and above the standard offering (generous pension, healthcare, wellbeing etc). These include financial support for training, education &amp; development, a benefit allowance (to spend on our flexible benefits such as gym membership, dental insurance, extra holiday or to partake in our cycle to work scheme), employee recognition scheme and various employee discount schemes. By choosing Lloyd's, you'll be part of a team that brings together the best minds in the industry, and together with our underwriters and brokers, we create innovative, responsive solutions allowing us to share risk and solve complex problems. Should you require any additional support with your application, or any adjustments, please click the following link; <a href="https://cleartalents.com/apply/lloyds-msa1645695881" target="_blank">https://cleartalents.com/apply/lloyds-msa1645695881</a> Please note, clicking on this link does not register your application for the vacancy

Manager, Enterprise Risk

About Clear Street: Clear Street is modernising the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm, replacing the legacy infrastructure used across capital markets. We started from scratch by building a completely cloud-native clearing and custody system designed for today's complex, global market. Clear Street's proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimising risk, redundancy, and cost for clients. Our goal is to create a single source-of-truth platform for every asset class, in every country, and in any currency. By combining highly-skilled product and engineering talent with seasoned finance professionals, we are building the essentials to compete in today's fast-paced markets. The Role: The Compliance Manager will work with the Head of Compliance to develop and manage the CSUK regulatory control framework and function, ensuring compliance with all applicable laws and regulations including those covering conduct of business, SMCR, client assets, RTS 22, EMIR, SFTR, best execution and conflicts of interest. This role will encompass all aspects of the control framework, incorporating policy development, advisory, training, monitoring, investigations and reporting, and client, counterparty and regulatory engagement. The function holder will take a lead role in managing the software that is used as part of the control program, including vendor management and liaison. This is an excellent opportunity for those wanting to contribute within a fast-paced financial technology environment. The right candidate will have the opportunity to make a big impact through building and shaping this capability across the business. Responsibilities: <ul><li>Provide regulatory advice across a broad range of regulations and products, including CASS, EMIR and SFTR.</li><li>Contribute to the ongoing strengthening of the compliance control framework including establishing new controls and writing new policies and procedures.</li><li>Oversee core regulatory processes such as personal account dealing, conflicts clearance and employee onboarding / offboarding.</li><li>Conduct and / or oversee compliance risk assessments.</li><li>Help prepare and deliver the annual compliance plan.</li><li>Help prepare and deliver the annual compliance training program, deliver specialized content face to face as necessary.</li><li>Undertake compliance monitoring reviews and ensure that corrective action is taken where necessary.</li><li>Keep up to date with regulatory legislation, regulation and industry best practice and initiatives, and keep others abreast of relevant changes.</li><li>Contribute to the development and management of the suite of compliance policies and procedures in line with relevant legislative and regulatory requirements.</li><li>Conduct and / or oversee investigations into regulatory breaches and incidents. Ensure appropriate remedial action is taken where necessary.</li><li>Assist with regulatory examinations and audits.</li><li>Coordinate with regulators and auditors on regulatory matters.</li><li>Prepare and provide documentation to support the effectiveness of the regulatory risk management program.</li><li>Provide guidance on the regulatory implications of new business initiatives.</li><li>Promote a strong culture of compliance.</li><li>Ensure that regulatory returns are completed on a timely and accurate basis.</li></ul>Skills required: <ul><li>Ten years of experience in a compliance role within the wholesale financial services industry.</li><li>Strong understanding of UK and international regulatory legislation, regulation and best practice, including MIFID, MAR, EMIR, SFTR, FSMA, FCA rules, ESMA Guidelines, etc.</li><li>Detailed knowledge of the CDD requirements for onboarding complex and high-risk clients, including offshore entities, hedge funds, unregulated corporates, politically exposed persons and oligarchs.</li><li>Excellent analytical, problem-solving and decision-making skills.</li><li>Strong written and verbal communication skills.</li><li>Ability to prepare clear and concise management information reports.</li><li>Proficiency in Microsoft Office suite.</li><li>Confidence to deal with colleagues at all levels of the organisation and get buy-in in order to enhance processes and procedures. </li><li>Ability to speak a foreign language desirable.</li><li>Thorough knowledge of CASS, EMIR, SFTR.</li><li>LME experience preferred.</li><li>Futures and options experience preferred, both on and off exchange.</li><li>Educated to degree level.</li><li>(Preferred) Professional qualifications in compliance management preferred, such as CISI or ICA.</li></ul>We Offer: At Clear Street, we offer competitive compensation packages, company equity, pension, gender neutral parental leave, and full medical and dental insurance. Our belief has always been that we are better as a business when we are all together in person. As such, we are requiring employees to be in the office a minimum of three days per week. Our top priority is our people. We're continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse - in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer. #LI-Hybrid

Job description Connect to your Industry In a world that is constantly changing, organisations need to adapt quickly, this is your opportunity to join Deloitte's market-proven Non-financial Risk team and help our clients to better manage their risks on a day-to-day basis across the enterprise. You will develop an impressive range of commercial skills that will multiply your career options. Benefiting from early client exposure and collaborating with some of the top practitioners in the field, you will be involved in some of the largest, most complex and innovative advisory engagements in the UK and internationally. Our Non-financial Risk team offers unrivalled depth of experience in providing solutions based on our client needs. We design, implement and provide assurance over enterprise risk management approaches including risk strategies, operating models and risk management and appetite frameworks and associated processes. In addition, we help clients develop an effective risk culture to underpin their risk management activities. Our Financial Services clients are being driven by regulatory pressures, the need to do 'more with less' and increasingly a desire for a more integrated approach to risk management across the enterprise. They look to our professionals to help them achieve that aim, efficiently and with an unrelenting focus on their needs. Connect to your career at Deloitte Deloitte drives progress. Using our vast range of expertise, we help our clients' become leaders wherever they choose to compete. To do this, we invest in outstanding people. We build teams of future thinkers, with diverse talents and backgrounds, and empower them all to reach for and achieve more. What brings us all together at Deloitte? It's how we approach the thousands of decisions we make every day. How we behave, our beliefs and our attitudes. In other words: our values. Whatever we do, wherever we are in the world, we lead the way, serve with integrity, take care of each other , foster inclusion, and collaborate for measurable impact. These five shared values lead every decision we make and action we take, guiding us to deliver impact how and where it matters most . Connect to your opportunity We are looking for a candidate with experience working with risk functions across insurance industry and including Life, General Insurance or Lloyd's market. With subject matter expertise in risk operating models, enterprise risk management, non-financial risk management including operational risk and risk culture who can demonstrate a track record of leading teams, relationship building and a desire to gain experience and progress their career. Your focus will be on providing innovative solutions to our clients across risk transformation and non-financial risks; and you will contribute to our ambitious growth plans for our team and propositions. Part of the role you will: <ul><li> Lead variety of projects such as Risk Transformation supporting clients with the design and implementation of their Future Risk Operating Models and Vision; Risk Management Frameworks' design and implementation including, for example, Risk Strategies, Risk Appetite, Risk Governance, Risk Assessments and Risk Culture. </li><li> Liaise with clients both face to face and remotely. </li><li> Lead the planning and execution of projects part of Engagement Teams. </li><li> Manage sometimes tight deadlines, often requiring prioritisation of numerous activities and requirements. </li><li> Drive insights from client current state practices versus our market-leading benchmarking tools. </li><li> Provide thought leadership where appropriate related to risk operating models, enterprise risk management and non-financial risk management within the insurance industry and drive business development. </li><li> Have an opportunity to work in multi-discipline teams; have a clear understanding of the firm's commitment to creating a more inclusive team culture where people are recognised for their contribution. </li></ul> Connect to your skills and professional experience Essentials: <ul><li> Experienced in Insurance within Enterprise Risk Management, Risk Culture, and/or Non-Financial (including Operational) Risk Management frameworks and operating models. </li><li> Educated to a degree level or equivalent experience. </li><li> Natural at taking initiative and leading teams. Someone who can think creatively, generate innovative ideas, challenge the status quo and deliver effectively with what can often be ambiguous requirements. </li><li> Able to connect with clients, industry experts and colleagues in the field to share insights and opportunities to drive personal and business growth via a diverse network. </li><li> Someone who can analyse complex information, draw insights and produce high quality outputs including reports. </li><li> Open to travel to client sites as required by this position. </li></ul>Desirables: <ul><li> Familiar with insurance regulatory requirements including PRA and FCA. </li></ul> Connect to your business - Strategy, Risk &amp; Transactions Advisory In an ever-evolving world, there are no certainties in business. Our teams help clients to navigate risks, process major transactions and deliver transformational change that will future-proof their business. Join us to make a positive difference. Regulatory &amp; Financial Risk We provide advisory services across the risk and regulatory landscape to help our clients move beyond simply meeting the minimum compliance standards, to strategically creating a responsible, sustainable future. This includes providing critical insight and advice on the future of regulation to assist our clients in anticipating change and responding with confidence. Personal independence Regulation and controls are standard practice in our industry and Deloitte is no exception. These controls provide important legal protection for both you and the firm. We are subject to a number of audit regulations, one of which requires that certain colleagues abide by specific personal independence constraints (e.g., in relation to any financial interests and employment relationships). This can mean that you and your "Immediate Family Members" are not permitted to hold certain financial interests (shares, funds, bonds etc.) with audit clients of the firm, and also prohibitions on certain employment relationships (e.g., you are not permitted to hold a secondary employment role with SEC audit clients of the firm whilst being employed by the firm). The recruitment team will provide further detail as you progress through the recruitment process or you can contact the Independence team upon request. Connect with your colleagues "At Deloitte you're given all the training, support and on the job experiences you need to equip you with the core skills and knowledge for your role. I've been supported in developing technical and leadership skills for example" - Gurpal, Risk &amp; Transactions Advisory Our hybrid working policy You'll be based in London with hybrid working. At Deloitte we understand the importance of balancing your career alongside your home life. That's why we'll support you to work flexibly through our hybrid working policy. Depending on the requirements of your role, you'll have the opportunity to work in your local office, virtual collaboration spaces, client sites and remotely. You'll get the chance to meet face to face when needed, while you collaborate and learn from colleagues, share your experiences, and build the relationships that will fuel your career and prioritise your wellbeing. Please check with your recruiter for the specific working requirements that may apply for your role. Be part of Deloitte North and South Europe At Deloitte, you'll be joining an innovative firm, working together to make positive change happen. In the UK, we are part of Deloitte North and South Europe (NSE), the second largest member firm in the Deloitte network. Deloitte NSE combines operations in Belgium, Central Mediterranean (Italy, Greece, Malta) Ireland, the Netherlands, the Nordics (Denmark, Finland, Iceland, Norway and Sweden), Switzerland and the UK, as well as countries further afield in the Middle East, including Bahrain, Cyprus, Egypt, Iraq, Jordan, Kuwait, Lebanon, Libya, Oman, Palestinian Ruled Territories, Qatar, Saudi Arabia, United Arab Emirates, Yemen). There are more than 75,000 people that make up our dynamic teams across these regions, and we have an unmatched breadth and depth of capabilities in a wide range of business areas across different regions. Our commitment to you Making an impact is more than just what we do: it's why we're here. So we work hard to create an environment where you can experience a purpose you believe in, the freedom to be you, and the capacity to go further than ever before. We want you. The true you. Your own strengths, perspective and personality. So we're nurturing a culture where everyone belongs, feels supported and heard, and is empowered to make a valuable, personal contribution. You can be sure we'll take your wellbeing seriously, too. Because it's only when you're comfortable and at your best that you can make the kind of impact you, and we, live for. Your expertise is our capability, so we'll make sure it never stops growing. Whether it's from the complex work you do, or the people you collaborate with, you'll learn every day. Through world-class development, you'll gain invaluable technical and personal skills. Whatever your level, you'll learn how to lead. Connect to your next step A career at Deloitte is an opportunity to develop in any direction you choose. Join us and you'll experience a purpose you can believe in and an impact you can see. You'll be free to bring your true self to work every day. And you'll never stop growing, whatever your level . Discover more reasons to connect with us, our people and purpose-driven culture at deloitte.co.uk/careers WPFULL WPANN SLSRTA BARISREG

Senior Manager, Enterprise and Operational Risk Management and Risk Culture - Insurance

What's Yonder? "It's as if Time Out, Amex and Monzo had a baby" - Will T, Yonder Member We're building the financial membership of the future. Starting with a credit card that has fun and experiences at its core, we're the antithesis to your parent's stuffy, corporate, boring credit card. Whilst tech is revolutionising the finance industry, credit is still stuck in the stone ages. We want to create a world where financial services are fair and conscious, and the stress of debt is eliminated for everyone. Sounds cool. What's my part in this? We are looking for a interim Head of Legal &amp; Compliance to help protect our business whilst Bryony is on maternity leave. We have ambitious goals, and we want to ensure we can continue to achieve these, the right way. What you'll do We have a clear roadmap of what we want to deliver over the course of the next 12 months (which we'll discuss with you in the hiring process). We are particularly looking for someone who is not afraid to get stuck in to all aspects of legal and compliance when required, including managing our superstar Compliance Manager, Deepti . You're a great fit if you Have previous legal and compliance experience in a scaling FinTech - anyone who has been a sole lawyer in a start-up knows its not for the faint hearted, so we are looking for someone where this isn't their first rodeo! If you have experience in payments and data privacy then we would be particularly interested in hearing from you. Are a contract lawyer who wants to get their teeth stuck into something longer term - we'd love to find someone who is available and interested in continuing to work closely with the business upon Bryony's return (e.g for specific projects on a contract basis or for adhoc advice). Are super interested in this job spec, but can only commit to 3/4 days a week - we're open to considering different arrangements for the right person, so if you think that could be you, please still get in touch. What's it like working at Yonder? We're office-first, remote-friendly We're based in our Hoxton office, complete with a terrace, breakfast, coffee (from a barista), dogs, beer taps and plenty of comfortable space to do your best work. We ask you to come into the office at least 3 days a week, with everyone coming in on Mondays. We take a values-led approach Our principles are incredibly important to us, so we recommend you check them out here: Our DNA We take development really seriously We have a pretty structured process for progression, with fortnightly one-on-ones and quarterly peer perspectives. We also take some time at the end of each week to reflect and celebrate what we've learned and achieved. What's in it for me? Depending on your experience (and working arrangement): £132,662 annual salary £30,000 in annual share options Plus 27 days annual leave ⛷ Regular team-building trips and activities Private healthcare with Vitality, including mental health, dental &amp; vision cover Department Risk &amp; Legal Locations London, UK

Head of Legal & Compliance (12 month FTC)

Senior Compliance Manager Department: Risk &amp; Compliance Employment Type: Permanent - Full Time Location: London Compensation: GBP 75,000 - GBP 105,000 / year Description Senior Compliance Manager London Freetrade's mission is to become the default place to invest. Investing has been too complicated and expensive for too long, keeping millions from making the most of their savings. We're changing that. We're building our team and looking for people who are excited to reshape how our customers invest and grow their wealth. If you're driven by solving complex problems and building innovative products, you'll fit right in. 2025 is a big year for us. In January, we announced a game changing deal to become part of the IG Group. We'll continue to operate as an independent business while gaining access to the resources and support of an established leader in the space. This year, we're accelerating our roadmap and taking our products to the next level. We're building new features like mutual funds, bonds, and family investment tools. We're also exploring how we can leverage AI to deliver an even better experience for our customers. We are looking for an exceptional Compliance Senior Manager to join our team. In this role, you will work with colleagues in the UK and Budapest across a wide range of compliance activities, supporting our oversight of the business and helping to ensure that we deliver good outcomes to our customers. You will be part of a team that is always looking to improve the structure and processes within the business to become as efficient as possible as we support business growth and bring new products to market. You will... <ul><li>Help lead the delivery of Freetrade's Global Compliance programme, focusing on delivering regulatory and compliance advice across the organisation. </li><li>Take the lead on Compliance Advisory initiatives - working with our product team, engineers, operations and customer-facing teams to provide strong and pragmatic advice on business and customer issues, new products strategic initiatives and regulatory change.</li><li>Provide oversight and challenge to the business through engagement with other teams at all levels of the firm. </li><li>Oversee elements of the programme of Compliance reviews and controls testing.</li><li>Manage, support and coach other members of the Compliance team, help them build their careers and develop their technical and soft skills. </li><li>Oversee the delivery of key Compliance policies, processes and controls and proactively identify and implement enhancements to them. </li><li>Contribute to the production and delivery of internal and governance reports.</li></ul>You have... <ul><li>You have strong financial services industry experience - at least 7 years in Compliance at a retail-focused financial services company or working at a regulator or a large consultancy. </li><li>Ideally you have held a senior role in Compliance at a retail investment broker.</li><li>You have strong knowledge of UK financial services regulations, preferably as they apply to retail investments. Knowledge of Data Privacy rules would also be an advantage.</li><li>You are interested in financial services regulation and are passionate about delivering good outcomes to customers</li><li>You are a strong and supportive manager and can get the best out of your team. You are keen to share your knowledge and are open to giving (and receiving) continuous feedback.</li><li>You are a strong communicator who thrives working cross-functionally across the firm. </li><li>You can influence people of all grades to deliver the right outcomes for clients. </li><li>You are excited about what we're doing at Freetrade and where we're headed!</li></ul>Benefits &amp; Logistics Freetrade is the place to accelerate your career. Our benefits package and ways of working are designed to attract and retain the most talented people who are dedicated to making an impact at Freetrade. Here's what's on offer in 2025: Office first culture - we have beautiful office spaces in central London and Budapest where, four days a week, you collaborate with colleagues in person. One of our core behaviours is that we're a team that works better together. Values: At Freetrade we live and breathe our values: Honesty, Focus and Grit. Expect to be asked about these in your interview! In London: <ul><li>Competitive salary - carefully benchmarked.</li><li>Holidays - 25 days plus UK public holidays. Your birthday off, plus one extra day for every year at Freetrade.</li><li>Enhanced pension - We'll match your contributions up to 5%.</li><li>Group Life Insurance - Protect your loved ones with coverage at 5x your salary, ensuring financial security in any circumstance. </li><li>Private Health Insurance - Which includes access to high quality medical care, mental health support, dental and vision plans, Wellness programs and preventative care initiatives are also provided to ensure the wellbeing of your entire family.</li><li>Income Protection Cover - Safeguard your income with comprehensive coverage, ensuring financial stability in the event of illness or injury.</li><li>Enhanced parental leave - Time off when it matters most.</li><li>Flexibility for those who need it - We're office-first, but life happens. Whether you're a parent or have care responsibilities, we focus on output and trust you to manage your time.</li><li>Learning &amp; Development - We fund industry qualifications so you can grow as a financial services professional. </li><li>Cycle to Work scheme - Get a high quality bike and gear through our salary sacrifice scheme, spreading the cost with tax free monthly instalments. </li><li>Paid Sick Leave - Receive 10 days of fully paid sick leave each calendar year.</li></ul>

Senior Compliance Manager

About the job Our client, a Leading FX/Payments Institution, are looking for a Credit Risk Manager to join their Credit Risk team based in London. Responsibilities below: <ul> <li>Credit Decisioning: Develop and enhance credit decisioning and risk management capabilities essential for our growth and future business initiatives.</li> <li>Credit Risk Strategy: Define and lead a comprehensive credit risk strategy, integrating Risk Appetite as a core element. Apply a risk perspective to policies, maximizing credit access and value creation while mitigating risks.</li> <li>Implementation: Ensure a seamless credit approval process with thorough documentation of committee approvals and compliance with terms.</li> <li>Portfolio Management: Monitor portfolio performance, early indicators, and external factors, including market, regulatory, and macroeconomic trends impacting credit portfolio performance.</li> <li>Margin Call Management: Design and generate intra-day and inter-day margin reports. Automate margin call notices and triggers, and collaborate closely with Account Managers to address and neutralize deficits.</li> </ul>Previous experience within Credit Risk and FX or Payments is essential. For further information please don't hesitate to contact me on my email:

225 Jobs in Watford, UK