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Now Hiring a Regulatory Change AnalystJoin a company that’s taking the RegTech industry by storm!Ruleguard is a fast-growing technology company serving the financial sector compliance market. As a leading firm within the innovative “RegTech” sector we delight in creating cutting-edge business software to make it as easy as possible for banks, brokers and investment firms to comply with regulation.The Role:We are looking for a Regulatory Change Analyst to support the Head of Risk &amp; Compliance, who is responsible for our Thought Leadership Strategy and oversight of risk management at Ruleguard. This role is best suited to someone with prior experience, or a keen interest, in Horizon Scanning and would like to develop their regulatory knowledge further.Job Specification:• Ensure the Regulatory Change Management system remains up to date with changes to UK regulations• Develop understanding of international regulatory developments• Undertake key research projects to support the international strategy• Undertake administrative duties for the R&amp;C team such as follow up on risk issues, monthly reporting, posting TLS content to third party sites• Undertake and maintain ongoing surveillance of our client base• Assist colleagues in learning and understanding matters of regulatory compliance• Review and advise on our collateral in relation to matters of regulatory complianceYour Knowledge &amp; Experience:• 3+ years’ experience in a regulatory compliance or related consultancy role• Financial Services regulatory knowledge is critical• Must have a good working knowledge of the FCA and PRA handbooks• Knowledge of regulations in several additional jurisdictions would be an advantageYour Skills &amp; Abilities:• Excellent attention to detail and focus upon accuracy• Ability to keep up-to-date with regulatory developments• Excellent organisational and planning skills• Excellent writing skills• Embraces technology• Confident Microsoft Word, Excel, and PowerPoint skills• Proven comfort with advanced business software systems• Fluent in written and spoken English• Fun, friendly personalityBenefits:• 25 days of annual leave increasing by 1 day each year up to 30 days• Employer pension scheme• Private Health Insurance• Medical Cash Plan• Income Protection• Life Assurance• Gym/fitness benefits• Flexible working• Home workspace equipment allowance• Wellbeing and social eventsApplication process:We try to make the whole process as smooth as possible. You will have an initial telephone interviewfollowed by two formal interview stages.

Ruleguard

Regulatory Change Analyst

Introduction Here at Fnality, we are powering the future of finance, together: combining best in class technology with free-flowing creativity, and expertise that can make business better for everyone. There are no precedents for what we're doing. With you on our side, we'll be setting new ones every day. The Risk &amp; Compliance Manager role This role is fundamental to the success of the Fnality Services team as we propel towards the launch of our Fnality payment system. Our culture is fast-moving, so we're looking for someone who is super organised, confident using technology along with having laser focus whilst balancing multiple priorities. You will be reporting into the Chief Risk Officer within the 2nd Line of Defence team. The main outcomes of the role are <ul> <li>Work in a regulated environment, with direct responsibility for overseeing the management of operational and technology risks of the Fnality Payment Operations and Systems.</li> </ul><ul> <li>Promote a risk culture that is embedded in policies, processes and procedures of the company (Operations, Technology, Security, Personnel, Environment etc.) </li> </ul><ul> <li>Oversee embedding of the new risk and control management framework for Fnality Services, ensuring compliance with regulatory expectations.</li> </ul><ul> <li>Influence and provide robust challenge to the 1st Line of Defence on controls effectiveness for payment operations, technology processes and data management</li> </ul><ul> <li>Maintain and improve the risk and control assessment management process for Fnality Services to ensure risks are identified, analysed, evaluated and managed effectively.</li> </ul><ul> <li>Build and maintain effective relationships with key stakeholders within the Fnality legal entities.</li> </ul><ul> <li>Manage, alongside the Fnality risk teams, the successful operation of risk framework, oversight and stewardship within Fnality Services.</li> </ul><ul> <li>Manage GRC solution rollout across Fnality Services functions and teams to implement risk and controls assessments, issues management and continuous monitoring.</li> </ul>Your main responsibilities will include (but are not limited to) <ul> <li>Managing and monitoring the risks associated with outsourced functions to assure the level of service required to manage a systemically important payment system.</li> </ul><ul> <li>Reporting on the risk management of Fnality Services internally (e.g. to the CRO, CEO) and externally (e.g. to the regulators), building effective working relationships with them.</li> </ul><ul> <li>Understanding relevant regulations and requirements and policies applicable to Fnality and the broader industry we operate in.</li> </ul><ul> <li>Taking a hands-on approach to staying informed, provide insight and guidance to the internal team.</li> </ul><ul> <li>Provide critical updates to regulators/customers and other external stakeholders.</li> </ul><ul> <li>The day-to-day running and continuous improvement of the Fnality Risk System for Fnality Services and its associated ecosystem. This includes the risk model (structure and content), the risk activities (Identification, Assessment, Control Evaluation, Monitoring and Reporting) and efficacy of mitigations to the Board and regulators.</li> </ul><ul> <li>Supporting the effective running of the risk governance framework within Fnality Services (e.g. risk committee), working closely with the other lines of defence in our three lines of defence risk management model.</li> </ul><ul> <li>Ensuring compliance with the Operational Resilience directives from the Bank of England as they apply to Financial Market Infrastructures and broader global standards e.g. those set by BIS/FSB etc.</li> </ul><ul> <li>Ensuring a robust change management process with adequate risk assessment before and after the change or software development life cycle.</li> </ul>Required competencies <ul> <li>Financial services regulatory compliance or operational risk experience and expertise, preferably gained in a payment's environment.</li> </ul><ul> <li>Strong understanding of the relevant regulations applicable to Fnality Services, (e.g. the Principles for Financial Market Infrastructures and CHAPs Reference Manual) and the broader trends that inform them.</li> </ul><ul> <li>Understanding what good risk management looks like and the ability to help shape the embedding of a new framework and potentially risk management system.</li> </ul><ul> <li>Experience of establishing and implementing operational processes and risk management systems from the ground up. Experienced in maturing these to meet evolving regulatory and business requirements.</li> </ul><ul> <li>Experience working closely with customers (Tier 1 Banks, Central Banks) on participant support issues and supporting the delivery of 24x7 availability of platforms.</li> </ul><ul> <li>Has a good understanding of payments and settlementin the traditional financial infrastructure and a basic understanding of the principles of DLT and blockchain technology.</li> </ul><ul> <li>A good understanding of how CHAPS and High Value payment systems work including a good understanding of settlement risk / finality / SWIFT.</li> </ul><ul> <li>Flexibility in approach to ways of working, open mindedness with regards to ambiguity as well as ability to be comfortable with a fast-paced environment and rapidly changing priorities.</li> </ul><ul> <li>Strong communication skills to influence on the importance of risk and compliance to your colleagues and other stakeholders.</li> </ul>Nice to have <ul> <li>FinTech or Start-Up Experience.</li> </ul>What can we offer As well as the opportunity to make this role your own and really shape the future of Fnality, we offer a market leading compensation package which includes (but not limited to): <ul> <li>Remote First environment with a central London office for those who want it.</li> </ul><ul> <li>Pension scheme with Royal London (5% Company contribution).</li> </ul><ul> <li>Private Medical Insurance with BUPA.</li> </ul><ul> <li>25 Days Annual Leave + 8 Swappable Public Holidays.</li> </ul><ul> <li>Quarterly paid Wellbeing days + Birthday off.</li> </ul><ul> <li>Health cash plan covering dental, optical and more.</li> </ul><ul> <li>24/7 confidential employee helpline.</li> </ul><ul> <li>Values and Outcomes way of working (flexibility).</li> </ul><ul> <li>Once in a generation opportunity to shape a dynamic blockchain start-up on the cutting edge of fin-tech.</li> </ul>Our values We embrace diversity and equal opportunity and are committed to building a team that not only shares our values but represents a variety of backgrounds, perspectives, and skills. The more inclusive we are, the better we will be as individuals and as a team. Please talk to us about your ideal working arrangements and how we can enable you to bring your best and support our success. Eligibility This role is a UK based role, and you must be eligible to work in the UK. Please note we cannot sponsor visas for this role. A bit more about us Digital transformation is changing our lives, work and businesses. While other sectors evolve however, financial markets remain slow, fragmented and siloed. What the world needs now is a future-facing financial system for the digital age. At Fnality, we have been speaking - and listening - to the real users of today's financial systems. From businesses to banks, there is a clear, collective ambition for a simpler, faster, safer and more resilient payment system; one that can move and settle money quickly and efficiently, with minimised risk and much more transparency. Fnality Services Limited (Fnality Services) is the newest and first entity within the Fnality Global Payments ecosystem, the operator of a newly regulated payment system for the United Kingdom. Fnality Services operates on a Lean resourcing model, so we need people to be flexible and happy to get involved in a variety of tasks. How will we use information about you? We will use your personal information to process your application, to enable us to assess your suitability for a role and for other legitimate business purposes such as improving our sites and talent management practices. We may share your data with third parties to achieve these purposes. We will not use or share your information for marketing purposes. We will take appropriate security measures to safeguard your information in accordance with data protection legislation. If you would like further information about how your information may be processed by us, please contact us at <a href="mailto:privacy@fnality.org" target="_blank">privacy@fnality.org</a> . Department Risk &amp; Compliance Locations London Remote status Hybrid Remote

Risk & Compliance Manager - Fnality Services

Job Description To lead the Compliance Team and ensure regulatory compliance with the Financial Services and Markets Act 2000, the Rules and Regulations of each relevant Exchange and Clearing House of which the Company is a member, and all other legislation relating to the conducting of Investment Business. This role will ensure the Company operates within ADMISI's risk framework, maintaining the reputation of the Company and positive customer outcomes whilst acting as a role model for conduct and culture. Member of the Company's Executive Committee (ExCom). Main Responsibilities:<ul><li>Oversight and responsibility for all matters of compliance</li><li>Proactive approach to continuous improvement and development of people</li><li>Establish procedures to ensure all levels of staff are aware of regulatory requirements and receive sufficient and adequate training</li><li>Establish procedures for the proper registration of staff with FCA and/or Exchanges as appropriate</li><li>Ensure that the Company's operating procedures include well defined steps for complying with the rules</li><li>Responsible for the oversight of all matters relating to client suitability and the Consumer Duty</li><li>Ensures that the Company's in-house Personal Account Dealing and other rules satisfy and conform to regulatory requirements including addressing aspects relating to confidential information and Conflicts of Interest</li><li>Provide compliance advice to all areas of the business and ensures that all staff understand when and why they should consult such an advisory service</li><li>Oversee compliance monitoring programme and follow up of issues identified</li><li>Oversight of trade and transaction reporting</li><li>Liaise with ADM Group legal team in relation to ongoing legal documentation and litigation</li><li>Ensure that procedures are in place to identify, track and resolve customer complaints</li><li>Notify FCA of all events as required by the rules and ensures that all required returns and other submissions are submitted on time</li><li>Engage with FCA, Exchange and Clearing House compliance functions and develop positive working relationships</li><li>Co-ordinate FCA, Exchange and Clearing House visits</li><li>Formulate plans, determine priorities and delegate compliance activities. Supervise progress and implementation and monitor work for quality and quantity. Solve organisational compliance related issues</li><li>People management responsibilities - directly responsible for the oversight and performance of the Compliance Manager and subsequent Compliance Team </li></ul>Skills, abilities and experience:<ul><li>Microsoft Systems (Excel, Word, PowerPoint, Outlook etc.). - Intermediate level</li><li>High quality report and letter writing skills</li><li>Ability to produce high quality documentation to support ExCom and ADMISI Board level submissions</li><li>Excellent communication skills. Able to communicate effectively at ExCom.</li><li>Presentation skills </li><li>High level attention to detail</li><li>Initiative and commitment to continuous improvement </li><li>Minimum 10 years' experience in a compliance environment including as a registered SMF16</li><li>Suitable professional qualification </li><li>Significant management experience</li><li>Excellent working knowledge of the FCA rules and regulatory frameworks </li><li>Strong working knowledge of the rules and regulations of relevant Exchange and Clearing Houses </li><li>Relevant industry experience in a clearing and brokerage environment</li><li>Demonstrable record of process and people improvement</li></ul>

HEAD OF COMPLIANCE

About Revolut People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products - including spending, saving, investing, exchanging, travelling, and more - help our 45+ million customers get more from their money every day. As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 10,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Our Risk team sits at the very core of Revolut. Those special agents work across functions, products, and regions to monitor front-line performance and ensure that the business is on safe footing. People in the Risk team are among the first in the company to get involved in new business initiatives, from App Technology, through Treasury and Finance, to Customer Support We're looking for a Risk Manager to continue improving our risk management framework and governance structures. A great data lover to monitor daily risk exposures and support MI reporting to internal and external stakeholders. Someone who'll dare to challenge our operational processes and take them to the next level This is an exciting time for Revolut and none more so than to be joining the (to be licensed) UK bank team. We are launching exciting new products, looking after our customers, and closely managing our risks. Why not come and join the journey and help us shape the future of banking. Up for jumping on board? Let's get in touch What you'll be doing <ul><li>Working with the first line of defence to identify, assess, document, and regularly review risks of all types and coach the business to design and implement controls</li><li>Assisting with developing and implementing operational risk policies, risk procedures, key risk indicators, and risk appetite statement</li><li>Developing techniques for quantification of operational risk and resilience including stress testing and impact tolerances</li><li>Taking ownership of the risk incident management process ensuring recording of risk events and managing and delivering risk incident reports</li><li>Monitoring operational risk against limits and thresholds, producing respective reports to management and other relevant stakeholders</li><li>Constantly developing and maintaining risk tools and systems</li><li>Monitoring KRI breaches and working with risk owners/group risk team to resolve them within a set timeline</li><li>Conducting presentations and workshops in risk identification and mitigation</li></ul>What you'll need <ul><li>5+ years of experience in Operational Risk Management in Banking or Financial services consultancy</li><li>An understanding of core operational risk concepts</li><li>Previous examples of practically interpreting and organising complexity</li><li>To be curious and never accept assumptions, with a desire to fully understand how things work</li><li>An organised and methodological approach</li></ul>Nice to have <ul><li>Experience with Operational Risk stress testing and quantification</li></ul>Building a global financial super app isn't enough. Our Revoluters are a priority, and that's why in 2021 we launched our inaugural D&amp;I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We're doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That's why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team. Refer to our Data Privacy Statement for Candidates for details on our data handling practices during your application.

Risk Manager (Operational Risk)

Overview: Our client is a Big 4 advisory firm, leading in risk and regulatory advice across the financial markets, working directly with a pick of the top tier banks. This role is based in London. What we are looking for: We are currently looking for a Risk and Controls Manager with specific knowledge of Wholesale banking environments to joining a market leading advisory team If you have expertise across Financial services risk management (including compliance), operations and finance supporting critical business change initiatives and remediation programmes we would like to speak with you. You should demonstrate knowledge on wholesale risk and be able to work with clients to design and implement change to their operating models, governance, processes and controls. Most recent projects have included Brexit response, LIBOR transformation, and governance and controls remediation. We are looking to speaking with individuals who are well-schooled in current regulatory developments and a depth of financial products knowledge. What this role can offer you: This role provides you with the opportunity to work on a range of projects and to build a broad range of expertise, as well as build your client relationship network. It offers commercial development and the ability to grow and develop the business offering.

Wholesale Conduct Risk - Manager

Overview: Our client is a Big 4 advisory firm, leading in risk and regulatory advice across the financial markets, working directly with a pick of the top tier banks. What we are looking for: We are currently looking experienced financial risk managers, fervent about contributing positively towards impacting climate change. We are looking ideally for credit risk experts that can help build out this growing practice If you have expertise from across financial risk (credit, market, modelling) then we would like to speak with you. The combination of this specific technical knowledge with honed commercial and people consulting skills is a real asset and something that will set you up for rapid growth and success in the consulting world. What this role can offer you: This is a fantastic opportunity to be part of the growth of a new and impactful business area, and will provide you with the platform work with some of the leading lights in the climate risk and banking space, providing real client value and thus high levels of personal visibility and recognition for your work. You progress in this firm and team would be unobstructed and within you own control.

Climate Risk Modelling - Senior Manager

Compliance Manager, Compliance Advisory 22 Bishopsgate, London - Hybrid Permanent At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper. As a future Compliance Manager, you will report to our Senior Compliance Manager, and you will be part of AXA IM Global General Secretary. DISCOVER your opportunity To act as the UK Compliance Advisory specialist within AXA Investment Manager's UK regulated entities with a focus on Alternative (including Real Assets) and Prime expertise. Your role and responsibilities will include: <ul><li>Be the UK Compliance Advisory team representative for the Alternatives and Prime expertise in the UK covering Real Estate, Infrastructure debt, Infrastructure equity, private equity, private debt and hedge funds.</li><li>Provision of accurate and timely advice and training to the UK Regulated Entities to facilitate their adherence to UK Compliance policies and Global standards, focusing particularly on the front office investment management activities of the expertise.</li><li>Identify regulatory changes in relevant business area and effectively communicate these to the business.</li><li>Assist with the implementation of regulatory developments, working collaboratively with the business to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements.</li><li>Assist in projects to provide compliance analysis and review of new business initiatives and developments of AXA IM in the UK. </li><li>Build a close working relationship with Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.</li><li>Regularly attend expertise 1st line control committees, investment committees and produce and present relevant MI where required. </li><li>Preparation and completion of client reporting and regulatory reporting including filing a Form ADV with the SEC as AXA IM UK is registered with the SEC as an exempt reporting adviser.</li><li>Assist with the provision of information to clients, audit and / or regulators as need be.</li><li>Assist the Senior Compliance Advisory manager in leading the day-to-day activities of the Compliance Advisory Team including monitoring the advisory inbox, required sign-offs and approvals.</li><li>Assist and support the Senior Compliance Advisory manager in the maintenance, ongoing effectiveness and implementation of all compliance policies and procedures owned by the Compliance Advisory team.</li><li>As required, and in the absence of the Senior Compliance Manager participate in relevant governance committee meetings.</li><li>Provide management information to governance committees and senior management to demonstrate compliance with policies or to highlight issues and trends where appropriate.</li><li>Assist the Senior Compliance Advisory Manager in providing updates, assessments and escalation of issues as required to the UK Head of Compliance.</li></ul>SHARE your unique expertise We welcome different combinations of skills &amp; experiences. Your qualifications and experience: <ul><li>Relevant professional qualification would be preferable but not essential.</li><li>Significant proven Asset management experience largely gained in a Compliance function, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues.</li><li>Experience and knowledge of alternatives investment business including Real Assets, private equity, infrastructure, hedge funds, and private debt.</li></ul>Your knowledge and skills: <ul><li>Thorough understanding of the Investment Management business servicing both institutional and retail clients with a particular focus on alternative investments.</li><li>Technical regulatory expert (with previous experience) of Real Assets, Alternative and Private Equity Investment management regulation </li><li>The ability to build business relationships with senior stakeholders.</li><li>Effectively work with and challenge the business where required.</li><li>Excellent verbal and written communication skills with the ability to effectively communicate with all areas of the business.</li><li>Excellent problem-solving skills taking a collegial and collaborative approach. </li></ul>We would love to know more about you. Let's connect! Send us your resume. The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries. We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management. Our mission: To act for human progress by protecting what matter Our values: Customer first, Integrity, Courage and One AXA At AXA IM we are investing with a clear purpose - to make the world a better place. We act for human progress by investing for what matters. Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative and core asset classes. We are already entrusted by our clients with more than €887 billion in assets. AXA Investment Managers | Home | AXA IM Corporate (axa-im.com) AXA IM is an Equal Opportunity Employer, and we encourage candidates with disabilities or any other protected characteristic to apply. We are committed to providing reasonable accommodation to qualified applicants and employees with disabilities, when needed, to apply for a position or to perform essential job functions. Inclusion and Diversity | Careers | AXA IM Corporate (axa-im.com)

Compliance Manager, Compliance Advisory

Oaktree is a leader among global investment managers specializing in alternative investments, with $193 billion in assets under management as of June 30, 2024. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, private equity, real assets, and listed equities. The firm has over 1,200 employees and offices in 22 cities worldwide. We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. Providing training and career development opportunities and emphasizing strong support for our local communities through philanthropic initiatives are essential to our culture. For additional information please visit our website at <a href="http://www.oaktreecapital.com" target="_blank">www.oaktreecapital.com</a> Scope and responsibilities The Operational Risk Management (ORM) team helps to identify non-investment risk across Oaktree globally, contributing to continuous operational improvement. ORM partners with Oaktree professionals globally to continually assess and enhance the risk and control environment. Oaktree is seeking a Vice President to work closely with the Senior Vice President in ORM, and be responsible for aiding in the implementation, coordination, execution and continued enhancement to Oaktree's global Operational Risk Management framework, with a specific focus on Oaktree's international offices. The individual will work directly with all major businesses, operational functions and investment teams to help identify, assess, and mitigate operational risks across Oaktree's business. The individual may also have limited client and regulatory contact in cases where Oaktree is asked to provide information on the Operational Risk framework. Candidates should be comfortable challenging the assumptions and conclusions of senior individuals while maintaining constructive relationships with management. Key responsibilities include, but are not limited to: <ul><li>Risk and Control Assessment: Facilitate risk and control assessments to identify potential risks and implement effective controls, validating remediation of operational risk exposure and related control gaps.</li><li>Root Cause Analysis: Conduct root cause analysis of operational events and develop strategies to mitigate future risks.</li><li>Governance: Lead risk management presence and content in governance forums, ensuring comprehensive oversight and identification of operational risk trends.</li><li>Risk Reporting: Preparing and presenting detailed risk reports / dashboards / metrics to senior management and stakeholders, highlighting key risk areas and recommended actions.</li><li>Trend Analysis: Identify and analyze operational risk trends to inform strategic decision-making.</li><li>Continuous Improvement: Providing thoughtful and collaborative leadership promoting risk transparency and business unit-level ownership and accountability over operational risk and control environments, fostering continuous improvement.</li><li>Risk Aware Culture: Promoting Oaktree's risk aware culture, serving as the subject matter expert on operational risk initiatives. Identifying, initiating, and fostering relationships with business and operational partners to promote a culture of continuous improvement, driving constructive communication with the ORM team.</li><li>Regulatory Compliance: Ensuring compliance with relevant jurisdictional regulatory requirements, expectations and industry standards related to risk management e.g., risk appetite statements, ICARA, ICAAP, IRAP.</li></ul>Experience required <ul><li>6+ years of operational risk management, enterprise risk management and/or related experience required; experience in the investment management industry preferred.</li><li>Experience facilitating top-down and bottom-up risk assessments, focused on existing and emerging risk areas.</li><li>Practical experience with Basel, COSO, ERM, risk and control self-assessment tools, methodologies and concepts.</li><li>Outstanding verbal and written communication skills to work cross-functionally and at all levels internally.</li><li>Proven capability in collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions.</li><li>Track record in planning and project management and in maintaining composure under pressure while meeting deadlines.</li><li>Strong skills in resolving problems and negotiating issues.</li><li>Highly organized and able to manage multiple projects with differing priorities to meet deadlines.</li><li>Team-oriented, possessing strong integrity and professionalism and sharing in Oaktree's common goal of excellence.</li><li>Demonstrated ability in:</li><li>Applying sound judgment in the evaluation of risks and controls;</li><li>Challenging the assumptions and conclusions of more experienced staff members;</li><li>Facilitating insightful conversations to ensure appropriate consideration and evaluation of risks;</li><li>Performing effective root cause analysis to identify control gaps and weaknesses and recommending appropriate corrective course of action;</li><li>Collaborating with business managers to promote an effective risk management culture by proactively identifying areas of operational risk;</li><li>Proficient in Microsoft Office products including, Word, Excel, PowerPoint, Visio, Outlook and other business software to prepare reports, memos and summaries. Experience with GRC tools and PowerBI a plus.</li></ul>Personal attributes <ul><li>Excellent interpersonal, verbal and written communication skills, with the ability to leverage firm wide resources in an effective and judicious manner.</li><li>Self-initiated with a proven ability to work independently and a strong work ethic.</li><li>Ability to operate independently on short and long-term goals.</li><li>Flexible and team-oriented with strong integrity and professionalism.</li><li>Ability to take on a task/project and "run with it" to conclusion.</li><li>Passion for improving systems and processes, ability to act as a change agent with a focus on innovation.</li><li>Detail-oriented and a natural problem solver; have the resolve to independently research problems and offer solutions.</li><li>Thrives in roles that require outside of the box thinking, solving problems and navigating through ambiguous and /or complex issues.</li><li>Critical thinker, interested in playing a key role in driving the strategic vision for the ORM function within the firm and collaborating effectively with firmwide business, risk and control partners.</li><li>Self-starter with a natural inclination to interpret guidance, improve upon proposed ideas, organize and deliver recommendations, and deliver agreed upon solutions.</li><li>Intellectual curiosity and a quick learner.</li><li>Desire to travel.</li></ul>Education Bachelor's degree is required. Professional certifications (e.g., Operational Risk Manager certificate from PRMIA or similar, CFA, FRM) a plus. Oaktree Capital Management, L.P. is an equal opportunity employer Equal Opportunity Employment Policy Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources.

Vice President, Operational Risk Management

payabl. empowers businesses to grow through payments innovation and banking services. Our ambition is to expand our strong portfolio of global financial services we provide to businesses and make them all available in one place on our platform, payabl.one. As a licensed financial company with principal membership with card schemes, we specialize in global payments and providing businesses with multi-currency accounts. With offices located in Frankfurt, Amsterdam, Limassol, and London, we are currently undergoing significant expansion and are looking for a Regulatory Compliance Manager to join our team in London. This role is about:The Regulatory Compliance Manager will be part of the 2nd line in the Compliance Department. Reporting directly to the Head of Compliance &amp; MLRO, this role will be responsible for providing regulatory oversight, managing and developing the policy framework, and implementing relevant changes in line with new regulations (such as Operational Resilience and Consumer Duty) and products within the firm. The role will be instrumental in ensuring the firm remains compliant with applicable regulations under our e-money license and in supporting the growth of the firm by providing expert advice on regulatory matters. This is a great opportunity to bring your skills and experience to help shape and design our compliance framework. You Will: <ul> <li> Policy Development &amp; Oversight: Review existing compliance processes and develop, update, and oversee the implementation of compliance policies and procedures across the organization.</li> <li> Regulatory Advisory: Provide expert advice on regulatory matters, including FCA requirements, to senior management and relevant stakeholders, ensuring alignment with industry best practices.</li> <li> Regulatory Compliance Expertise: Maintain a deep understanding of the Payment Services Regulations 2017 and FCA regulations, particularly in the areas of safeguarding, operational resilience, and consumer duty, ensuring ongoing compliance.</li> <li> Framework Development: Take ownership of designing and implementing new regulatory frameworks and ensure their execution across the business.</li> <li> Collaboration: Work closely with the Head of Compliance &amp; MLRO to build, refine, and continuously improve the company's compliance framework.</li> <li> Training Design &amp; Implementation: Develop and facilitate a comprehensive compliance training program for employees, ensuring that the entire team is knowledgeable about regulatory obligations and best practices.</li> <li> Regulatory Standards Adherence: Ensure the team adheres to all relevant regulatory standards and FCA principles, particularly those applicable to e-money institutions.</li> <li> Regulatory Updates: Stay informed about industry regulatory developments, assess their impact on the business, and implement necessary changes to maintain compliance.</li> <li> Risk Identification &amp; Mitigation: Assist in identifying potential regulatory risks and work proactively to mitigate them.</li> <li> Compliance Monitoring: Oversee and further develop the Compliance Monitoring Framework, ensuring continuous improvement in compliance tracking and reporting.</li> </ul>What we need: <ul> <li>Minimum of five years of experience in a comparable role within the regulatory compliance sector.</li> <li>Proven experience in a regulated payment or e-money firm authorized by the FCA. Experience within the EU regulatory landscape for payment/e-money institutions is highly desirable.</li> <li>Strong knowledge of applicable regulations, including the Payment Services Regulations 2017, FCA requirements, and best practices in areas such as safeguarding, operational resilience, consumer duty, conduct, and risk management.</li> <li>Experience in designing and implementing regulatory frameworks and compliance processes across multiple functions.</li> <li>Exceptional organizational abilities, with the capacity to manage a fast-paced workload, prioritize tasks effectively, and handle multiple responsibilities simultaneously.</li> <li>A "Get Stuff Done" (GSD) attitude, taking full ownership of tasks and driving them to completion without the need for supervision.</li> <li>Strong analytical abilities, attention to detail, and proficiency in evaluating complex regulatory issues. Ability to translate regulatory requirements into practical, actionable steps.</li> <li>Excellent written and verbal communication skills in English, with the ability to present complex regulatory matters clearly and concisely.</li> <li>Strong negotiation skills, with experience in liaising with both internal and external stakeholders.</li> <li>Ability to stay abreast of regulatory changes and adjust compliance processes accordingly to maintain regulatory alignment.</li> <li>Understanding of evolving financial crime tactics and the ability to adjust compliance frameworks to mitigate these risks.</li> <li>Strong sense of ethical integrity and commitment to ensuring compliance with legal and regulatory standards.</li> </ul>The perks of being a payabl.er: <ul> <li> Attractive Compensation and Revolutionary Opportunities: Join us and play a key role in transforming the payments industry with a competitive salary.</li> <li> Immense Educational Opportunities: Benefit from significant contributions to your professional training and development.</li> <li>Generous Vacation Policy: Enjoy 25 days off plus public holidays, along with 10 days of sick leave, ensuring ample time to rest and recharge.</li> <li>Hybrid Working Option: Choose how you work best with our flexible hybrid working arrangements.</li> <li>Half Day Off on Your Birthday: Take a half-day off to celebrate your birthday, because you deserve it!</li> <li> Team Bonding: Participate in regular team events, business trips, and activities that build a strong, collaborative culture.</li> <li> Central Office with Gym: Work in a well-located office boasting an excellent gym, enhancing your work-life balance with easy access to transport.</li> </ul>Ready to Join Us?Let's embark on a journey to redefine the landscape of payments together. We're not just offering a role; we're inviting you to be a part of something bigger. Join our team, and let's innovate, disrupt, and lead the future of payments. Together, we can make an impact that resonates. Welcome to the team! If this role seems like a good match, please submit your resume all applications are treated with the strictest confidentiality. Please note that we may keep your CV for a period of one (1) year for future relevant job opportunities. For more information about how we process your data please see our privacy policy at <a href="https://www.payabl.com/privacy-policy" target="_blank">https://www.payabl.com/privacy-policy</a>

Regulatory Compliance Manager

Company Description We're ASOS, the online retailer for fashion lovers all around the world. We exist to give our customers the confidence to be whoever they want to be, and that goes for our people too. At ASOS, you're free to be your true self without judgement, and channel your creativity into a platform used by millions. But how are we showing up? We're proud members of Inclusive Companies, are Disability Confident Committed and have signed the Business in the Community Race at Work Charter and we placed 8th in the Inclusive Top 50 Companies Employer list. Everyone needs some help showing up as their best self. Let our Talent team know if you need any adjustments throughout the process in whatever way works best for you. Job Description The Details The Compliance Manager will be integral to the ASOS Legal team. You will work closely with the Head of Data Privacy and Compliance and will have responsibility for ensuring the continued development, maintenance and management of the Global Compliance Program for ASOS. You'll help ASOS to take the next steps in its journey towards best-in-class governance, transitioning from start-up mode to a more mature operating environment. This is an exciting time to join a dynamic, fast paced, and ambitious company with plenty of opportunity to make your mark. What You'll be Doing <ul><li>Working with the Head of Data Privacy and Compliance to mature and deliver the Global Compliance Framework for ASOS - aiming to make compliance simple for ASOSers. </li><li>Reviewing ASOS' compliance requirements and identifying improvement areas as remediation activities.</li><li>Developing and refining policies in connection to existing and upcoming relevant regulatory compliance requirements. Working cross functionally to design and embed a policy update process and policy management framework.</li><li>Horizon scanning to ensure the business is prepared for future regulatory changes.</li><li>Maintaining appropriate training and communication programmes to help embed the Compliance Framework within the business and ensure consistent understanding of key compliance policies and procedures.</li><li>Working cross functionally with key stakeholders across People Experience (PX), Legal, Data Protection and Co-Sec to manage a robust Compliance and Ethics programme on the areas of Anti-Bribery and Corruption (ABC), Code of Conduct, Declaration of Interest, and Whistleblowing.</li><li>As a senior internal business partner, building collaborative relationships to drive the compliance agenda and business maturity forwards. </li><li>Acting as an independent advisor and business partner - a critical friend to help the business achieve its vision and objectives.</li><li>Working with emerging second line functions to present an aligned approach to compliance, finding efficiencies from working together where possible.</li><li>Responsible for following up on agreed actions and driving through change.</li><li>If required, assisting the Data Privacy team.</li><li>Supporting our culture by driving Diversity, Equity &amp; Inclusion strategies.</li></ul>Qualifications About You <ul><li>Excellent stakeholder management and communication skills with the flexibility and agility to work within a fast paced, ever-changing business and risk landscape.</li><li>Strong cross functional communication and influencing skills.</li><li>A diverse compliance technical background.</li><li>Strong understanding of Financial Crime regulation, Sanctions regulation and Consumer Credit</li><li>Experienced in conducting ad-hoc investigations as required.</li><li>E-commerce and/or retail experience.</li><li>Experience building a team, leading in-house compliance.</li><li>A thought "leader" with respect to risk management, governance, compliance and internal control best practice.</li><li>Someone who wants to make a difference and is excited by opportunity to grow.</li></ul>Additional Information BeneFITS' <ul><li>Employee discount (hello ASOS discount!) </li><li>ASOS Develops (personal development opportunities across the business) </li><li>Employee sample sales </li><li>Access to a huge range of LinkedIn learning materials </li><li>25 days paid annual leave + an extra celebration day for a special moment </li><li>Discretionary bonus scheme </li><li>Private medical care scheme </li><li>Flexible benefits allowance - which you can choose to take as extra cash, or use towards other benefits </li></ul>Why take our word for it? Search #InsideASOS on our socials to see what life at ASOS is like.

Compliance Manager

Job Description: Employer: DWS Group Title: Non-Financial Risk Manager, IT Location: London About DWS: Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change. Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment. We're looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That's why we are 'Investors for a new now'. As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients' financial future. And in return, we'll give you the support and platform to develop new skills, make an impact and work alongside some of the industry's greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career. This is your chance to invest in your future. Team / division overview The DWS Non Financial Risk Management (DWS NFRM) team is part of the DWS Chief Risk office within the DWS CFO division. The DWS Chief Risk office is a dedicated control function, independent from the Front Office and mandated to manage financial, non-financial and investment risks for DWS Group and its subsidiaries. DWS NFRM acts as 2LoD ERM function within DWS with the current mandate: DWS NFRM establishes and maintains the DWS Non-financial Risk Management Policy and the assigned Implementation Procedures, which form the DWS Operational Risk Management Framework and the DWS Reputational Risk Management Framework and ensures its implementation and adherence by 1st LoD and 2LoD Functions in DWS. In this context DWS NFRM acts also as DWS NFRM Coverage. The DWS NFRM regional teams (EMEA, USA, APAC) act as NFRM Coverage and DWS Risk Type Controllers as described within the DWS ORMF. As an NFRM Specialist you will join the DWS NFRM team in Europe, reporting to the global DWS Head of NFRM. This role represents the global lead risk type specialist for Information Technology Risk Management within DWS Non Financial Risk Management, in partnership with three lines of defense representatives (e.g. DWS FR and NFR teams, DWS Divisional Control Office, DWS Procurement, IS, IT Risk, DWS Audit, and related DWS 2nd line functions like Compliance and AFC). Role Details: As an NFRM Risk IT Manager you will (be): <ul><li>Establish minimum standards for the management of information technology risk within the global organization, in conformance with regulatory requirements.</li><li>Establish the requirements for the minimum standards within a new IT Risk Management Policy, subject to consultation with relevant controls functions in IT, IS, etc.</li><li>Establish appropriate qualitative and quantitative measures to enhance the DWS KGaA Risk Appetite Statement as it relates to IT risk.</li><li>Work closely with DWS IT and IS colleagues to produce and communicate training related to the associated policies, procedures, and controls once a framework has been established.</li><li>Support the delivery of organizational and NFRM priorities such as risk &amp; control assessments, scenarios, risk appetite monitoring, risk metrics and DWS transformation activities related to IT risk topics.</li><li>Interact with DB Group NFRM and DB Group Data Management functions to exchange information and ensure alignment with DB requirements as appropriate.</li><li>Work closely with NFRM colleagues to provide support to regulatory and ad hoc initiatives undertaken to address IT risk management requirements including DORA, KAIT, etc.</li></ul>We are looking for: <ul><li>University degree (Computer Science, Business Administration, Natural Sciences, or equivalent)</li><li>Experience (8+ years) in operational risk management (both technical and organizational requirements) or equivalent experience (8+ years) in front office IT risk management roles, ideally with experience in the finance industry, consulting or IT audit</li><li>Working knowledge of relevant industry and regulatory assessment frameworks and/or standards are required</li><li>Relevant professional certifications are a plus: e.g. Lead Auditor, Non Financial Risk Management or similar</li><li>Understanding of risk management principles and experience in risk management incl. MaRisk requirements</li><li>Proficient in MS PowerPoint, Excel, and Word</li><li>Strong written and verbal communication skills in English, as well as German preferred</li><li>Exceptional collaboration, interpersonal and teamwork skills; ability to build relationship internally within the organization</li><li>Knowledge of industry standard risk management applications strongly preferred</li></ul>What we'll offer you: At DWS we're serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand it's important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS, you'll have access to a range of benefits which you can choose from to create a personalised plan unique to your lifestyle. Whether you're interested in healthcare, company perks, or are thinking about your retirement plan, there's something for everyone. Some of our core benefits: <ul><li>30 days' holiday + bank holidays, with the option to purchase additional days</li><li>A non-contributory pension scheme, up to 10%</li><li>Physical and Mental Health Well-Being benefits including (but not limited to) Private Medical Cover, a complimentary GP service and the support of Mental Health First Aiders</li><li>Family friendly benefits including generous parental leave packages (supporting all variations of family set-ups), to healthcare plans and travel insurance</li><li>The opportunity to support our CSR strategy which is focused on combatting climate change and achieving greater social justice. You can make donations to our partner organisations or take part in corporate volunteering opportunities in your local communities by providing on hand support.</li></ul>DWS' Hybrid Working model in the UK is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Employees who wish to sign-up to our Hybrid Working model are required to work in the office two days a week, and given the flexibility to work from home for the remaining three. Some business groups may need you to spend more time in the office, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people. If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and your recruitment team will discuss options with you.

Non-Financial Risk Manager, IT

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

Senior Compliance Monitoring Manager - London

Role Overview We're currently looking to appointan experienced Compliance Manager to join our Richmond or Sevenoaksoffice. The successful candidate will be the key point of contact to guide, support and ensure the lettings division is compliant with: HMO Licensing, Cladding &amp; MEES. Click here to download the full job specification. Please ensure you read this before applying. Requirements: <ul> <li> Qualifications: ARLA Propertymark Technical Award as a minimum</li> </ul><ul> <li>5 years + experience working in the lettings industry</li> </ul>What we offer you: <ul> <li>Career and Professional Development</li> </ul><ul> <li>25 Days Annual Leave</li> </ul><ul> <li>Life Assurance</li> </ul><ul> <li>Private Medical Scheme</li> </ul><ul> <li>Virtual GP</li> </ul><ul> <li>Global Mobility Scheme</li> </ul><ul> <li>Rewards Platform</li> </ul><ul> <li>Company Pension Scheme</li> </ul><ul> <li>Enhanced Incremental Annual Leave</li> </ul>Find out more about Savills offer Recruitment agencies Savills only pay agency fees where we have a signed agreement in place and that agency has been previously contacted and directed by a member of our recruitment team. We do not pay agency fees when speculative and unsolicited CVs are submitted to Savills or any of our employees other than via our careers website and through our recruitment process. If this is not adhered to, agency fees will not be paid. Submission of any unsolicited CVs or proposals to Savills will be deemed evidence of full and unlimited acceptance of this approach. Business area Residential Sales and Lettings Role Residential Lettings Locations Church Road, Richmond, Sevenoaks Contract Type Permanent, Full time Remote Status This role offers some working from home Salary Competitive

Do you want to be a leading authority on Financial Crime risks at Swiss Re? We are offering an exciting opportunity for a senior candidate who will embrace the challenge of supporting the business to achieve their goals whilst controlling our exposure to Financial Crime risks. If you are ready to prove your leadership qualities, drive collaboration across all areas of the company and demonstrate your expert knowledge, you will thrive in this role. About the Role You will be responsible for the oversight, management and strategic development of the Compliance Frameworks on Financial Crime risks, including for Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption and Fraud. You will lead a team responsible for the continuous development of relevant policies, standards, solutions and training activities across the organisation. You will also own your own Compliance Frameworks directly. • Lead, manage and further develop the Financial Crime Compliance team. • Oversee the ongoing maintenance and improvement of the global Compliance Frameworks on Financial Crime (including policies, processes and tools) to ensure they remain robust and adequate in response to changes in the regulatory and business environment. • Lead the risk assessment and impact analysis of new trends and internal and external developments impacting global Financial Crime Risk Frameworks, and determine and coordinate actions across Swiss Re as required. • Support the further development of Financial Crime knowledge within the Compliance teams and across Swiss Re by managing the development and delivery of training and awareness materials. • Act as the authority on strategic Financial Crime topics, coordinate Compliance and governance teams, oversee risk assessments, and serve as the go-to person for audits, inspections, and senior management updates. About the Team The Compliance Programme, Policies &amp; Awareness (PPA) team is responsible for delivering robust Compliance Risk frameworks at Swiss Re. We develop and maintain appropriate policies, standards and processes, supporting technology, and build training and awareness programs that educate employees on their responsibilities and behaviours in identifying and managing Compliance Risks. Further, we support the business and our Compliance colleagues by monitoring for new Compliance risks and regulations in the jurisdictions in which we operate and coordinate a structured risk assessment process. We are a diverse team based in Zurich, Bratislava and London. About You You are an experienced Compliance leader with a proven track record in Financial Crime risk frameworks. Your knowledge of relevant processes and controls and their application in the insurance industry, paired with a strong understanding in how to deliver effective Compliance frameworks, will enable the business in successfully managing Financial Crime risks. You are an established leader, people manager and an inquisitive communicator with excellent interpersonal and presentation skills. You believe in providing opportunities to develop the individuals in your team and can demonstrate this in your day-to-day work. Your attention to detail is key, and your ability to prioritise work and activate teams to deliver collaboratively is critical to success in this role. • Minimum 8 years of experience in Compliance, Legal, Audit, Governance or Risk Management within the global insurance or financial services industry. • Proven experience in managing, leading and developing teams, and delivering technology and process enhancement projects. • Demonstrable expertise in one or more areas of Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption, or (preferably) Fraud. • Good familiarity with compliance screening tools (eg LexisNexis Bridger). • Outstanding communicator, including experience in drafting policies and standards, and developing and presenting training content. • Proven decision-making skill-set that demonstrates structured and analytical thinking, able to gather information and evaluate options effectively and make informed choices that drive positive outcomes. • Proactive and self-driven person, thriving in a multi-faceted, dynamic role, working simultaneously on various topics in a changing environment. • University degree or equivalent. • Highly proficient in English (written and spoken); other languages a plus (especially German). #LI-Hybrid We are looking forward to your application! We provide feedback to all candidates via email. If you have not heard back from us, please check your spam folder. About Swiss Re Swiss Re is one of the world's leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to cybercrime. Combining experience with creative thinking and cutting-edge expertise, we create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 14,000 employees across the world. Our success depends on our ability to build an inclusive culture encouraging fresh perspectives and innovative thinking. We embrace a workplace where everyone has equal opportunities to thrive and develop professionally regardless of their age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, physical or mental ability, skillset, thought or other characteristics. In our inclusive and flexible environment everyone can bring their authentic selves to work and their passion for sustainability. If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience. Keywords: Reference Code: 131430

Head of Financial Crime Compliance Frameworks (Hybrid; 80-100%)

Company Description Legal &amp; General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us - from Hong Kong and Singapore, to Chicago and major European financial hubs. Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers - which include individual savers, pension scheme members and global institutions - and deliver enhanced shareholder returns. Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners. Job Description We're recruiting for a Compliance Manager (Surveillance)to join us. We're offering acompetitive base salary and good benefits package. What you'll be doing: <ul><li>Providing high quality compliance surveillance support to L&amp;G Asset Management's regulated entities</li><li>Leading investigations into adverse conduct and ensuring practices are inline with regulations and risk appetite</li><li>Remining up to date on emerging regulations and developing, implementing and enhancing additional surveillance scenarios in response to this</li><li>Designing and implementing new mitigating actions to reduce risks</li><li>Production of clear and concise MI for boards, committees and team meetings</li><li>Analysing compliance data, incorporating new data sets, and implementing new tests to continuously develop the Compliance Surveillance Plan</li></ul>Qualifications Who we're looking for: <ul><li>Experience of working at the Regulator or an Asset Manager in a compliance surveillance role</li><li>Strong understanding of the relevant FCA regulations</li><li>Strong working knowledge of any of the following desks: Global Trading, Active Equity or Fixed Income, Multi-Asset, Money Market, Index &amp; ETF</li><li>Experience of analysing large stets of data and using systems like SQL and Python to manipulate data</li><li>Proficient with trade surveillance systems</li></ul>Whatever your role, we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer: <ul><li>The opportunity to participate in our annual, performance-related bonus plan and valuable share schemes </li><li>Generous pension contribution </li><li>Life assurance </li><li>Private medical insurance (permanent employees only) </li><li>At least 25 days holiday, plus public holidays, 26 days after 2 years' service. There's also the option to buy and sell holiday </li><li>Competitive family leave </li><li>Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice </li><li>There are the many discounts we offer - both for our own products and at a range of high street stores and online </li><li>In 2023, some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart </li></ul>Additional Information Legal &amp; General is a leading financial services group and major global investor, named Britain's Most Admired Company in 2023, for the second year running. Rated top in our sector and top for inspirational leadership, we have a strong heritage and an exciting future. We aim to build a better society for the long term by investing our customers' money in things that make life better for everyone. If you join us, you'll be part of a welcoming culture, with opportunities to collaborate with people of diverse backgrounds, views and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel. We strive to be open, mindful and inclusive, so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs. If you're open to find out more, we'd love to hear from you. Videos To Watch <a href="https://youtu.be/8ZYGBwImH08" target="_blank">https://youtu.be/8ZYGBwImH08</a> <a href="https://www.youtube.com/watch?v=ZBOaxOH1C2c" target="_blank">https://www.youtube.com/watch?v=ZBOaxOH1C2c</a> <a href="https://youtu.be/YwHNjdPbbkk" target="_blank">https://youtu.be/YwHNjdPbbkk</a>

Asset Management Compliance Manager (Surveillance)

Working with Us Challenging. Meaningful. Life-changing. Those aren't words that are usually associated with a job. But working at Bristol Myers Squibb is anything but usual. Here, uniquely interesting work happens every day, in every department. From optimizing a production line to the latest breakthroughs in cell therapy, this is work that transforms the lives of patients, and the careers of those who do it. You'll get the chance to grow and thrive through opportunities uncommon in scale and scope, alongside high-achieving teams rich in diversity. Take your career farther than you thought possible. Bristol Myers Squibb recognizes the importance of balance and flexibility in our work environment. We offer a wide variety of competitive benefits, services and programs that provide our employees with the resources to pursue their goals, both at work and in their personal lives. Read more: careers.bms.com/working-with-us Responsible for supporting the Vice President, Compliance &amp; Ethics identify &amp; implement operational &amp; programmatic efficiencies across European Markets. Support the Compliance Heads of BMS France &amp; Germany manage key programmatic compliance operations in France &amp; Germany, with a particular focus on education, strategic communications, culture of Integrity programs and digital monitoring activities. KEY RESPONSIBILITIES • Identify &amp; manage European Markets C&amp;E team operational efficiencies. • Support data and information gathering to support in-market and across market advisory activities. • Manage development, enhancement and promotion of BMS' Integrity Culture programs and other compliance culture programs in European Markets. • Manage/conduct transactional monitoring and analytics activities in consultation with the market compliance heads to ensure appropriate identification and remediation of compliance risk exposures. • Manage development or revision of market specific compliance education curriculums, courses, materials or just-in-time communications for European Markets. • Manage development of market Compliance Committee agendas, materials and general administration of the compliance committees in consultation with the market compliance heads. • Support European Market risk assessment activities and periodic internal audit activities, including support of BMS France's annual Sapin II Compliance program activities. REQUIREMENTS • 5 years minimum experience in a pharmaceutical compliance role. • Effective communicator and trainer with a demonstrated ability to support multiple elements of a comprehensive compliance program. • Strong strategic-thinking skills with an ability to identify and recommend process improvements and best practices. • Ability to prioritize and manage multiple projects under deadline pressure with flexibility to work on a broad range of matters. • Experience with France and/or German pharmaceutical industry laws, regulations and codes strongly preferred. • Language requirements: English: Fluency required If you come across a role that intrigues you but doesn't perfectly line up with your resume, we encourage you to apply anyway. You could be one step away from work that will transform your life and career. Uniquely Interesting Work, Life-changing Careers With a single vision as inspiring as "Transforming patients' lives through science™ ", every BMS employee plays an integral role in work that goes far beyond ordinary. Each of us is empowered to apply our individual talents and unique perspectives in an inclusive culture, promoting diversity in clinical trials, while our shared values of passion, innovation, urgency, accountability, inclusion and integrity bring out the highest potential of each of our colleagues. On-site Protocol BMS has a diverse occupancy structure that determines where an employee is required to conduct their work. This structure includes site-essential, site-by-design, field-based and remote-by-design jobs. The occupancy type that you are assigned is determined by the nature and responsibilities of your role: Site-essential roles require 100% of shifts onsite at your assigned facility. Site-by-design roles may be eligible for a hybrid work model with at least 50% onsite at your assigned facility. For these roles, onsite presence is considered an essential job function and is critical to collaboration, innovation, productivity, and a positive Company culture. For field-based and remote-by-design roles the ability to physically travel to visit customers, patients or business partners and to attend meetings on behalf of BMS as directed is an essential job function. BMS is dedicated to ensuring that people with disabilities can excel through a transparent recruitment process, reasonable workplace accommodations/adjustments and ongoing support in their roles. Applicants can request a reasonable workplace accommodation/adjustment prior to accepting a job offer. If you require reasonable accommodations/adjustments in completing this application, or in any part of the recruitment process, direct your inquiries to <a href="mailto:adastaffingsupport@bms.com" target="_blank">adastaffingsupport@bms.com</a>. Visit careers.bms.com/eeo-accessibility to access our complete Equal Employment Opportunity statement. BMS cares about your well-being and the well-being of our staff, customers, patients, and communities. As a result, the Company strongly recommends that all employees be fully vaccinated for Covid-19 and keep up to date with Covid-19 boosters. BMS will consider for employment qualified applicants with arrest and conviction records, pursuant to applicable laws in your area. Any data processed in connection with role applications will be treated in accordance with applicable data privacy policies and regulations. Bristol Myers Squibb is Disability Confident - Employer A UK Government scheme

Compliance Manager, European Markets

Job Description We are seeking an experienced Market Risk Manager to join the London Market Risk team in Solutions business. The Market Risk Manager will be responsible for managing the market risk of the trading activities across a range of asset classes, including equities, fixed income, FX, credit and commodities. The successful candidate will have 5-10 years of experience in market risk management, including knowledge of risk management principles and methodologies. Key Responsibilities: • Monitor and analyse market risk exposure across multiple asset classes. • Identify potential risk issues and work with traders and other stakeholders to implement effective risk management strategies. • Review new business / product initiatives and make recommendations to Head of Market Risk. • Develop and implement risk policies and procedures, including risk limits and stress testing methodologies. • Conduct regular risk assessments and provide timely and accurate risk reports to senior management. • Work closely with other risk managers and control functions to ensure a consistent approach to risk management. • Stay up-to-date with regulatory developments and ensure compliance with relevant regulations. Requirements: • Bachelor's degree in finance, economics, or related field. • Minimum of 5 years of experience in market risk management, with exposure to both cash trading and derivatives across a number of asset classes. • Strong analytical and quantitative skills, with the ability to identify and analyse complex risk issues. • Excellent communication and interpersonal skills, with the ability to work collaboratively with traders and other stakeholders. • Strong understanding of financial markets, products, and instruments. • Knowledge of regulatory requirements related to market risk management. • Ability to work independently and manage multiple tasks simultaneously. • Ambitious, proactive with strong desire to achieve including going beyond what's required. • Computer programming skills. Coding in Python and SQL a strong advantage. Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative. Morgan McKinley encourages applications from all qualified candidates who represent the full diversity of communities in the UK. Accommodations are available on request for candidates taking part in all aspects of the selection process. BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

Structured Products Market Risk Manager - Brokerage

Company Description Legal &amp; General is one of Europe's largest asset managers, providing clients and partners with complex, responsible investment solutions, across public and private markets. As a global investor, we are present where our clients most need us - from Hong Kong and Singapore, to Chicago and major European financial hubs. Created by combining our investment management (LGIM) and asset origination (LGC) capabilities, our Asset Management division works with our Institutional Retirement and Retail divisions to benefit our clients and customers - which include individual savers, pension scheme members and global institutions - and deliver enhanced shareholder returns. Joining us means becoming part of a market-leading team, with capabilities across the full spectrum of asset classes, with an enduring commitment to responsible investment and creating long-term, sustainable value for our clients and partners. Job Description We're recruiting for a Compliance Manager (Surveillance)to join us. We're offering acompetitive base salary and good benefits package. What you'll be doing: <ul><li>Providing high quality compliance surveillance support to L&amp;G Asset Management's regulated entities</li><li>Leading investigations into adverse conduct and ensuring practices are inline with regulations and risk appetite</li><li>Remining up to date on emerging regulations and developing, implementing and enhancing additional surveillance scenarios in response to this</li><li>Designing and implementing new mitigating actions to reduce risks</li><li>Production of clear and concise MI for boards, committees and team meetings</li><li>Analysing compliance data, incorporating new data sets, and implementing new tests to continuously develop the Compliance Surveillance Plan</li></ul>Qualifications Who we're looking for: <ul><li>Experience of working at the Regulator or an Asset Manager in a compliance surveillance role</li><li>Strong understanding of the relevant FCA regulations</li><li>Strong working knowledge of any of the following desks: Global Trading, Active Equity or Fixed Income, Multi-Asset, Money Market, Index &amp; ETF</li><li>Experience of analysing large stets of data and using systems like SQL and Python to manipulate data</li><li>Proficient with trade surveillance systems</li></ul>Whatever your role, we reward performance and behaviour with a package that looks after all the things that are important to you. Here are some of the benefits we offer: <ul><li>The opportunity to participate in our annual, performance-related bonus plan and valuable share schemes </li><li>Generous pension contribution </li><li>Life assurance </li><li>Private medical insurance (permanent employees only) </li><li>At least 25 days holiday, plus public holidays, 26 days after 2 years' service. There's also the option to buy and sell holiday </li><li>Competitive family leave </li><li>Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice </li><li>There are the many discounts we offer - both for our own products and at a range of high street stores and online </li><li>In 2023, some of our workspaces were redesigned. Our offices are great spaces to connect and collaborate and have your wellbeing at the heart </li></ul>Additional Information Legal &amp; General is a leading financial services group and major global investor, named Britain's Most Admired Company in 2023, for the second year running. Rated top in our sector and top for inspirational leadership, we have a strong heritage and an exciting future. We aim to build a better society for the long term by investing our customers' money in things that make life better for everyone. If you join us, you'll be part of a welcoming culture, with opportunities to collaborate with people of diverse backgrounds, views and experiences. Guided by leaders with integrity who care about your future and wellbeing. Empowered through initiatives which support people to develop their careers and excel. We strive to be open, mindful and inclusive, so are always willing to discussing flexible working arrangements and reasonable accommodations for candidates with specific needs. If you're open to find out more, we'd love to hear from you.

Role Overview Nest seeks a compliance professional with particular expertise in financial crime and anti money laundering, to join a second line compliance function to cover a 12 month Fixed Term Contract. Candidates should have current experience of identifying, managing and combatting fraud and financial crime in addition to a sound knowledge of FCA regulation, as this role will involve providing compliance advice. Experience of the investment sector is an advantage. Don't worry if you think you don't have all the key skills, it might be worth taking the few minutes to apply as we're good at spotting potential and offer a generous training budget. Please download a full job description to find a full scope, deliverables, experience and personal attributesrequired for this role. Flexible and agile working Everyone's personal situation is different. To make the most out of hybrid working we've introduced different ways of working, which include (subject to role requirements): <ul> <li>hybrid of office (Canary Wharf, London) and home working (there will be an expectation to attend the office, once - twice a week, or more, as required) </li> <li>reduce or vary working hours</li> <li>reduce or vary the days worked</li> <li>work from home (or a different location)</li> <li>work compressed hours</li> <li>job share</li></ul>Click here to see the benefits we offer at Nest. For more information about our recruitment process click here Directorate/Department Overview The Financial Crime team sits within the Risk &amp; Compliance (R&amp;C) Directorate, along with Enterprise Risk, Information Security, Compliance, Master Trust Supervision and Pensions Technical, and Data Protection. The directorate supports the business in delivering its strategic priorities by overseeing that risk and controls are identified, prioritised and managed through an enterprise risk management framework. Nest operates a 'three lines of defence' model, with Risk &amp; Compliance sitting in the second line providing advice, guidance and challenge to the first line. The Financial Crime Team has second line responsibility for areas such as the prevention of fraud, anti-money laundering, bribery and corruption procedures and policies. Support includes conducting investigations, regulatory reporting as well as training and awareness across Nest Corporation. The function is also responsible for compliance advisory including Nest Invest (FCA regulated). The Financial Crime &amp; Compliance Manager is responsible for providing expert support and advice to the first line in all matters relating to financial crime, anti-bribery &amp; corruption, anti-money laundering and fraud. The role supports the business in achieving its strategic goals through the delivery of prompt, clear and pragmatic compliance advice through collaboration and formal engagement and for providing advice to first line teams. In time, the remit of this role will include second line support of managing our risks in relation to the Managing Public Money legislation and requirements. This role is to cover the secondment of the permanent role holder for up to 12 months. There are no people management responsibilities associated with the role. The role holder also provides input, support and advice for decision and policy making in relation to the design and operation of the scheme whilst ensuring adequate standards of governance and compliance. They are also the owners of the compliance framework which is designed to give assurance on compliance with all pensions regulation and legal requirements. Organisational Overview Nest is an award-winning workplace pension scheme, the largest in the country. Set up by the government to give every worker in the UK somewhere to save, our first-class responsible investment practice and governance are the backbone of what we do, supported by all the functions you'd expect to find in a thriving business. We're committed to creating a workplace where you can be your authentic self and offer an inclusive and flexible working environment. Diversity, Equity and Inclusion Everyone is welcome to apply for our roles and we particularly encourage applications from Black, Asian and minority ethnicity, LGBTQ+, and disabled candidates. Everyone is welcome to apply for our roles, and we are determined to ensure that no applicant or employee receives less favourable treatment because of their age, belief, disability, gender identity, marital status, national origin, pregnancy or caring responsibilities, socio economic background, sex, sexual orientation, religion or race or any other legally protected status. We also recognise the importance of diversity of thought and other forms of neurocognitive variation. Nest is a Disability Confident Leader, which is the highest level of the Disability Confident Scheme. If you have disability, declare that you're applying through the scheme and meet the minimum criteria for this role, we aim to invite you to an interview. However, there may be a few exceptions where we are not able to take all eligible candidates to the next stage due to the volume of applications. Please note that this advert may close early if we receive a sufficient number of satisfactory applications. If you have any difficulty in sending your application or need the application pack in an alternative format, or you require any reasonable adjustments please contact [email protected].

Financial Crime and Compliance Manager

Job Description Main purpose of role: <ul> <li>To provide focused and effective support to the business in respect of regulatory and governance issues</li> <li>To implement and maintain appropriate internal procedures to manage regulatory risk within risk appetite namely compliance monitoring, sanctions &amp; financial crime, regulatory change management and regulatory training </li> <li>To assist the Legal and Regulatory Manager</li></ul>Responsibilities Purpose: <ul> <li>To provide focused and effective support to the business in respect of regulatory and governance issues</li> <li>To implement and maintain appropriate internal procedures to manage regulatory risk within risk appetite namely compliance monitoring, sanctions &amp; financial crime, regulatory change management and regulatory training </li> <li>To assist the Legal and Regulatory Manager</li></ul>Accountabilities: <ul> <li>To assist with the regulatory change management framework including horizon scanning. Anticipate future regulatory developments, draft/issue appropriate updates to the business and provide prompt services to organization employees in respect of appropriate regulatory enquiries.</li> <li>To own the different compliance due diligence processes for the organization and document approach accordingly.</li> <li>Own and manage the Lloyd's Business Timetable process including monitoring and chasing the organization for updates regarding timely submissions of returns.</li> <li>To assist with the sanctions and financial crime framework including risk due diligence and pre/post-bind screening processes.</li> <li>To maintain and execute the regulatory training strategy including standard periodic organization training along with specific regulatory training requirements and compliance induction training.</li> <li>To assist with the organization's formal Compliance Monitoring Programme ("CMP"). To update the CMP as required and ensure all relevant compliance testing and file reviews are taking place as required.</li> <li>To deliver advice and guidance, projects or training as required to support the business i.e. Market Bulletins, Lloyd's Business Timetable, Sanctions etc. </li> <li>Oversight of compliance registers and logs (conflicts of interest, gifts &amp; entertainment, training, sanctions referrals etc.) with a view to producing Management Information (MI) for the quarterly compliance MI report.</li></ul>Qualifications &amp; Experience: <ul> <li>Educated to degree level or equivalent</li> <li>Progress towards a relevant professional qualification would be an advantage</li> <li>Appropriate professional post-graduate qualification (governance, legal etc.)</li> <li>Ideally 1-3 years' experience within the Lloyd's of London compliance environment </li> <li>Thorough understanding of PRA and FCA requirements required</li></ul>Qualifications <ul> <li>Bachelor's degree in risk management, Business, Communications (or related field) or commensurate experience.</li> <li>4+ years of insurance industry experience in any compliance area, which may include commercial or personal underwriting, claims, policy processing or product management.</li> <li>Current knowledge of insurance laws, statutes and regulations gained through work experience. </li> <li>Experience analyzing problems and developing recommendations. </li> <li>Excellent oral, written and interpersonal skills resulting in the ability to: <ul> <li>Deliver messages in a clear, compelling, and concise manner.</li> <li>Articulate messages in a way that is broadly understandable. </li> <li>Adjust communication content and style to meet need of diverse audience. </li> <li>Actively listen and checks for understanding.</li> </ul></li></ul>#WSPI

Compliance Analyst (Fixed Term Contract)

Citi Global Markets provides world-class solutions and an unmatched global presence. We serve corporates, institutional investors and governments from trading floors in almost 80 countries. The strength of our underwriting, sales and trading and distribution capabilities span asset classes (Commodities, Equities, Rates, Spread Products) and currencies, providing us with an unmatched ability to meet the needs of our clients. Markets Governance &amp; Control works with the Markets businesses and functions including Compliance, Operational Risk and Internal Audit, to support identification, evaluation and management of operational and compliance risks in Markets Sales and Trading businesses. The 1st Line of Defence (1LOD) Markets Controls Testing team is part of Markets Governance &amp; Control, and is responsible for execution of a comprehensive, risk-based programme of control testing covering all Markets businesses globally. The primary mission of the 1LOD Markets Controls Testing team is to support Management in its continuous monitoring of its control framework and residual risk profiles, thereby supporting responsible provision of financial services to clients and effective risk management for the firm. The Global Markets Control Testing Programme Head leads and directs a team of approximately 40 controls testing professionals responsible for supporting the above responsibilities, with breadth and depth on control testing planning and execution. This position reports to the Global Markets Control Testing Programme Head, within the Markets Governance &amp; Control Team; and is a strategic- and execution-oriented leadership role accountable for end-to-end control testing of controls owned by the Markets Front Office - which includes scoping, execution management, results reporting and providing remedial control advice to senior Markets stakeholders. Excellent management and communication skills are required to negotiate internally, frequently at a senior level. Developed communication and diplomacy skills are required to guide, influence, and convince others, in particular colleagues in other areas. Accountable for controls testing results and advising business and function partners regarding control execution. Necessitates a degree of responsibility over technical strategy. Responsible for supporting the Global Markets Control Testing Programme Head on handling staff management issues, including resource management and allocation of work within the team/project. Key Responsibilities: This role is an onshore testing lead role, responsible for planning, executing and reporting the results of control testing covering Markets Trading and Sales businesses and providing subject matter expertise to the junior testing team. Key responsibilities of the role are: <ul><li>Planning, executing and reporting results of control testing</li><li>Supervising and coaching team members in execution of control testing</li><li>Monitoring execution of parts of the testing programme to agreed timelines, escalating and resolving obstacles to delivery</li><li>Maintaining high standards and best practice for execution of testing activities</li><li>Providing challenge to stakeholders on the design and effectiveness of controls</li><li>Supporting stakeholders in determining necessary control remediation identified through the testing programme</li><li>Maintaining strong stakeholder relationships across Front Office, Markets Conduct Risk, Compliance and Operational Risk</li><li>Presenting impactful summary outputs from the testing programme to Senior Management and Governance Committees and Forums</li><li>Providing Markets controls subject matter expertise to stakeholders across all three lines of defence</li></ul>Knowledge, Experience &amp; Skills: <ul><li>Relevant experience in Front Office controls testing, internal audit, external audit, independent control reviews, or similar disciplines</li><li>Comprehensive understanding of Markets business activities and associated regulations</li><li>Thorough Knowledge of Markets Operational and Compliance risks, and related controls, associated with trading and sales activities</li><li>Strong understanding of control design assessment and effectiveness testing techniques and practices</li><li>Extensive experience of managing execution complex workloads to challenging timelines</li><li>Experience of coaching and developing team members</li><li>Experience of overseeing a team to deliver rigor and attention to detail in execution</li><li>Experience of developing and maintaining effective senior stakeholder relationships</li><li>Track record of providing constructive, effective challenge to Senior Stakeholders on risk management matters</li></ul>Education: <ul><li>Bachelor / university education preferred, but appropriate industry experience &amp; exceptional delivery track record is as important.</li></ul>What we'll provide you: By joining Citi, you will not only be part of a business casual workplace with a hybrid working model (up to 2 days working at home per week), but also receive a competitive base salary (which is annually reviewed), and enjoy a whole host of additional benefits such as: <ul><li>27 days annual leave (plus bank holidays)</li><li>A discretional annual performance related bonus</li><li>Private Medical Care &amp; Life Insurance</li><li>Employee Assistance Program</li><li>Pension Plan</li><li>Paid Parental Leave</li><li>Special discounts for employees, family, and friends</li><li>Access to an array of learning and development resources</li></ul>Alongside these benefits Citi is committed to ensuring our workplace is where everyone feels comfortable coming to work as their whole self, every day. We want the best talent around the world to be energized to join us, motivated to stay and empowered to thrive. #LI-BH1 Job Family Group: Risk Management Job Family: Business Risk &amp; Control Time Type: Full time Citi is an equal opportunity and affirmative action employer. Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi. View the "EEO is the Law" poster. View the EEO is the Law Supplement. View the EEO Policy Statement. View the Pay Transparency Posting

Business Risk Group Manager - SVP

Company Description Evelyn Partners is the UK's leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities and businesses. We provide an award-winning service for our clients by employing the best people. Join us on our mission to place the power of good advice into more hands because we believe that everyone deserves access to good advice, regardless of where they're at in their financial journey. An exceptional track record of growth and innovation is driven by our core values of: Personal, offering advice based on a true understanding of what matters to our clients; Partnership, working with our clients in a joined-up, collaborative way; and Performance, demonstrating a breadth and depth of advice expertise to deliver first-class results. Read more about us and available career opportunities here: Wealth, accountancy and business advisory services / Evelyn Partners Careers / Evelyn Partners Why Evelyn Partners London? Our team operates from the Evelyn Partners head office, fostering collaboration among 1,600 colleagues in a modern environment. We prioritise audit quality through regular training sessions and social events to encourage best practice sharing and teamwork. Additionally, our office is divided into smaller pastoral care teams to foster relationships and ensure a supportive culture, emphasising wellbeing. Job Description Reporting to the function Head, provide regulatory input to support delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the Group's business model and strategy. Key Responsibilities <ul><li>Regulatory horizon scanning<ul><li>Conduct the identification, analysis , monitoring &amp; evaluation of Financial Services regulatory pronouncements which impact on the activities of Evelyn Partners business.</li><li>Produce management information and written communications for Working Groups, Committees &amp; Boards.</li></ul></li><li>Support regulatory change implementation<ul><li>Developing and maintain implementation plans.</li><li>Serve on relevant interest groups, working parties and committees.</li><li>Prepare packs for Regulatory Developments led meetings and taking minutes where required.</li></ul></li><li>Support the design and implementation of Evelyn Partners compliance learning programme<ul><li>Consult with compliance policy owners on how learning interventions should be designed and delivered.</li><li>Working with the Learning &amp; Development function and compliance colleagues, design and deliver. engaging and high-impact learning solutions via multiple platforms e.g. recorded learning, webinars, workshops, etc.</li><li>Develop and update training materials, ensuring they are appropriate, technically accurate, fit for purpose and meet the business needs.</li></ul></li><li>General<ul><li>Assist the function maintain up-to-date departmental procedures.</li><li>Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.</li></ul></li></ul>Qualifications Key Skills and Experience <ul><li>Good knowledge and understanding of relevant FS Wealth Management regulatory requirements, including FSMA 2000 / FCA rulebook</li><li>Experience of working in the wealth management compliance sector</li><li>Good inter-personal skills, judgement and decision-making ability, and a determined and proactive approach</li></ul>Professional Qualifications and Education <ul><li>Educated to Degree level</li><li>Relevant regulatory qualifications an advantage</li></ul>Additional Information As a colleague here at Evelyn Partners, you will have access to benefits that include: <ul><li>Competitive salary</li><li>Private medical insurance</li><li>Life assurance</li><li>Pension contribution</li><li>Hybrid working model (role dependant)</li><li>Generous holiday package</li><li>Option to purchase additional holiday</li><li>Shared parental leave</li></ul>We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we're delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment. We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

Compliance Officer

Job Description: Job Title Market Risk Manager Location London Corporate Title Assistant Vice President In this role you will drive improvements in valuation processes and methodologies while ensuring the accurate marking of the nonlinear books in Europe Core Rates through the Independent Price Verification (IPV) process and the accurate calculation of reserves, prudential valuation, and levelling. You will also manage and foster stakeholder relationships across the region including teams in Mumbai. European Core Rates is the main hub for the Core Rates business, trading a wide range of products, from Linear products such as swaps and cash bonds to illiquid bonds and very exotics multi asset non-Linear products. You will also be responsible of the valuation management of the Europe Non-Linear business. What we'll offer you A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its centre. You can expect: <ul><li>Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them</li><li>Competitive salary and non-contributory pension</li><li>30 days' holiday plus bank holidays, with the option to purchase additional days</li><li>Life Assurance and Private Healthcare for you and your family</li><li>A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits</li><li>The opportunity to support a wide-ranging CSR programme + 2 days' volunteering leave per year</li></ul>Your key responsibilities <ul><li>Overseeing, reviewing, and critiquing IPV results to ensure accurate marking of books on a monthly and daily basis</li><li>Be responsible for the accurate calculation of reserves, prudential valuation, and levelling</li><li>Overseeing and approving valuation, reserve and Prudential Capital methodologies ensuring consistency in application globally</li><li>Analysing and managing key valuation uncertainty issues through senior management</li><li>Managing and fostering stakeholder relationships across the region including teams in Mumbai</li></ul>Your skills and experience <ul><li>Experience within a valuations group in a large investment bank, preferably within Rates, though not essential</li><li>Educated to (a minimum of) bachelor's degree level or equivalent qualification/relevant work experience, a focus in accounting, mathematical, statistical, engineering or economics would be beneficial</li><li>Excellent organisational and communication skills, both written and verbal, with the ability to interact collaboratively with the trading staff, senior management, and regulators</li><li>Ability to devise creative solutions to issues as they arise while maintaining a strategic perspective</li><li>Experience with Python, though not essential, would be of advantage</li></ul>How we'll support you <ul><li>Training and development to help you excel in your career</li><li>Coaching and support from experts in your team</li><li>A culture of continuous learning to aid progression</li><li>A range of flexible benefits that you can tailor to suit your needs</li><li>We value diversity and as an equal opportunities' employer, we make reasonable adjustments for those with a disability such as the provision of assistive equipment if required (for example, screen readers, assistive hearing devices, adapted keyboards)</li></ul>About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named in The Times Top 50 Employers for Gender Equality 2024 for five consecutive years. Additionally, we have been awarded a Gold Award from Stonewall and named in their Top 100 Employers 2024 for our work supporting LGBTQ+ inclusion. We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

Market Risk Manager

WPP is the creative transformation company. We use the power of creativity to build better futures for our people, planet, clients, and communities. Working at WPP means being part of a global network of more than 115,000 accomplished people in 110 countries. WPP has headquarters in New York, London and Singapore and a corporate presence in major markets worldwide. We create transformative ideas and outcomes for our clients through an integrated offer of communications, experience, commerce, and technology. WPP and our award-winning agencies work with most of the world's biggest companies and organisations - from Ford, Unilever and P&amp;G to Google, HSBC, and the UN. Our clients include 61 of the FTSE 100, 307 of the Fortune Global 500, all 30 of the Dow Jones 30 and 62 of the NASDAQ 100. WPP are the leader in the Bloomberg Gender Equality Index and 20th in the FTSE 100 rankings for Women on Boards. Why we're hiring: We are seeking a Compliance Analyst to oversee our privileged access review cycle. This critical role will focus on conducting account revalidation for all SOX applications infrastructure. The compliance analyst will liaise with control owners for each SOX application to validate if the accounts are still required. Privileged access reviews are required to be conducted every quarter for SOX servers. What you'll be doing: <ul><li>Perform quarterly PAR for SOX apps within the required timeframe.</li><li>Work with compliance, control owners, role owners and line managers to complete attestation of privileged accounts, identifying orphan accounts and accounts no longer required (i.e. movers). </li><li>Liaise with AD owners to complete account remediation. </li><li>Liaise with risk and compliance lead to optimise the SOX PAR process.</li></ul>What you'll need: <ul><li>Experience of working with Microsoft Excel.</li><li>Collaboration skills • Good data analytical skills.</li><li>Good understanding of privileged roles and accounts. </li><li>Experience of working in IT Audit. </li><li>Experience of working in global, highly complex environments. </li><li>Problem and Service Management. </li><li>Working with Third Party suppliers.</li><li>Great verbal &amp; written communication &amp; interpersonal skills.</li><li>Good problem-solving, abstraction &amp; critical-thinking skills.</li><li>Pragmatic approach, proactivity &amp; autonomy.</li><li>Willing to travel globally and comfortable working within remote teams.</li></ul>Who you are: You're open: We are inclusive and collaborative; we encourage the free exchange of ideas; we respect and celebrate diverse views. We are accepting: of new ideas, new partnerships, new ways of working. You're optimistic: We believe in the power of creativity, technology and talent to create brighter futures or our people, our clients and our communities. We approach all that we do with conviction: to try the new and to seek the unexpected. You're extraordinary: we are stronger together: through collaboration we achieve the amazing. We are creative leaders and pioneers of our industry; we provide extraordinary every day. What we'll give you: Passionate, inspired people - We promote a culture of people that do extraordinary work. Scale and opportunity - We offer the opportunity to create, influence and complete projects at a scale that is unparalleled in the industry. Challenging and stimulating work - Unique work and the opportunity to join a group of creative problem solvers. Are you up for the challenge? Who you are: You're open: We are inclusive and collaborative; we encourage the free exchange of ideas; we respect and celebrate diverse views. We are accepting: of new ideas, new partnerships, new ways of working. You're optimistic: We believe in the power of creativity, technology and talent to create brighter futures or our people, our clients and our communities. We approach all that we do with conviction: to try the new and to seek the unexpected. You're extraordinary: we are stronger together: through collaboration we achieve the amazing. We are creative leaders and pioneers of our industry; we provide extraordinary every day. What we'll give you: Passionate, inspired people - We promote a culture of people that do extraordinary work. Scale and opportunity - We offer the opportunity to create, influence and complete projects at a scale that is unparalleled in the industry. Challenging and stimulating work - Unique work and the opportunity to join a group of creative problem solvers. Are you up for the challenge? WPP is an equal opportunity employer and considers applicants for all positions without regard to race, color, religion or belief, sex, age, national origin, citizenship status, marital status, military/veteran status, genetic information, sexual orientation, gender identity, physical or mental disability. We believe in creating a dynamic work environment that values diversity and inclusion and strives to recruit a diverse slate of candidates to help us achieve that goal. Please read our Privacy Notice (<a href="https://www.wpp.com/people/wpp-privacy-policy-for-recruitment" target="_blank">https://www.wpp.com/people/wpp-privacy-policy-for-recruitment</a>) for more information on how we process the information you provide.

IT Compliance Analyst - SOX/AUDIT - Contract role : 6 months

The ISG Financial Crimes Risk ("FCR") Team is embedded within the Firm's business line. It is responsible for identifying, assessing, and escalating potential money laundering and reputational risk issues associated with higher risk client types. The FCRCO Team is considered the first line of defense and supports the onboarding and enhanced due diligence processes for Morgan Stanley. About Morgan Stanley Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. We can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. What will you be doing? Change Management PMO • Primary liaison between GFC and CORDS Advisory and Training to review and agree on proposed KYC changes. • Facilitate meetings to discuss and refine KYC policy proposals, ensuring stakeholders engagement. Policy Change Socialisation(1LOD) • Socialise KYC policy changes with impacted teams across BU and CORDS Advisory and Training (1LOD) to initiate Impact Assessment and implementation planning. • Facilitate and coordinate feedback sessions to ensure all relevant perspectives are considered prior to final approval. • Coordinate with relevant global and regional GFC teams to resolve challenges. • Inform BU of policy changes and post-implementation go live dates confirmation KYC Policy Change Prioritization • Analyse and prioritize KYC policy changes based on risk assessment and operational impact. • Work with relevant teams to develop a clear implementation roadmap for approved changes. Tracking and Reporting • Monitor the implementation of KYC policy changes across 1LOD ensuring timely updates and adherence to deadlines. • Prepare regular reports for governance forum, highlighting progress, challenges, and outcomes of KYC policy implementations. Exclusion Approval Process • Lead a quarterly (or ad-hoc) forum to obtain stakeholder approval for new or modified exclusions. • Document all approvals in accordance with current governance policy. • Ensure Exclusions Request Forms are completed for any new exclusions or modifications. FCR Procedure maintenance • Manage FCR procedure maintenance process. • Ensure procedures updates meet organizational standards and KYC requirements. • Coordinate with relevant teams to ensure updates are communicated effectively and address any issues or discrepancies. • Ensure a clear audit trail of the procedures update process is maintained in line with record keeping requirements. Continuous Improvement • Identify opportunities for enhancing KYC processes and policies based on feedback and implementation outcomes. • Work with stakeholders to promote a culture of compliance and continuous improvement in KYC practices. Audit Support • Ensure documentation and information is complete, accurate, and timely. • Address questions raised by the Audit team promptly. • Review Audit findings and reports and develop and implement action plans to address any identified weaknesses or recommendation Qualifications: What we're looking for: • 5+ years professional experience in a financial crimes/anti-money laundering group (or similar) at a financial institution • Bachelor's degree or equivalent • Thorough knowledge of AML/KYC regulations and standards, including local and international requirements. • Strong analytical skills with an eye for detail and the ability to identify issues and recommend corrective actions. • Excellent communication and leadership skills, with the ability to provide constructive feedback and drive process improvements. • Exceptional problem-solving abilities and a proactive approach to challenges. • Ability to adapt to a rapidly changing regulatory environment. • Advanced knowledge of Microsoft Office tools (Word, PowerPoint, Excel, and Access) Skills that will help you in the role: Ability to: • Take initiative, analyze, summarize, and communicate effectively • Investigate, identify issues, impacts and trends to propose comprehensive solution • Multitask effectively and action matters promptly • Work independently and in a team environment • Handle highly confidential information with appropriate discretion • Work in a matrixed organization, leveraging resources across the organization to complete deliverable • Work in a high volume, fast paced environment Where will you be working? This role is based in either our 20 Bank Street in London. Flexible work statement: Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more. Internal Applicants: Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here. Equal opportunities statement: Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

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