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You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career journey that's unique and meaningful to you with benefits, programs, and flexibility that support you personally and professionally. At American Express, you'll be recognized for your contributions, leadership, and impact-every colleague has the opportunity to share in the company's success. Together, we'll win as a team, striving to uphold our company values and powerful backing promise to provide the world's best customer experience every day. And we'll do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong. Join Team Amex and let's lead the way together. How will you make an impact in this role? Duties will include: <ul><li>Drafting regular Board, Risk Committee, and other governance meeting materials for Compliance.</li><li>Reporting to the Board and other Committees, as required. </li><li>Leading, co-ordinating, and drafting communications between American Express and the Regulators - FCA, PSR, ICO.</li><li>Regulatory Change - own horizon scanning activities, working with stakeholders across the Business to discuss changes and implement where appropriate.</li><li>Training of Senior Managers (SMF), Certified colleagues and staff across the Business in respect of regulatory matters as appropriate.</li><li>Work with colleagues across the Business, and relevant industry stakeholders to assess Government policy, and respond where appropriate. </li><li>Regularly liaises with first, other second and third line teams to discuss and communicate compliance activities, and understand business needs and current issues in the market</li><li>Work with colleagues across the Business to ensure SMCR requirements continue to be met. </li><li>Work closely with the wider compliance team to provide advice where appropriate.</li><li>Assist in producing and maintaining relevant compliance policies and procedures as appropriate. </li><li>Provide insight and reporting to the UK Market Compliance Officer, holder of SMF16 and 17, on Regulatory insights, interactions, and findings.</li><li>Keep up to date a working knowledge of applicable laws, regulations, and company policies to identify the legal obligations applicable to American Express. </li><li>Oversee and own relevant regulatory applications and notifications using applicable regulatory platforms.</li><li>Continuing education - stays current on compliance topics by attending events, seminars and meetings arranged by law firms and professional associations</li></ul>Minimum Qualifications <ul><li>Five plus years in a Regulatory Liaison or in a Compliance Consultancy or Regulator experience covering a wide range of FCA Handbook Rulebook topics including Consumer Duty, SMCR, SYSC, CONC etc. </li><li>A thorough understanding of the regulation and operation of payment infrastructure, including Open Banking </li><li>Working knowledge of the UK Retail Banking/Payments industry, and the applicable regulatory environment (FCA/PRA).</li><li>Ability to manage competing priorities to completion and to deal with rapid changes of priority. </li><li>Analytical and detail focused with the ability to identify anomalies, trends and make recommendations. </li><li>Proven ability to understand legal and regulatory concepts and convert them into relevant, practical business requirements and compliance solutions.</li><li>Self-motivated, energetic team player with proven ability to work effectively in a matrix organization and across international markets with all levels of management.</li><li>Strong influencing, communication, and relationship skills.</li><li>Excellent written and oral communication skills.</li></ul>Preferred Qualifications <ul><li>Bachelors degree and or compliance/legal qualification.</li></ul>Qualifications We back our colleagues and their loved ones with benefits and programs that support their holistic well-being. That means we prioritize their physical, financial, and mental health through each stage of life. Benefits include: <ul><li>Competitive base salaries </li><li>Bonus incentives </li><li>Support for financial-well-being and retirement </li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) </li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need </li><li>Generous paid parental leave policies (depending on your location) </li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) </li><li>Free and confidential counseling support through our Healthy Minds program </li><li>Career development and training opportunities</li></ul>Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

UK Regulatory Compliance - Senior Manager - Regulatory Liaison and Reporting

Vacancy Name Senior Central Product Technical &amp; Compliance Manager Vacancy No VN758 Job Type Permanent Location Hatfield Job Details Senior Central Product Technical &amp; Compliance Manager Contract type: Permanent Location: Hatfield (Blended working - 2-3 days in the office / travelling to suppliers etc) Working hours per week: 40 hours Level: Senior Application closing date: 28th November 2024 About us Our mission is to deliver joy in every shop, through unbeatable choice, unrivaled service, and reassuringly good value. We're Ocado Retail, a market-leading, joint venture between Ocado Group and M&amp;S and the world's largest dedicated online supermarket ocado.com. Not only is Ocado.com the only place to shop a full range of M&amp;S food online, but it's also the home to the widest online supermarket range in the UK and champion of small, independent brands. We're also the brains behind Zoom by Ocado, our same-day grocery delivery service. About the team and the role Working in the Ocado Brand, Sourcing &amp; Sustainability team, the Senior Central Product Technical &amp; Compliance Manager plays a crucial role in ensuring the safety, quality and compliance of all of the products (food and non-food) listed on Ocado.com and Zoom.Ocado. Working closely with various departments and external industry groups to maintain the high standards and drive continuous improvement in food safety and quality processes both within the supply base and across the Ocado supply chain, including working with our partner Customer Fulfilment Centres (CFC). What you'll do <ul><li>General Accountabilities</li></ul>- Deputise for the Head of Product Technical &amp; Compliance where required including supporting incident risk assessment and management where appropriate. - Managing a team of Compliance Technologists to ensure the safety, quality and legality of all of the Ocado Own Brand and branded products we sell. - Manage and lead the overall product governance process including monitoring, reporting and escalating where appropriate. - Maintain and where necessary develop and implement product safety and quality standards, policies, and procedures in alignment with regulatory requirements and industry best practices with external suppliers. - Collaborate with suppliers and internal stakeholders (inc Product Technical Manager team if Own Brand) to address and resolve any food safety or quality issues, including product specifications, labelling, and packaging. - Lead operational excellence projects to reduce customer complaints, damages and increase customer satisfaction. - Responsibility for the delivery, execution and continual improvement of the crisis management procedure relating to products including withdrawals and recalls to ensure link with business wide processes.<ul><li>Ocado Own Brand Compliance</li></ul>Quality Management System - Responsibility for the delivery, execution and continual improvement of the Quality Management System. Audit - Manage and lead the relationship with our 2nd party audit provider ensuring the contract is managed according to agreed KPIs. - Work with audit company to ensure a process of continuous improvement for our audit programme ensuring it adds value to the supply base while managing the risks associated with the business. Surveillance (Microbiology, Nutrition, Authenticity, Pesticides &amp; Contaminants) - Managing the Ocado relationship and contract with the surveillance testing provider. - Maintaining awareness of emerging risks to drive the continual improvement of surveillance and support the businesses horizon scanning activities. - Supporting the review of, and corrective actions arising from, surveillance test results. - Trend analysing test results to identify emerging issues and producing summary reports for internal stakeholders. - Work with our external surveillance providers to use horizon scanning to flex and modify surveillance testing to direct where risks are identified. External Network - Manage and lead relationships with external bodies such as Environmental Health and Trading Standards. - Represent Ocado Retail on industry expert groups eg: BRC working groups and summarise how any items raise affect or could affect products sold. Quality - Maintain and where necessary develop and implement internal quality management systems including the management of external depot quality contractor. - Monitor and coordinate process for supplier charges relating to refunds &amp; withdrawals. <ul><li>Supply Chain Compliance</li></ul>- Manage the relationship with Ocado logistics including ensuring the risks that they manage on ORLs behalf are tracked and monitored for compliance. - Drive continuous improvement projects for branded supplier onboarding to ensure compliance is lead with commerciality in mind. - Maintain and where necessary develop and implement systems in approving branded suppliers to maintain compliance. - Manage the relationship with Ocado Retail customer hub ensuring processes are in place for ensuring customer complaints are investigated and closed in an appropriate manner. <ul><li>Line Management</li></ul>- Responsibility for managing a team of 3 individuals, ensuring alignment with objectives and promoting a high-performance culture. - Oversee the day-to-day performance of Compliance team members ensuring clear objectives are set and met. - Foster a positive work environment by promoting team collaboration, providing training opportunities and mentoring. <ul><li>Other Responsibilities</li></ul>- Stay abreast of industry trends, emerging technologies, and regulatory changes related to food safety and quality, and make recommendations to business for improvement or adaptation across Own Brand and Branded products. - Lead investigations into food safety incidents or complaints, identify root causes, and implement corrective and preventive actions to mitigate future risks. - Identify, scope and implement training and upskilling sessions for employees on food safety practices, regulations, and standards. - Participate in cross-functional projects and initiatives to drive innovation, sustainability, and operational excellence. - This role will include an element of on-call weekend working on a rotational basis (usually every 6 weeks). - Completing 40 hours Continued Personal Development (CPD) as a minimum per year. Who you are <ul><li>Bachelor's degree in Food Science, Food Technology, Microbiology, or related field. </li><li>Minimum of 8 years of experience in food safety and quality assurance within the retail or food manufacturing industry.</li><li>Strong knowledge of UK and EU food regulations, HACCP principles, and GMP standards.</li><li>Experience working with suppliers and managing relationships with external stakeholders.</li><li>Excellent analytical, problem-solving, and decision-making skills.</li><li>Effective communication and interpersonal skills, with the ability to collaborate and influence cross-functional teams.</li><li>Detail-oriented and able to manage multiple projects simultaneously.</li><li>Professional certification in food safety (e.g., HACCP, BRCGS) is desirable.</li></ul>What's in it for you By joining Ocado Retail you'll have the chance to experience life at the world's largest online retailer, work with an amazing bunch of people who challenge what's possible each day, and grow your skills and career in online retail. If that's not enough to tempt you, you'll also get access to loads of great benefits to sweeten the deal. Here's a taste of what we offer: Health &amp; Wellbeing: Private medical insurance with the option to add your family, Digital GP appointments, market-leading family policies, mental health support, discounted gym memberships, dental insurance, and more. Spend &amp; Save: Annual bonus scheme split between personal and business objectives, recognition with reward platform, up to 7% matched pension contributions, 15% Ocado discount, 20% M&amp;S discount, free breakfast every day in the office, electric vehicle leasing scheme and free shuttle bus from Hatfield station to the office. Never miss the moments that matter: Blended/Hybrid working, 26 days holiday plus 8 flexible bank holidays, options to buy an extra holiday, 2 weeks work from anywhere, and lifestyle break opportunities. Our Hiring Process Lucky for us, we get loads of great applications and we really appreciate that so many people put the time and effort in to apply. To recognise that, we treat all applications respectfully and fairly. So, if yours stands out, you'll follow our standard hiring process - one of our Talent Partners will talk you through this in an initial call. Everyone's welcome We're an equal opportunities employer. That means that we make sure all potential colleagues are treated fairly and equally. If you require reasonable adjustments during the recruitment process, please let us know on the application form.

Senior Central Product Technical & Compliance Manager

A universe of opportunities. Open to you. Payoneer's mission is to empower anyone, anywhere to participate and succeed in the global economy. If our mission connects with your values, if you revel in solving complex challenges, and if you want to continuously advance your career, come realize your potential at Payoneer! Life at Payoneer is a global community, where you'll work with colleagues all over the world, in a hybrid or remote work frame. As an equal opportunity employer, the only things that matter to us are your skills, your drive, and your desire to have a positive impact on others. We are looking for a highly-talented Compliance Analyst in London, United Kingdom. Payoneer Payment Services Ltd is an electronic money institution authorised by the Financial Conduct Authority and provides payment services to businesses as well as issuing e-money. Reporting directly to the Head of UK Compliance, the ideal candidate should have an understanding of Compliance, Anti-Money Laundering and Counter Terrorist Financing, ideally within a regulatory environment. They must have the utmost respect for confidentiality. The ideal candidate will be comfortable in a fast-paced, multi-tasked, high energy environment. What you'll be spending your time on: <ul><li>Support the development and upkeep of Payoneer Payment Services Ltd's policies and procedures.</li><li>Assist in handling regulatory inquiries and requests.</li><li>Serve as a point of contact for different business units within Payoneer.</li><li>Prepare for internal and external audits.</li><li>Aid in the creation and submission of Suspicious Activity Reports (SARs).</li><li>Perform quality assurance on the Customer Due Diligence (CDD) process and SAR escalation.</li><li>Carry out additional duties and responsibilities as needed.</li></ul>Is this you? The Payoneers are: Accountable | Adaptable | Collaborative | Communicative | Fast Learners | Independent | Motivated | Problem Solvers | Resilient | Technically Proficient Have you done this kind of stuff? <ul><li>3+ years of experience in payments/e-commerce, compliance and risk, or a similarly regulated environment</li><li>3+ years of experience investigating and analyzing customer activity and diverse business models to detect Money Laundering and Terrorist Financing (NCA experience)</li><li>Proficient in English (written and spoken)</li><li>Strong analytical and multitasking abilities with exceptional attention to detail</li><li>Skilled in Microsoft Word, Excel, and Outlook</li><li>Proven ability to communicate regulatory compliance requirements effectively to business units</li><li>Experienced in collaborating across cross-functional teams, working with all levels of management and staff</li><li>Strong organizational, written, and verbal communication skills</li><li>Available to work in the UK and open to occasional travel</li><li>Committed to completing training and continuous professional development (CPD) requirements</li></ul>Not a must but a great advantage: <ul><li>Prior experience working within the NCA portal</li></ul>Who we are: Payoneer (NASDAQ: PAYO) is the world's go-to partner for digital commerce, everywhere. From borderless payments to boundless growth, Payoneer promises any business, in any market, the technology, connections and confidence to participate and flourish in the new global economy. Powering growth for customers ranging from aspiring entrepreneurs in emerging markets to the world's leading brands, Payoneer offers a universe of opportunities, open to you. #LI-Hybrid

Compliance Analyst

We're Capital on Tap Capital on Tap was founded with the mission to help small business owners and make their lives easier. Today, we provide an all-in-one business credit card &amp; spend management platform that helps business owners save time and money. Capital on Tap proudly serves over 200,000 businesses across the world and our goal is to help 1 million small businesses by 2030. Why Join Us?We empower you to be innovative and solve complex problems. Take ownership, make an impact, and thrive in our scaling and agile environment. This is a Hybrid role, the Financial Crime Compliance team work from our London (Shoreditch) Offices 3 days per week. Financial Crime Compliance Team at Capital on TapThe Financial Crime Compliance team is responsible for ensuring that Capital on Tap meets its regulatory obligations in relation to all things AML and CTF. What You'll Be Doing You will support the Financial Crime Compliance Team to oversee adherence to the business's AML/CTF program through the following: • Act as a subject matter expert for financial crime escalations from within the 1st line FinCrime team and other areas of the business. • Assist with Sanctions, PEPs and High Risk escalations. • Review internal suspicious activity reports raised from other areas of the business such as credit or customer operations. Supporting the MLRO with preparing and filing SARs where appropriate. • Maintain AML policies, procedures, and standards that the first line must follow, ensuring updates to regulations and feedback from Compliance Monitoring, Quality Assurance and Independent Audit are appropriately captured. • Ongoing management of the companies AML/CTF risk assessment, identifying areas of emerging and ongoing risk and recommending controls to mitigate such risks. • Participate and provide input to FinCrime-wide team meetings, sharing knowledge on identified emerging trends and threats to assist in the building of a high performing team. • Coordinate with internal teams to gather and provide necessary documentation and information for law enforcement enquiries as well as for partner banks. We're Looking ForRequired skills: • Experience making independent risk-based judgements on AML investigations. • Able to communicate your decisions to internal team members, leadership and customers directly. • Confidence in asking questions and suggesting improvements where you see them. • An interest in Financial Crime and a willingness to learn about the regulatory landscape and criminal techniques in more detail. • A critical eye and strong attention to detail with an eagerness to work efficiently in a demanding, high volume environment. Diversity &amp; Inclusion We welcome, consider and encourage applications from anyone who shares our commitment to inclusivity. Join us in creating a space where authenticity thrives, and everyone can do their best work. Great Work Deserves Great Perks We try not to take ourselves too seriously (all the time) so we make sure our office is decked out with a pool table, arcade machine, beer tap, and a couple of office dogs thrown in for good measure. Check out our benefits: Private Healthcare including dental and opticians services through Vitality Worldwide travel insurance through Vitality Anniversary Rewards (£250, £500, £750, 4-week fully paid sabbatical) Salary Sacrifice Pension Scheme up to 7% match 28 days holiday (plus bank holidays) Annual Learning and Wellbeing Budget Enhanced Parental Leave Cycle to Work Scheme Season Ticket Loan 6 free therapy sessions per year Dog Friendly Offices Free drinks and snacks in our offices Check out more of our benefits, values and mission here. Interview Process First stage: 30 minute intro and values call with Talent Partner (Video call) Second stage: Interview with Financial Crime Manager (Video call/In person) Final stage: Interview with Head of FinCrime Compliance (In person) Other Info Check out our 'Top Tips' for interviewing. • Keep updated on new job opportunities by following us on Linkedin. Email <a href="mailto:careers@capitalontap.com" target="_blank">careers@capitalontap.com</a> if you have any questions. Excited to work here? Apply!If you'd like to progress your career within our fast growing, profitable fintech then click apply and we will aim to get back to you within 3 working days (during busy periods this could take up to 5 working days.)

Financial Crime Compliance Specialist

Description &amp; Requirements Bloomberg's Legal and Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information company. Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. Diversity and inclusion are essential to our success, and we strive to maintain an environment where our employees are empowered to make an impact. We also recognize the value and importance of giving back to our communities, as evidenced by our award-winning pro bono program! We are looking for a person with indices and benchmarks experience to join the EMEA Compliance team in London in support of Bloomberg's Index business, which offers financial benchmarks and strategy indices. What's the Role? Within the EMEA Compliance function you will work as part of the global Index Compliance team providing support to Bloomberg's global Index business, which offers financial benchmarks and strategy indices. The role will focus on coverage of Bloomberg Index Services Limited ("BISL"), which offers products globally, and is authorised by the UK FCA as a benchmark administrator under the UK Benchmark Regulation ("BMR"). The ideal candidate will have knowledge and experience with indices, financial benchmarks and/or products within the financial markets; be familiar with relevant FCA and European regulatory requirements as well as IOSCO principles; and be able to implement regulatory compliance policies, governance and controls. Strong communication and interpersonal skills are essential, together with the ability to work as part of a team, with a real drive to add value to the firm. We'll trust you to: - Act as the second line of defence in a dynamic, forward thinking business - Collaborate with index business and provide advisory compliance services - Provide guidance on and implement controls relating to regulatory requirements and expectations for financial benchmarks and indices - Draft responses to regulatory enquiries and contribute towards managing regulatory relationships - Partner with Legal and keep abreast of regulatory changes in relevant markets and their potential impact on the product and business - Draft, update and review compliance policies in line with regulatory requirements - Prepare reports for regulatory bodies and internal management - Manage complex initiatives/projects involving several stakeholders across the organisation - Develop and streamline new and existing compliance processes - Plan, prepare and conduct training for business stakeholders - Provide second-line review of benchmark methodologies, disclosures and marketing content - Oversee SMCR implementation and controls including maintaining the register, annual fitness &amp; propriety checks, and advising on conduct rule breach determinations - Work alongside the global lead and compliance team to increase the profile of the compliance function within the business You'll need to have: - Familiarity with the financial markets and UK and EU index-related regulatory developments, particularly the BMR - Good working knowledge of indices and financial benchmarks - Strong communication and interpersonal skills - The ability to advise on regulatory changes and developments - Experience in drafting policies, procedures, and manuals, along with preparing reports for regulatory bodies and internal management - An analytical mind, the ability to solve complex problems and streamline processes We'd love to see: - A desire to be part of a team in a dynamic and fast-paced organisation - A Bachelor's Degree - A track record of working with and advising senior business people on compliance matters - Experience of identifying and managing risk, including risk framework and issue management

Compliance Officer - Indices/Benchmark Administration

We're looking for a Financial Crime Analyst. This is a fixed term contract for 12 months, with the possibility of being extended or made permanent. About us Fast, flexible finance empowers small businesses to manage their cash flow better and seize opportunities - making their business and the economy stronger as a whole. At iwoca, we do just that. We help businesses get the funds they need, when they need it, often within minutes. We've already made several billion in funding available to over 100,000 businesses since we launched in 2012, and positioned ourselves as a leading Fintech in Europe. Our mission is to finance one million businesses. We'll get there by continuing to make our finance ever more relevant and accessible to more businesses by combining cutting-edge technology, data science and a 5-star customer service. Our culture We're expanding fast across our offices in London, Leeds and Frankfurt. With all this growth, we're looking for people who want to learn on the job and manage projects, knowing that your ideas will impact thousands of small businesses. Your mission will be: <ul><li>Investigating cases flagged as a potential fraud/AML risk. Including CIFAS flags, facial biometric anomalies, device based anomalies, signs of document tampering and more.</li><li>Screening PEP/sanction/adverse media matches</li><li>Taking ownership of customer verification on a case by case basis and driving what information is required to reduce the risk of fraud and money laundering.</li><li>Identifying opportunities to improve our processes and implement changes which will make us more efficient</li><li>Work closely with our Account Managers, Credit Analyst and Broker teams to maintain our high fraud prevention standards while ensuring a fast and slick service.</li></ul>Requirements We look for people who are smart, humble, motivated and who are always looking to improve. Ideally, you'll have: <ul><li>At least 1 years' experience within a financial crime related role</li><li>Confident communicator who feels comfortable delivering constructive and candid feedback</li><li>A confident and enthusiastic attitude that works well in a regularly changing and fast paced environment</li><li>Problem solving attitude is a big win, we tend to make decisions based on limited knowledge or guidance every now and then</li><li>A pragmatic, risk based approach to case investigation</li><li>An analytical mindset with a practical approach to problem solving.</li><li>Data analytics skills would be a bonus</li></ul>Whilst we welcome applications from all qualified candidates, please note that this particular position does not offer visa sponsorship. Candidates must be be eligible to work in the UK independently. Our benefits We put a lot of effort into making iwoca a brilliant place to work: <ul><li>Offices in London, Leeds and Frankfurt.</li><li>Events and clubs, like bingo, comedy nights, yoga classes, football...</li><li>Two company retreats a year, we've been to France, Italy, Spain and further afield</li><li>Plenty of drinks and snacks in our offices.</li></ul>We offer a wide range of benefits: <ul><li>Medical insurance from Vitality, including discounted gym membership</li><li>25 days' holiday, an extra day off for your birthday and the option to buy or sell an additional 5 days of annual leave</li><li>Instant access to emotional and mental health support with our partner, Spill</li><li>Share options</li><li>Generous maternity and paternity leave</li><li>A nursery tax benefit scheme to help you save money</li><li>Paid volunteering day to support your chosen charity</li><li>Extra leave if you want to travel or study</li><li>One-month fully paid sabbatical after 4 years</li><li>Cycle-to-work scheme</li><li>Electric car scheme</li></ul>And to make sure we all keep learning, we offer: <ul><li>An L&amp;D budget for everyone, including a book budget</li><li>Company-wide talks with internal and external speakers</li><li>Access to learning platforms like Treehouse if you want to learn to code</li></ul>For more information: <ul><li>iwoca benefits &amp; policies: coda.io/d/iwoca-benefits-policies</li></ul>

Financial Crime Analyst (FTC)

Make a Real Impact Bevan Brittan is a leading commercial law firm. Alongside our recognised expertise in housing, local government, and health and social care, we are specialists in the construction, energy and resource management, higher education and financial services sectors. Supported by our valued business services professionals, our award-winning and growing legal teams provide almost 2,000 organisations with commercial, corporate, property, finance, regulatory, employment and litigation (commercial and clinical negligence) legal and advisory services. As a responsible business, we embrace four values: Relationships, Reputation, Responsible and Results. These give us a sense of purpose. They influence the decisions we make and how we work with each other. Importantly, they motivate us to deliver meaningful outcomes for our clients and the communities that we're part of. Consistently recognised as one of The Times Best Law Firms and highly ranked across the legal directories, we are proud of our hard-earned reputation. Our 2023/24 financial results confirmed both revenue and profit growth for an eleventh consecutive year, ensuring our ability to continue investing in our people. Looking to the future, we're targeting ambitious growth and success. And we're looking for the best people to be part of it. Join a team of experts and progressive thinkers The role Bevan Brittan has an exciting opportunity for a Compliance Administrator to join the Business Support Services team. The team support our lawyers by completing a wide range of administrative tasks. This role will have a focus on compliance administration. The hours are 36.25 per week, working 7.25 hour shifts between the hours of 8am and 6pm Monday to Friday, however we are open to requests to work more flexibly. This role is based in our London office. Responsibilities:<ul> <li> Electronic filing using our document management systems </li> <li> Managing the loan card spreadsheet and auditing as appropriate </li> <li> Processing incoming and outgoing post </li> <li> Managing the confidential waste checklist, to be completed and saved on our electronic filing system, DMS </li> <li> Compiling electronic bundles </li> <li> Ensuring medical records are destroyed after 2 months in line with our data retention policy </li> <li> Conflict searching and matter opening </li> <li> All mail correspondence checked and destroyed after 3 months in line with our data retention policy </li> <li> Processing incoming requests via the departmental inboxes </li> <li> Reprographics </li> <li> Maintaining stationery and hand gel supplies </li> <li> Compliance and health and safety checks such as recording fridge temperatures daily </li> <li> First aid box checks and re-ordering </li> <li> Preparing files for closing </li> <li> Scheduling deeds </li> <li> Hold master spread sheet for lockers in each office and update as required </li></ul> What we are looking for from you<ul> <li>Quality and customer service driven</li> <li>Working knowledge of Word, Outlook and Excel</li> <li>Able to work to deadlines and prioritise own workload effectively</li> <li>Enthusiastic, pro-active and flexible</li> <li>Willing to contribute and support others as part of a team</li> <li>Confident verbal and written communication skills</li></ul> Work with approachable people When we ask colleagues what makes Bevan Brittan a great place to work, the most popular thing they say is "the people". The overwhelming consensus is that we make time for each other. We welcome questions and support each other. Naturally, we look for new colleagues who align with our values. Supported to be your best Learning, Development &amp; Progression We're committed to supporting your professional and personal development needs.This means that we offer a range of tailored training courses and you will have lots of opportunity to learn from those around you. We actively encourage progression and this is reflected in our annual review and promotion processes. You will be supported by your line manager to achieve your full potential. Wellbeing As a Bevan Brittan employee, you'll have access to a variety of services that support your wellbeing. We've pledged our commitment to The Mindful Business Charter and lots of our people contribute to our Wellbeing Responsible Business strand, which organises an annual calendar of wellbeing events and initiatives. Benefits <ul> <li> A minimum of 25 days holiday (plus the option to buy up to an additional 5 days) </li> <li> Discretionary bonus scheme </li> <li> Generous pension scheme </li> <li> Private medical insurance through Vitality </li> <li> Biennial private health assessment through Nuffield Health </li> <li> Life assurance </li> <li> Access to Employee Assistance Programme </li> <li> Cycle to work scheme </li></ul> Embracing our differences and valuing inclusion Our shared aim is that everyone is welcome and can feel comfortable being themselves at Bevan Brittan. To support this, we actively value and promote equality, diversity and inclusion in everything that we do. You'll be empowered and supported through our employee led networks, diverse colleagues, and a broad range of firmwide initiatives. Recognising the unique contributions that a diverse workforce can bring to our business, we encourage applications from people of all backgrounds. We take great pride in being a Disability Confident Employer. If you need any adjustments throughout the recruitment process or have any questions, please get in touch with our recruitment team by emailing <a href="mailto:recruitment@bevanbrittan.com" target="_blank">recruitment@bevanbrittan.com</a> Acting responsibly, now and for the future To us, being a responsible business is second nature; a core part of Bevan Brittan's identity. Our colleagues are heavily involved in shaping and delivering activity across the four pillars of our Responsible Business strategy : Community Engagement; Environmental Sustainability; Equality, Diversity &amp; Inclusion; and Wellbeing. Our people deliver pro bono legal work for charities and not-for-profit organisations. We play an active role in our local communities and donated £100,000 across our four regional office charities last year. We are also proudly carbon neutral. We've achieved the UN's Climate Neutral Now accreditation and our environmental sustainability plan focuses on achieving our net zero carbon target by 2040. Collectively, the four pillars ensure we look after our colleagues' wellbeing; offer an environment in which everyone can progress on merit, give something back to the communities in which we work; and protect the environment.

Compliance Administrator London

You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career journey that's unique and meaningful to you with benefits, programs, and flexibility that support you personally and professionally. At American Express, you'll be recognized for your contributions, leadership, and impact-every colleague has the opportunity to share in the company's success. Together, we'll win as a team, striving to uphold our company values and powerful backing promise to provide the world's best customer experience every day. And we'll do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong. Join Team Amex and let's lead the way together. How will you make an impact in this role? The Outcomes Testing Manager plays a crucial role in the implementation of an effective Compliance Monitoring and Testing Programme, focusing on the end-to-end outcomes that American Express is delivering for our customers. In addition the Outcomes Testing Manager will undertake and support additional testing from the annual plan as required. The Outcomes Testing Manager will assist in the design and maintenance of a comprehensive testing plan for all Lines of Business and initiatives in the UK - for both the card issuing, and the acquiring business. This includes the review and oversight of policies, procedures and frameworks to enable compliance to be effectively managed in the first line. Reporting into the Director for Regulatory Affairs and Testing, duties will include: <ul><li>Proactively assist and support the Director for Regulatory Affairs and Testing with the overall design and delivery of a proportionate and risk-based Outcomes Testing programme, and in conjunction with other team members, to continually identify key regulatory risks applicable to American Express.</li><li>Lead the embedding of a customer outcomes approach in compliance testing, ensuring that testing is focused on the identification of and enhancements to customers outcomes for American Express customers. </li><li>Perform thematic testing reviews and escalate findings to key stakeholders, working with team leaders across the Business to address and mitigate concerns identified in a timely manner. </li><li>Work with key stakeholders to ensure actions are tracked to closure appropriately. </li><li>Track, monitor and report on progress of the annual monitoring programme, updating it as appropriate to adapt to the changing environment and risks as appropriate. </li><li>Assist with the identification and assessment of current and future regulatory risks across key areas in compliance monitoring and escalate issues in a timely manner - making recommendations to mitigate those risks where appropriate.</li><li>Make recommendations to improve policies, processes and rules to improve the effectiveness of the controls, identify non-compliance with regulations or policies, identifying gaps in systems, processes and policies. </li><li>Keep up to date a working knowledge of applicable laws, regulations and company policies to identify the Company's legal obligations.</li></ul>Minimum Qualifications <ul><li>Significant experience as an Outcomes Testing Manager with a working knowledge of the UK Credit Card / Payments / Retail Banking industry.</li><li>Proven ability to understand wide range of legal and regulatory concepts and convert them into relevant, practical business requirements and compliance solutions.</li><li>Proven ability to understand complex business systems &amp; processes, and perform value-added testing that cuts across multiple business areas and multiple customer touchpoints. </li><li>Self-motivated, energetic, collaborative team player with proven ability to work effectively in a matrix international organization and across all levels of management.</li><li>Excellent written and oral communication skills, delivers clear messaging in a constructive manner</li><li>Strong influencing, and relationship / stakeholder management skills at all levels of management.</li><li>Strong organizational, time management and prioritisation skills.</li></ul>Preferred qualifications <ul><li>Significant experience as an Outcomes Testing Manager with a working knowledge of the UK Credit Card / Payments / Retail Banking industry.</li><li>Proven ability to understand wide range of legal and regulatory concepts and convert them into relevant, practical business requirements and compliance solutions.</li><li>Proven ability to understand complex business systems &amp; processes, and perform value-added testing that cuts across multiple business areas and multiple customer touchpoints. </li><li>Self-motivated, energetic, collaborative team player with proven ability to work effectively in a matrix international organization and across all levels of management.</li><li>Excellent written and oral communication skills, delivers clear messaging in a constructive manner</li><li>Strong influencing, and relationship / stakeholder management skills at all levels of management.</li><li>Strong organizational, time management and prioritisation skills. </li></ul>Qualifications We back our colleagues and their loved ones with benefits and programs that support their holistic well-being. That means we prioritize their physical, financial, and mental health through each stage of life. Benefits include: <ul><li>Competitive base salaries </li><li>Bonus incentives </li><li>Support for financial-well-being and retirement </li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) </li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need </li><li>Generous paid parental leave policies (depending on your location) </li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) </li><li>Free and confidential counseling support through our Healthy Minds program </li><li>Career development and training opportunities</li></ul>Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

UK Regulatory Compliance - Manager - Compliance Testing

You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career journey that's unique and meaningful to you with benefits, programs, and flexibility that support you personally and professionally. At American Express, you'll be recognized for your contributions, leadership, and impact-every colleague has the opportunity to share in the company's success. Together, we'll win as a team, striving to uphold our company values and powerful backing promise to provide the world's best customer experience every day. And we'll do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong. Join Team Amex and let's lead the way together. How will you make an impact in this role? This role will be responsible for supporting the Director for Regulatory Affairs and Testing in responding to regulatory and trade bodies on behalf of AXP. Reporting into the Director, Regulatory Affairs and Testing Duties will include: <ul><li>Support regulatory interactions, for example reporting, variations of permission and other supervisory work as appropriate.</li><li>Assists in the preparation of regular reports to senior management and the Board/Governance Committee as appropriate, providing crucial information on the Compliance plan, performed activities, results of second line of defence monitoring and testing activities, compliance-related risks and risk indicators, and the escalation of compliance issues and incidents. </li><li>Provide compliance advisory support to the Lines of Business operating in the UK</li><li>Regulatory Change - own horizon scanning activities, working with stakeholders across the Business to discuss changes and implement where appropriate.</li><li>Work with colleagues across the Business, and relevant industry stakeholders to assess Government policy, and respond where appropriate. </li><li>Regularly liaises with first, other second and third line teams to discuss and communicate compliance activities, and understand business needs and current issues in the market</li><li>Work closely with the wider compliance team to provide advice where appropriate.</li><li>Assist in producing and maintaining relevant compliance policies and procedures as appropriate. </li><li>Provide insight and reporting to the Director Regulatory Affairs and Testing on Regulatory insights, interactions, and findings.</li><li>Keep up to date a working knowledge of applicable laws, regulations, and company policies to identify the legal obligations applicable to American Express</li><li>Deal appropriately with other staff and control functions, and perform other tasks as requested or necessary from time to time to support the effective running of the overall Compliance program</li><li>Continuing education - stays current on compliance topics by attending events, seminars and meetings arranged by law firms and professional associations</li></ul>Minimum Qualifications: <ul><li>Experience in a Regulatory Liaison or in a Compliance Consultancy or Regulatory experience covering a wide range of FCA Handbook Rulebook topics including Consumer Duty, SMCR, SYSC, CONC etc. </li><li>Working knowledge of the UK Retail Banking/Payments industry, and the applicable regulatory environment (FCA/PRA).</li><li>Ability to manage competing priorities to completion and to deal with rapid changes of priority. </li><li>Analytical and detail focused with the ability to identify anomalies, trends and make recommendations. </li><li>Proven ability to understand legal and regulatory concepts and convert them into relevant, practical business requirements and compliance solutions.</li><li>Self-motivated, energetic team player with proven ability to work effectively in a matrix organization and across international markets with all levels of management.</li><li>Strong influencing, communication, and relationship skills.</li><li>Excellent written and oral communication skills.</li></ul>Preferred Qualifications: <ul><li>Bachelors degree and or compliance/legal qualification.</li></ul>Qualifications We back our colleagues and their loved ones with benefits and programs that support their holistic well-being. That means we prioritize their physical, financial, and mental health through each stage of life. Benefits include: <ul> <li>Competitive base salaries </li> <li>Bonus incentives </li> <li>Support for financial-well-being and retirement </li> <li>Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) </li> <li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need </li> <li>Generous paid parental leave policies (depending on your location) </li> <li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) </li> <li>Free and confidential counseling support through our Healthy Minds program </li> <li>Career development and training opportunities</li></ul>Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

UK Regulatory Compliance - Manager - Regulatory Liaison and Reporting

KEY PURPOSE: Working with the firm's New Yorkbased Private Wealth SecondariesSolutions (PWSS)Global Compliance Officer, PWSS regional management and others, you will develop strong working relationships with all key stakeholders, supporting the delivery of best-in-class regulatory compliance arrangements for the Coller Capital group's Private Wealth Secondaries Solutions (PWSS) business on a regional and global basis. While dedicated to PWSS matters, you will functionally be part of the group-wide Legal &amp; Compliance department. KEY TASKS AND RESPONSIBILITIES: Your role will have a broad remit. You will be responsible for developing, implementing and operating compliance programs and other internal control arrangements covering the design, governance, marketing and distribution of PWSS products, on a regional basis, meeting the requirements and expectations of all applicable regulators. You will further be responsible, together with other members of the global Legal &amp; Compliance function, for ensuring that the group's various investment management and advisory entities used for PWSS activities and products continue to comply with all applicable laws and regulations. In fulfilling these responsibilities, you will be required (among other things) to: <ul> <li>Assist with onboarding and ongoing reviews of investors and service providers; </li> <li>Contribute to the overall implementation and operation of the group's global compliance policies/procedures and monitoring/testing plans (as applicable to the PWSS business), ensuring that review procedures are risk-based, proportionate and effective;</li> <li>Render expert regulatory advice to members of the PWSS team and other Coller Capital group professionals operating in the EMEA region; </li> <li>Produce high-quality compliance reports and updates for the PWSS Global Compliance Officer, PWSS regional management and the governing bodies of relevant group companies;</li> <li>Monitor developments in applicable EMEA laws and regulations, assess the potential impact on the group's PWSS business and make recommendations for appropriate changes; and serve as a point of contact for governmental and regulatory agencies in relation to PWSS activities and products in the EMEA region.</li> </ul>QUALIFICATIONS AND EXPERIENCE: Essential <ul> <li>Strong degree in a relevant field from a recognised university or business school</li> <li>5-7 years of relevant experience within an investment adviser/manager, another financial institution or a relevant service provider, with a focus on private wealth products and their marketing/distribution in multiple markets</li> <li>Familiarity with regional laws and regulations applicable to the PWSS business and products (e.g. AIFMD in the EEA/UK). </li> <li>Familiarity with private equity transactions and fund lifecycles </li> </ul>Desirable <ul> <li>Track record as a compliance professional within another reputable investment adviser/manager or other financial institution</li> <li>Familiarity with different fund structures and regimes applicable to private wealth products/investors</li> <li>Prior experience of managing licensing, registration or similar requirements in multiple jurisdictions (e.g. Luxembourg/EEA, Switzerland, UK</li> <li>Experience working within a fund-of-funds environment or with private equity/credit funds</li> <li>Experience dealing with transfer agents, custodians, fund administrators, depositaries, and other third-party service providers</li> <li>Experience with company secretarial work</li> <li>Law degree/qualification or accounting qualification</li> </ul>COMPETENCIES (key behaviours and aptitudes) : <ul> <li>Strong interpersonal skills; ability to create, develop, and maintain effective business relationships with internal and external stakeholders</li> <li>Positive attitude, placing value on and contributing to a collaborative and supportive team culture in a growing, fast-paced environment</li> <li>Ability to take responsibility for significant areas of work and deliver results with low levels of supervision, showing an accountable and proactive approach and excellent attention to detail </li> <li>Ability to assimilate and adapt quickly to new circumstances, requirements and concepts </li> <li>Ability to problem solve and bring solutions to influence decision-making</li> <li>Ability to identify efficiencies and work collaboratively to drive change </li> </ul>Coller Capital is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We consider qualified applicants without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. We are dedicated to complying with all applicable laws of the respective jurisdiction in which we operate. We encourage all qualified applicants to apply and we will provide reasonable accommodations for individuals with disabilities to participate in the application process. Department Operations Locations London, Zurich

Compliance Officer, Private Wealth - London or Zurich

About Us With over 85 million global active users and 2 million transactions per day, Klarna is on the way to becoming the world's favorite way to shop. To help us get there, we're assembling an unparalleled global talent team-accelerating individual careers, and disrupting entire industries. We're looking for people ready to achieve the extraordinary and embrace our bold ambitions as we shape the future of payments and fintech. Will you join us? What You Will Do As a Senior Compliance Manager with expertise in financial crime and correspondent banking, you will play a crucial role in Klarna's compliance efforts across the UK and global markets. Reporting to the Accountable Lead of Regulatory Officers, your responsibilities will include: <ul> <li>Leading and managing daily compliance activities to ensure excellence and adherence to organizational standards.</li> <li>Driving the identification and assessment of compliance risks related to correspondent banking and overseeing framework implementation to mitigate these risks.</li> <li>Aligning Klarna's financial crime compliance strategy with broader strategic objectives.</li> <li>Collaborating with business units to assess new opportunities, establishing control frameworks for compliance.</li> <li>Spearheading initiatives and fieldwork in designated financial crime areas.</li> <li>Conducting model risk management for AML/CTF model validation.</li> <li>Drafting reports for senior management and the board, ensuring insights into financial crime risks and compliance.</li> <li>Supporting ongoing monitoring and testing activities to evaluate the effectiveness of internal anti-financial crime measures.</li> <li>Staying informed on regulatory developments with the Legal Department's support, implementing changes as necessary.</li> <li>Assisting the accountable lead to improve collaborative work practices within the global team and Compliance function.</li> </ul>Who You Are <ul> <li> 6+ years of experience in risk management, compliance, or internal audit within financial services, with a preference for expertise in correspondent banking.</li> <li>A degree in economics or law, or comparable professional experience.</li> <li>Operational and strategic experience in AML/CTF compliance.</li> <li>Extensive experience in the Financial Services Industry, E-Money institutions, licensed fintech, or a related sector.</li> <li>Strong understanding of AML/CTF regulatory requirements and compliance risk management.</li> <li>Ability to engage senior stakeholders, prioritize tasks, and deliver high-quality outcomes in compliance-focused areas.</li> <li>Demonstrated integrity, ambition, proactive mindset, and strong communication skills.</li> </ul>Awesome to Have <ul> <li>Proven experience with AML/CTF model validation and financial crime frameworks.</li> <li>Familiarity with UK and EU regulatory developments and a network within the industry.</li> <li>Capability to align compliance initiatives with business goals while fostering team collaboration.</li> </ul>Closing Please include a CV in English. Department Legal Locations London, United Kingdom

Senior AML/CTF Compliance Manager

At KFH we are looking for a compliance administrator to join our Block Management team in Wimbledon. Do you have experience supporting a team in a property services company? Have an exceptional eye for detail and accuracy? Do you have experience in forming and developing great relationships with customers and colleagues? We're looking for an individual that can collaborate with others, share their knowledge and skills. At KFH we are continuously looking for opportunities to improve and are looking for a compliance administrator to bring new thinking and embrace our legacy. At KFH, with over 60 branches across the capital we are London's largest independent property services groups, and we are growing! As one of London's leading property services groups we offer a range of property services including block management, commercial, residential, and financial services. We manage over 15,000 residential and commercial units in different mixed-use schemes across 130 locations in London, with a combined portfolio worth £10 billion. In addition to this, we have one of the largest teams of qualified chartered surveyors and valuers in London and provide a whole range of services for corporate and private clients. Our employees are at the heart of our business and help to drive our success by supporting each other and providing exceptional service with care in order to achieve the right results with integrity. We pride ourselves on working in collaboration and valuing experience as well as encouraging new thinking. You will report into our Head of Block Management Compliance. Responsibilities of a compliance administrator include: <ul> <li>Support the Head of Block Management Compliance with delivering compliance updates, particularly in relation to new or amended legislation</li> <li>Support the ongoing creation and implementation of best practice policies and processes</li> <li>Proactively research ongoing changes in legislation and required processes. Reporting upwards to suitably inform policy review</li> <li>Support KFH employees with day-to-day queries relating to compliance</li> <li>Monitor the compliance requirements of the team in conjunction with the Head of Block Management Compliance ensuring the department's KPIs continue to be met and both internal and external customer service standards are maintained</li> </ul>At KFH we are looking for a compliance administrator with a proven track record in administration, an individual that offers outstanding communication, and someone who is passionate about delivering excellent customer service to all of our clients whilst achieving the right results and enhancing our reputation. KFH is an equal opportunity employer. We are committed to creating a diverse and inclusive environment for all employees. KFH. People. We get it. Click here to see all our company benefits, including additional earning potential and discounts. Department Block and Estate Management Role Other Locations Nelson House

Compliance Administrator

Job Description The main function of this compliance role is to assist the day-to-day administrative and operational compliance activities relating to the onboarding of Ria agents. On occasions, the role will also include the provision of additional support within the compliance team on other compliance related tasks. This is a demanding role, requiring attention to detail, efficiency and working towards tight deadlines. The Compliance Analyst will meet and exceed all company and individual goals in line with the company's policies, procedures and values. Responsibilities ESSENTIAL DUTIES • Conduct the review and verification of new agent applications including: - KYC verification of the agent and its Responsible Persons - Entity formation type verification, via Companies House - Business Profile review and risk assessment - Sanction, PEP and Adverse Media Screening - Fit and Proper verification - including DBS checks - HMRC and FCA registry searches - Compliance Blacklist screening • Liaise with internal departments to answer onboarding queries and escalations. • Liaise with external regulators (FCA) in relation to agent application queries and follow ups. • Review and approve agent change of circumstance requires (i.e change of contact details, change of ownership, change of legal status). • Arrange the allocation of agent training via the Litmos platform • Ensure suspicious activity identified during the course of the role are reported to the Compliance Officer (CO) and/or Deputy Compliance Officer (DCO) in a timely manner. • Undertake any other duties and responsibilities assigned by the Compliance Officer. • Proactively identify potential process and system deficiencies, suggest improvements and escalate to the CO as required. • Proactively develop compliance related knowledge keeping up to date with the latest AML/CTF regulation and emerging risks. Qualifications REQUIRED EXPERIENCE / QUALIFICATIONS • An understanding of Anti Money Laundering and Terrorist Financing regulations and the associated risk indicators. • Flexibility/Initiative - ability to manage multiple agent applications and handle confidential and sensitive information in a professional manner in a fast-paced deadline driven environment. • IT literate - strong understanding of Office products and ability to understand use of technology including Compliance related tools. • Team working - ability to work within a team and to coordinate on workloads. Working across multiple business departments and with stakeholders and colleagues at all levels. • Communication - good interpersonal communication (written and presentation) skills. • Driven - a self-starter and target driven who is proactive with the ability to identify key issues and obtain appropriate information for further analysis and provide feedback to the CO/DCO where required. COMPETENCIES/SKILLS Communication • Strong oral and written skills- telephone skills • Fosters Open Communication Personal Effectiveness • Acts with integrity • Demonstrates adaptability • Personal organisation • Sensitive to cultural differences • Attention to the details • Target orientated • Analytical skills • Be prepared to be in the front line, handle queries and proactively handle issue resolution • Strong work ethic and keen attention to detail • Be diligent, efficient, and able to manage multiple conflicting deliverables including working under pressure • Question existing procedures, being able to point out weaknesses and suggest improvements challenging the status quo as necessary Interpersonal • Influences others at all levels • Builds relationships • Possess the personal impact to command respect throughout the group IT Skills • Microsoft Office

Compliance Analyst (FTC 1 Year)

Company Description About Playtech Founded in 1999, the company has a premium listing on the Main Market of the London Stock Exchange and is focused on regulated and regulating markets across its B2B and B2C businesses. Both divisions leverage Playtech's proprietary technology to deliver innovative products and services to ensure a safe, engaging and entertaining gaming experience. Playtech is the gaming industry's leading technology company delivering business intelligence-driven gaming software, services, content, and platform technology across the industry. Read more about who we are and what we do here: <a href="http://www.playtechpeople.com" target="_blank">www.playtechpeople.com</a> Here at Playtech, we genuinely believe that people are our biggest asset. Diverse thoughts, experiences, and individual characteristics enrich our work environment and lead to better business decisions. Recognizing differences and ensuring our processes are transparent is the core of Playtech's overall commitment to responsible business practices. Ready to level up your career? At Eyecon Services Pty Ltd, we are seeking a Compliance Officer for a Maternity Cover who is passionate about ensuring adherence to regulatory standards in the dynamic online gambling industry. As part of our team, you will play a crucial role in maintaining compliance across various jurisdictions, contributing to our mission of delivering quality and compliant gaming products. Job Description Your influential mission. You will... <ul><li>Interpret and apply compliance requirements across multiple online gambling jurisdictions, including Alderney, UK, Spain, Malta, Gibraltar, Ontario, and the Netherlands.</li><li>Stay updated on regulatory changes and guide the business in expanding into new markets.</li><li>Manage compliance documentation, audits, and inspections, ensuring all processes meet licensing and operational regulations.</li><li>Conduct internal reviews and assessments to monitor ongoing compliance with codes of practice and security standards.</li><li>Collaborate with stakeholders to ensure effective implementation of compliance measures and reporting.</li></ul>Qualifications Components for success. You... <ul><li>Have a proactive and dependable approach to your work.</li><li>Possess strong communication skills, both verbal and written, with a keen attention to detail.</li><li>Are self-motivated and solutions-oriented, thriving under deadlines.</li><li>Demonstrate excellent organizational skills and the ability to multitask across various time zones.</li><li>Bring a legal or analytical background, ideally with experience in remote gambling regulations.</li></ul>You'll get extra points for... <ul><li>A working knowledge of software development principles.</li><li>Experience in relationship building with both internal and external stakeholders.</li><li>Familiarity with information security, AML/CTF requirements, and risk management strategies.</li></ul>Thrive in a culture that values... <ul><li>A supportive and dynamic team environment that encourages continuous learning and professional growth.</li><li>A strong customer and product focus, with a talented group of employees specializing in various fields.</li><li>Opportunities to work within the world's largest online gaming software supplier, part of the Playtech group, with a presence in 20+ countries.</li></ul>Additional Information HOW TO APPLY? In addition to your CV, please include a brief motivation letter outlining your goals and current experience in compliance or related fields. You can submit this in the comment section at the end of the application page (under "your message to the hiring manager") COMPLIANCE TEAM Join our Compliance Team, where you will be part of a dedicated group committed to upholding the highest standards of integrity and compliance in the gaming industry. We foster an open and friendly environment, making it an exciting place to grow your career. Playtech is an equal opportunities employer. Our mission is to welcome everyone and create inclusive teams. We celebrate differences and encourage everyone to join us and be themselves at work.

Compliance Officer

You are applying for a job at: Brown &amp; Brown (Europe) We are part of Brown &amp; Brown Insurance group. Built on meritocracy, our unique company culture rewards self-starters and those who are committed to doing what is best for our customers. IT Risk &amp; Compliance Manager Location: Hybrid - London Package: Negotiable + Benefits We are seeking an experienced leader to join our growing organisation as the IT Risk and Compliance Manager. In this high profile role, you will be responsible for evolving, implementing, and maintaining a robust IT risk management and compliance framework that aligns with our business objectives and regulatory requirements. You will collaborate with various departments to ensure that our IT systems, processes, and data are secure, compliant, and resilient. You will be responsible for implementing the Technology IT risk and compliance framework and maintaining the operational risk framework across all functions at Brown and Brown Europe. The role also involves being a key part of the Technology Solutions leadership team in Europe, working alongside US counterparts. The day to day: <ul><li>Develop and execute the IT risk and compliance strategy in alignment with the organisation's overall risk management framework.</li><li>Provide expert guidance and leadership on IT risk management, cybersecurity, data protection, and regulatory compliance matters.</li><li>Collaborate with senior leadership to integrate IT risk management into the broader business strategy.</li><li>Identify, assess, and prioritise IT risks, including cybersecurity threats, data breaches, and technology-related operational risks.</li><li>Develop and implement risk mitigation strategies and controls</li><li>Monitor and report on the effectiveness of risk management processes and controls.</li><li>Ensure the organisation's IT operations comply with relevant laws, regulations, industry standards, and internal policies.</li><li>Lead the development and implementation of IT compliance programs, including data privacy, cybersecurity, and IT governance.</li><li>Support and conduct regular compliance audits, assessments, and reviews to identify areas of non-compliance and drive corrective actions.</li><li>Mentor, and develop a high-performing team of IT risk and compliance professionals.</li><li>Foster a culture of continuous improvement, collaboration, and accountability within the team.</li><li>Work closely with cross-functional teams, including Legal, Finance, and Operations, to ensure a coordinated approach to IT risk and compliance.</li><li>Serve as the primary point of contact for internal and external audits related to IT risk and compliance.</li><li>Communicate effectively with senior leadership and the Board on IT risk and compliance issues, initiatives, and outcomes.</li><li>Oversee the incident response process for IT-related incidents, including cybersecurity breaches and data loss events.</li><li>Lead post-incident reviews to identify root causes and implement preventive measures.</li></ul>About you: <ul><li>Bachelor's degree in Information Technology, Computer Science, Information Security, or a related field. A Master's degree or relevant certifications (e.g., CISA, CRISC, CISSP) is highly desirable.</li><li>Extensive years of experience in IT risk management, compliance, or information security,</li><li>Proven ability to lead and mentor teams, with a track record of driving successful risk and compliance initiatives.</li><li>Strategic thinking with the ability to navigate complex, dynamic environments.</li><li>In-depth knowledge of IT risk management frameworks, cybersecurity best practices, and regulatory compliance requirements (e.g., GDPR, ISO 27001, NIST).</li><li>Strong understanding of enterprise IT systems, cloud computing, and emerging technologies.</li><li>Strong experience with SOX / IT Internal Controls audit, implementation and design improvement</li><li>Strong knowledge of IT auditing concepts and principles alongside understanding of IT General Controls, and ideally IT Automated Controls and IT-Dependent Controls.</li><li>SME level expertise in respect to information security (at least two domains of expertise) risk management processes, frameworks and regulatory aspects.</li></ul>Advantageous <ul><li>Insurance Industry experience, financial services industry experience</li></ul><ul><li>Agile delivery qualifications (eg SAFe)</li></ul>The rewards: <ul><li>A negotiable basic salary and all the normal benefits you'd expect (Holiday, company pension etc.)</li><li>A collaborative, open and honest environment that is designed to deliver the best outcomes to our clients and staff</li><li>A flexible working methodology to enable you to be where you need to be, if you don't need to be in an office then don't, if you want to be in an office your welcome to use one.</li><li>An environment built around supporting and developing our staff with funding available for relevant professional qualifications.</li></ul>We are an Equal Opportunity Employer. We take pride in the diversity of our team and seek diversity in our applicants.

IT Risk & Compliance Manager

Position Title: Regulatory Compliance Specialist Location: London, United Kingdom (onsite) Project Duration: 3 Weeks (Starting 18th November) Industry: Banking &amp; Financial Services Contract Type: Short-term Contract About Us: Welcome to Sortitt, the revolutionary marketplace that's reshaping the future of resource acquisition. As a dynamic platform, Sortitt connects businesses with top-tier resources across the globe, transcending traditional constraints. Our cutting-edge approach delivers tailored solutions that precisely match client demands, creating opportunities for professionals seeking remote engagements. At Sortitt, resources are available on demand, and clients are empowered with diverse choices to ensure the best talent with matching skills. Join us in revolutionizing talent sourcing-where innovation, flexibility, and growth converge to redefine success in the modern workforce. About the Assignment: We are seeking a skilled Regulatory Compliance Specialist with experience in business reviews and audits of compliance functions, particularly within the corporate and retail banking sectors. This intensive, short-term project involves conducting a comprehensive regulatory compliance review for the UK branch of a foreign bank. The focus will be on evaluating product compliance from a regulatory standards perspective, covering both corporate and retail banking. The selected candidate will be responsible for assessing the branch's adherence to UK regulatory requirements, identifying areas for improvement, and providing actionable recommendations to enhance compliance practices. Key Responsibilities: • Conduct a detailed regulatory compliance review of the branch's corporate and retail banking products to ensure adherence to UK regulatory standards. • Assess the effectiveness of the compliance function, focusing on business processes, product offerings, and overall compliance with UK regulations for both corporate and retail banking. • Review and evaluate policies, procedures, and controls related to product compliance, with a view to ensuring alignment with FCA, PRA, and other applicable regulatory standards. • Identify compliance gaps and potential risks within the branch's corporate and retail banking services, providing actionable insights and recommendations for improvement. • Develop and present comprehensive review findings and tailored compliance recommendations to senior management, with a focus on both regulatory and business implications. • Collaborate with key stakeholders to develop corrective action plans and support the implementation of recommended compliance enhancements. • Ensure that the review aligns with the bank's compliance framework and addresses specific regulatory requirements for foreign banks operating within the UK corporate and retail banking landscape. Qualifications &amp; Skills: • Extensive experience in regulatory compliance within corporate and retail banking, with a focus on product compliance and business reviews. • Strong knowledge of UK banking regulations, particularly FCA and PRA standards, and familiarity with compliance requirements for foreign bank branches. • Demonstrated expertise in auditing or reviewing compliance functions and business processes for corporate and retail banking products. • Excellent analytical, problem-solving, and reporting skills with the ability to interpret complex regulatory requirements. • Ability to work independently, prioritize tasks, and manage the review project with minimal supervision. • Exceptional communication skills, with the ability to clearly convey compliance findings and recommendations to various stakeholders. • Professional certifications such as ACA, ACCA, CIA, or CAMS are a plus. Requirements: • Availability for an onsite assignment in the UK starting 18th November. • Eligibility to work in the UK for the duration of the assignment. • Flexibility to accommodate project needs, including occasional extended hours if required to meet deadlines. Equal Opportunity Employer: Sortitt values diversity and inclusion in its workforce. We encourage candidates from all backgrounds and experiences to apply.

Regulatory Compliance Specialist

Job Description What We Do At Goldman Sachs, our Engineers don't just make things - we make things possible. Change the world by connecting people and capital with ideas. Solve the most challenging and pressing engineering problems for our clients. Join our engineering teams that build massively scalable software and systems, architect low latency infrastructure solutions, proactively guard against cyber threats, and leverage machine learning alongside financial engineering to continuously turn data into action. Create new businesses, transform finance, and explore a world of opportunity at the speed of markets. Engineering, which is comprised of our Technology Division and global strategists groups, is at the critical center of our business, and our dynamic environment requires innovative strategic thinking and immediate, real solutions. Want to push the limit of digital possibilities? Who We Look For Goldman Sachs Strats are innovators and problem-solvers, building solutions in risk management, big data, mobile and more. We look for creative collaborators who evolve, adapt to change and thrive in a fast-paced global environment. At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally. From collaborative work spaces and ergonomic services to wellbeing and resilience offerings, we offer our professionals the flexibility and support they need to reach their goals in and outside of the office. RESPONSIBILITIES AND QUALIFICATIONS Electronic Trading Risk One Delta Electronic Trading Risk is a front-office team within the equities one delta business unit, responsible for management and governance of electronic trading controls and real-time monitoring of electronic flows. This role is Team Lead for the group who work closely with several trading desks including GSET Sales trading, Portfolio trading, Shares trading, Systematic market making as well as Execution Strats, Legal and Compliance, Internal audit and various other 2nd line control functions. The role requires a combination of technical capability, risk judgement and knowledge of markets. The team's core responsibilities include: <ul> <li>Manage and streamline governance processes within the One Delta business unit for new and existing business initiatives (e.g. conformance testing and material change reviews)</li> <li>Development and support of tools &amp; dashboards for monitoring the risks related to e-trading</li> <li>Design and calibration of e-trading risk controls, including analysis of historical electronic trading patterns and measures</li> <li>Real-time monitoring of electronic trading activity and control alerts (Algo, SOR, DMA)</li> <li>Assisting with the preparation of responses to regulatory enquiries</li> <li>Liaising with 2nd line of defence control functions </li> <li>Contribution to periodic e-trading ad-hoc projects</li></ul>The successful candidate will have: <ul> <li>Several years of relevant experience (we are open to candidates from either asset managers, banks, exchanges or technology firms)</li> <li>A major in Computer Science, Electrical Engineering, Mathematics, Statistics, Financial Engineering, Finance or Economics</li> <li>Ability to communicate with different stakeholders at different levels of the organisation</li> <li>Detailed knowledge of electronic trading systems and controls</li> <li>Thorough knowledge of European equity market structure including detailed understanding of Regulated Markets, MTFs, Systematic internalisers etc. </li> <li>Familiarity with European equity regulation and exchange rules</li> <li>A strong grasp of securities databases, SQL and data visualisation</li> <li>A track record of sound risk management judgement</li> <li>A drive to both reduce operational risk and facilitate rapid business development</li></ul>ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: <a href="https://www.goldmansachs.com/careers/footer/disability-statement.html" target="_blank">https://www.goldmansachs.com/careers/footer/disability-statement.html</a>

Global Banking & Markets, Electronic Trading Risk Manager, VP, London

About the position We are looking for an Employee Compliance Specialist to help improve and act as the main point of contact in administering various employee compliance requirements in our London office. You will have the opportunity to make an immediate impact as you shape important employee compliance processes as our business expands. The right person for this role will enjoy both working with people and thinking about systems. Much of the work for this role involves automating, improving, or expanding existing processes, and you will need to be able to think about how each bit fits together into the bigger picture. You should be able to answer questions and explain processes clearly to a wide range of colleagues across the firm and external parties, and work well with others to implement and improve our compliance processes. Responsibilities of this role will include: <ul><li>Administering the Personal Account Dealing Policy, answering queries, and appropriately handling breaches</li><li>Coordinating and monitoring the compliance training program, including working with stakeholders to create learning content</li><li>Identifying employee compliance-related policies and processes in need of improvement and designing and implementing those improvements</li><li>Working with third-party vendors to maintain and improve various tools</li><li>Managing the full SMCR registration and exchange registration processes for certified persons</li><li>Creating Management Information to be shared with Senior Managers and other stakeholders</li></ul>This role sits within our Legal and Compliance team, a dedicated group of professionals who share a deep understanding of the law, a meticulous commitment to regulatory protocol and a passion for protecting our colleagues as they focus on their daily work. About you <ul><li>Undergraduate degree and 2-4 years of relevant professional experience </li><li>Proactive, courteous and flexible team player</li><li>Organised with strong communication and people skills </li><li>Enthusiastic about evaluating processes, proposing improvements and managing those projects from start to finish</li><li>Mature, professional and trustworthy; shows excellent judgement with sensitive information</li><li>Experience with employee compliance is preferred</li><li>Fluency in English is required</li></ul>If you're a recruiting agency and want to partner with us, please reach out to <a href="mailto:agency-partnerships@janestreet.com" target="_blank">agency-partnerships@janestreet.com</a>.

Employee Compliance Specialist

SIX drives the transformation of financial markets. What sets us apart drives us ahead: between local roots and global relevance, we are a unique blend of tradition and future, of foundation and growth. We value bright minds and inspire them to grow with their ideas. Come and shape the future of finance with us. Junior Compliance Officer London | Hybrid working 60% | Reference 6737 Do you want to work in a highly dynamic and diverse environment? Are you passionate about regulatory compliance and working for a global organization? Then REGIS-TR UK's Compliance team wants to hear from you! We are an energetic and driven team responsible for compliance with responsibilities under UK EMIR. Our goal is to build a best-in-class Compliance team and we're looking for an exceptional candidate to join us! In this position you will work closely with the Chief Compliance Officer and the Compliance team in Madrid. What You Will Do • Manage the UK Compliance Mailbox and ensure requests are reviewed and addressed within a timely manner • Oversee the UK Compliance Calendar, ensuring the Compliance team meet all internal and external deadlines • Manage the UK Compliance Dashboard for monthly and quarterly reporting to governance committees • Take ownership for and lead assigned Compliance Monitoring and Testing reviews • Take ownership for the sanction screening of new clients, plus the annual review of onboarded clients What You Bring • 1-2 years of experience working in a Compliance, Legal or Risk team within the financial services industry • Experience with leading Compliance Monitoring and Testing reviews on the first line • Confident with all Microsoft Office applications • Strong presentation skills, both verbal and written • Languages: Fluent in English (both verbal and written), Spanish is a plus If you have any questions, please call Anthony Mills at +44 207 550 5407. For this vacancy we only accept direct applications. Diversity is important to us. Therefore, we are looking to receiving applications regardless of any personal background. What We Offer Flexible Work Models We trust our employees and offer a work environment that is well-balanced, productive and fosters success. Personal Development You will benefit from a culture of continuous learning and feedback. Your personal growth is supported through an extensive learning offering. Agile Working MethodsWhether through scrum or design thinking, we solve exciting tasks together in teams.

Junior Compliance Officer

We are hiring an IT Compliance Analyst who willsupport the IT Compliance Manager and assist with the implementation and running of a best practice IT General Control Framework. This will deliver continual improvements in support of Audit and Risk management. As part of the Information Security team, a focus will be on the implementation, running, monitoring and reporting on effective security and other IT controls and processes. <ul><li>Work with the IT Audit &amp; Compliance manager in delivering a Controls Framework</li><li>Produce regular KPI reporting on IT Audit and Compliance activities and the overall programme's status</li><li>Own coordination of the ongoing compliance monitoring, awareness training and testing.</li><li>Coordinate, execute and oversee key controls and processes.</li><li>Track and manage continual improvement activities across IT Audit and Compliance programmes.</li><li>Assist in the definition, documentation and maintenance of security baselines, standards, policy and procedures in conjunction with relevant IT teams;</li><li>Maintain and take ownership of IT Audit Findings log and track actions to completion,</li><li>Provide expert assistance and consultancy to all other IT teams, in line with best practice and to meet business requirements;</li><li>Ensure any ad-hoc audit work required is completed in a timely manner;</li><li>Automate compliance checking of agreed standards, policy and controls;</li><li>Support the IT Production Heads in matters relating to IT &amp; Audit Compliance</li><li>Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training;</li><li>When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high quality service that presents a professional and positive image of CMC Markets;</li><li>Take all reasonable steps to ensure appropriate confidentiality;</li><li>Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role.</li></ul>KEY SKILLS AND EXPERIENCE Essential <ul><li>Knowledge of applicable regulatory policies, standards, procedures and controls (ISO27001/SOC/MAS TRM/BAIT/CIS/NIST/Cyber Essentials etc.)</li><li>Understanding of IT standards, best practices for information and IT security and applicable laws and regulations.</li><li>Previous Experience in a Compliance, Risk Management, Internal Audit or External Audit role</li><li>Experience of working in a Regulated Environment (Financial Services)</li><li>Experience of Security controls, processes and governance desirable (e.g. access recertification)</li><li>Documenting, reviewing and reporting, must have excellent written communication skills and good experience of working with Microsoft Office</li><li>Competence using Excel, and IT tools, basic scripts to process information efficiently (e.g. csv data, comparisons, reporting)</li><li>Confidence to engage with audiences remotely (i.e. via Teams) as well as engaging face-to-face with smaller groups and senior stakeholders</li><li>Enjoys self-learning/teaching and problem-solving with a strong attention to detail</li><li>Some experience in environments where they are required to perform a wide range of types of tasks from week-to-week (e.g. start-up or small organisation experience) - perhaps looking to move into a larger organisation</li><li>CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.</li></ul>

IT Compliance Analyst

Bio Products Laboratory (BPL), part of the Kedrion Group, is looking for a Materials Compliance Analyst to join the Quality department at their site located in Elstree, Hertfordshire. Reporting into the Materials Compliance Team Leader, and as a key member of the team, you will be responsible for taking and testing samples in accordance with established Standard Operating Procedures, GMP principles, and company policies. This role is based in our Warehouse so if you have experience / license in using a Reach forklift, this would be great however it is not essential. Our site is not easily accessible by public transport so please take this into consideration when applying as this role is fully on-site. Duties &amp; Responsibilities: <ul> <li>Inspection and release of materials for use in manufacturing in accordance with specifications.</li> </ul><ul> <li>To perform a variety of testing in accordance with Standard Operating Procedures, BPL policies and GMP. </li> </ul><ul> <li>Responsible for preparing reagents, standards and control samples and contribute to general laboratory housekeeping duties. </li> </ul><ul> <li>To promptly report any deviations, out-of-specification / limits results. To assist where required with investigations.</li> </ul><ul> <li>To read, collate, report and archive results using defined documentation and computer systems. </li> </ul><ul> <li>To ensure equipment used is clean, calibrated and maintained. Perform system suitability checks where required</li> </ul><ul> <li>To assist with the calibration or validation of laboratory equipment and automated systems. </li> </ul><ul> <li>Ensure good stock control.</li> </ul><ul> <li>To operate a variety of instrumentation and computer software packages intended for data analysis, collation and other related applications (e.g. LIMS). </li> </ul><ul> <li>To make recommendations for documentation revision.</li> </ul><ul> <li>Undertaking administrative activities. </li> </ul><ul> <li>To organise own assigned working activities. To be responsible for reporting issues or delays to next line management.</li> </ul><ul> <li>To identify continuous improvement initiatives.</li> </ul><ul> <li>To attend meetings as required.</li> </ul><ul> <li>To participate in the receipt of audits from internal (BPL) and external sources, ensuring own work area is audit ready at all times.</li> </ul><ul> <li>To adhere to record and data integrity requirements, as per BPL polices. </li> </ul><ul> <li>To perform any other aspects of laboratory testing and support the objectives of the department as required.</li> </ul>Skills &amp; experience to help you within the role - <ul> <li>Degree in a relevant scientific discipline</li> </ul><ul> <li>Experience is using analytical equipment and pipettes.</li> </ul><ul> <li>Experience of working in a laboratory environment</li> </ul><ul> <li>Experience writing reports.</li> </ul><ul> <li>Understanding of knowledge of laboratory operations and practical work.</li> </ul><ul> <li>Capacity to grasp concepts easily.</li> </ul><ul> <li>Computer literate - competent in the use of Microsoft Office, in particular word and excel at an intermediate level. </li> </ul><ul> <li>Attention to detail - Able to ensure high levels of quality are achieved.</li> </ul>In return we offer - We're looking for highly motivated and experienced people to drive the business forward. In return you'll be supported in developing your skills with ongoing training and career opportunities. <ul> <li>Competitive salary</li> <li>Bonus</li> <li>25 days holiday</li> <li>Pension</li> <li>Life insurance</li> <li>On-site parking</li> <li>Employee assistance programme</li> <li>My Healthy Advantage phone app</li> <li>Virtual GP </li> <li>Cycle to work scheme</li> <li>Subsidised canteen</li> </ul>BPL is located in Elstree, Hertfordshire, in a secure campus surrounded by natural beauty, greenery, lakes and wildlife. To be part of our brilliant team, please apply today. Please apply today for immediate consideration. Department 455 Materials Compliance Locations Elstree

Materials Compliance Analyst

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. OVERVIEW OF THE DEPARTMENT/SECTION EMEA Financial Institution Credit Risk Management ("CRM FIG") is a credit risk team within 2LoD Risk department. It is responsible for credit risk management inclusive of review and approval of banks, insurance companies, funds and sovereigns within the EMEA region. The team is entity agnostic and cover both MUFG Securities ("MUS") and MUFG Bank for counterparty credit risk. Across borrowing and trading activities. Major functions are outlined as follows: <ul><li>Assessment and management of credit risks and related risk Credit Risk Approval</li><li>Management of problematic assets</li><li>Monitoring, reporting and early action</li><li>Portfolio analysis and management</li></ul>MAIN PURPOSE OF THE ROLE <ul><li>Assign credit ratings and formulate credit proposals in support of financing solutions, primarily for financial sponsors and inclusive of NAV Financing; Private Equity Portfolio Financing (Secondary NAV); Equity Margin Loans; Subscription Facilities and Hybrid NAV/Subscription Facilities.</li><li>Set risk appetite for client and product scope above and approve/recommend transaction within Delegated Credit Authority where applicable. Evaluate transactions for approval in accordance with applicable policies, procedures and delegated authorities. Ensure that risk appetite is clearly understood by 1LoD stakeholders through active dialogue with trading; sales and relationship manager counterparts.</li><li>Monitor and exercise oversight over own portfolio of clients and take proactive actions when necessary.</li><li>Work closely with the front office to assist business initiatives, new product launches and develop risk culture across 1st and 2nd line of defense.</li><li>Collaborate across the wider FIG Credit team as well as EMEA Risk Management function and relevant global functions in MUBK and MUS.</li><li>On an ad-hoc basis, support the enhancement of monitoring efficiency, system developments and risk measure as part of multi-department projects.</li></ul>KEY RESPONSIBILITIES <ul><li>Assessment and recommendation of appropriate rating and credit limits financing solutions, primarily for financial sponsors and inclusive of NAV Financing; Private Equity Portfolio Financing (Secondary NAV); Equity Margin Loans; Subscription Facilities and Hybrid NAV/Subscription Facilities.</li><li>Oversee the annual review of existing limits and counterparties.</li><li>Maintenance of EMEA portfolio across MUBK and MUS within areas of responsibility.</li><li>Run periodic due diligent meetings with clients.</li><li>Support on new product adoption including defining risk acceptance criteria, rating models and credit risk measurements.</li><li>Provide creative solutions by influencing transaction structures and credit risk related terms/conditions when required.</li><li>Present transactions to senior management (including the Chief Risk Officer) for discussion and approval. Analyse and present complex structures and make recommendations to senior Risk management staff, in a concise and clear manner.</li><li>Opine on credit risk related terms in trading documentation to mitigate credit risk and ensure transactions perform as expected. This will involve liaison with Legal department, Structuring and clients or their lawyers.</li><li>Monitor that transactions of the delegated responsibility perform within the terms of the credit approval. Assess portfolio level risks.</li><li>Compliance with all regulatory requirements as well as internal policy and procedure</li></ul>WORK EXPERIENCE <ul><li>Strong financial sector experience in a credit risk management role with a focus on funding solutions for financial sponsors.</li></ul>SKILLS AND EXPERIENCE Functional / Technical Competencies: <ul><li>Experience from NAV Financing and Private Equity Portfolio Financing (Secondary NAV) is required with additional experience from other fund financing solutions such as subscription lines being preferred.</li><li>Competence in analysing financial sponsor investment strategies with a focus on buy-out, private credit and infrastructure funds.</li><li>Experience from opining on legal documentation from a credit perspective. Familiarity with key regulatory frameworks and relevant banking regulation that impact credit risk management.</li></ul>Education / Qualifications: Essential <ul><li>Bachelor Degree or equivalent with a focus in the areas of finance, economics or accounting (Essential) Preferred:</li><li>Master's Degree and relevant industry accreditation (Beneficial)</li></ul>PERSONAL REQUIREMENTS <ul><li>Excellent communication skills with the ability to convey credit arguments clearly and concisely</li><li>Results driven, with a strong sense of accountability</li><li>The ability to operate with urgency and prioritize work accordingly</li><li>Strong decision-making skills, the ability to demonstrate sound judgement</li><li>A structured and logical approach to work</li><li>Excellent interpersonal skills</li><li>The ability to manage large workloads and tight deadlines</li><li>Excellent attention to detail and accuracy</li><li>A calm approach, with the ability to perform well in a pressurised environment</li><li>Excellent Microsoft Office skills</li></ul>We are open to considering flexible working requests in line with organisational requirements. MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership. We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

Vice President, Credit Risk Manager

As the Trade Compliance Analyst for Waukesha Bearings in Europe, you will report directly to the Global Compliance Director and support the company's compliance program with import/export regulations and operations. Your main responsibility will be global product classification related to Harmonized Tariff System (HTS or commodity codes), Export Control Classification Number (ECCN), UK strategic Export Control List, military and dual-use items in order to facilitate proper import and export product declaration to Customs Authorities and identification of export control license requirements. *This role could be based either in Rickmansworth, WD3 1DE, or Glasgow G42 0PT working on a hybrid basis, 3 days in and 2 days from home. Waukesha Bearings Ltd are a leading designer and manufacturer of hydrodynamic fluid film bearings, active magnetic bearing systems and seals for high-performing turbomachinery and rotating equipment in oil &amp; gas, power generation, marine and industrial markets. Part of Dover Precision Components, we are an integrated provider of performance-critical solutions for rotating and reciprocating machinery. WHAT YOU'LL DO <ul> <li>Identify and classify accurate Export (ECCN) and Import (HTS, HS) classifications for our products</li> <li>Ensure compliance with Export Control regulations, as well as conforming with internal corporate policies and procedures</li> <li>Export controls and license determination for all exports and re-exports of tangible and intangible goods</li> <li>Submission and management of export license applications to the UK Department for International Trade Export Control Joint Unit ("DIT-ECJU") via SPIRE to ensure UK export licenses meet company requirements</li></ul>WHAT YOU'LL BRING <ul> <li>Knowledge and understanding export laws, regulations, and guidelines</li> <li>Ability to classify export control classification numbers (ECCN and HTS)</li> <li>An understanding of import/export regulations, including ITAR, EAR, OFAC, HMRC, Export Control Joint Unit, and Department of International Trade</li> <li>Demonstrable experience of licensing principles, practices, and concepts</li></ul>All qualified applicants will receive consideration for employment without discrimination on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability, age, genetic information, or any other factors prohibited by law. MORE ABOUT THE COMPANY Dover Corporation is a diversified global manufacturer with annual revenue of over $8 billion. Delivering innovative equipment and components, specialty systems, consumable supplies, software and digital solutions, and support services, our team of 25,000 employees are dedicated to redefining what is possible to better serve our customers. Dover Corporation is headquartered in Downers Grove, Illinois. <a href="http://www.dovercorporation.com" target="_blank">www.dovercorporation.com</a>

Trade Compliance Analyst

Join us as a Head of Compliance Culture &amp; Communications <ul><li>We'll look to you to lead the design and implementation of a Compliance Culture and Communications strategy that puts ethics and compliance at the forefront of employees' actions, decisions, and behaviours</li><li>You'll be accountable for strengthening our Compliance culture through the delivery of effective behavioural science based interventions, design of innovative, impactful and engaging colleague communications, and implementation of an effective measurement framework </li><li>This is an opportunity to have a huge impact on our compliance culture, working closely with senior management to identify and assess material risks within the end-to-end context</li></ul>What you'll do In this key role, you'll provide compliance leadership and advocacy, supporting a culture of proactive and pre-emptive compliance management and continuous improvement, and the attainment of non-financial risk objectives. You'll drive the development of remedial action plans, ensuring key frameworks or interventions are established, and compliance culture appetite is understood and monitored. You'll also drive insightful analysis and commentary on emerging trends, concentrations, or activities that may deteriorate the accepted risk position. As well as this, you'll: <ul><li>Champion the business to ensure a culture of ethics and compliance management is fostered within the business as defined by our risk policies and principles</li><li>Identify systemic compliance cultural risk, driving forward remedial action plans that are robust and timely</li><li>Prepare accurate and appropriate compliance culture related management information, analysis, interpretation, and proposals to the Chief Compliance Officer and various business risk committees to enable decision making and the delivery of customer value</li><li>Lead the design and delivery of communication campaigns and behavioural science-based interventions that are required to drive the desired cultural change outcomes</li></ul>The skills you'll need We're looking for a strong leader with expert knowledge of driving cultural change within an organisation, including experience at producing impactful colleague communications. You'll also have an understanding of risk management principles, control environments, and risk cultures. You'll have the ability to think strategically, demonstrating thought leadership while translating behavioural science concepts into effective processes. You'll also have a thorough understanding of external regulations and best practice guidance relating to regulatory, political, reputational, and environmental risk issues and their impact on the business. In addition to this, you'll demonstrate: <ul><li>Extensive professional experience with an emphasis on cultural change, communications, and employee engagement within a fast-paced, scaling organisation</li><li>Experience leading diverse professional teams and the ability to liaise, influence, and resolve conflict across the business at all levels</li><li>The ability to demonstrate decisiveness and sound judgement on a consistent basis</li><li>Experience in developing content and campaigns for employee audiences, and of tailoring messaging and positioning of the communications to meet different stakeholder needs</li><li>An understanding of processes, practices, and behaviours needed for an effective compliance management function and an understanding of risk management practices on business outcomes and the customer</li><li>A track record of delivery of successful cultural change initiatives across an organisation</li><li>Experience of project management and consulting relating to implementing change in risk related or cultural change areas</li></ul>Hours 35 Job Posting Closing Date: 21/11/2024 Ways of Working:Hybrid

Head of Compliance Culture & Communications

Description &amp; Requirements Bloomberg's Legal and Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information Company. Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. Diversity and inclusion are essential to our success, and we strive to maintain an environment where our employees are empowered to make an impact. We also recognize the value and importance of giving back to our communities, as evidenced by our award-winning pro bono program! What's the role? Based in London, this post is a unique and exciting opportunity to join a growing, cross-region Compliance team, to deliver specialist support for Bloomberg's operational resilience ("Op Res") program. The role offers the prospect of collaboration across varied functions and business lines, such as Risk, CISO, Engineering, Product, Sales, Data and more; working together to keep pace with the demands of clients and regulators worldwide. Across the team, Op Res program coverage will include all relevant domains, e.g.: cyber security and technology resilience, information security, BCP/DR, service mapping, incident management, third party risk, physical security etc. The role entails active, hands-on involvement with design and delivery of program components, as well as advice, check and challenge. Comprising a broad framework of strategy, policy/procedures, controls, testing, risk management and more, the program offers great variety, and demands an agile and pragmatic approach to the work, as well as to stakeholder management. The ideal candidate will be a quick learner, with experience of Op Res, cyber or information security program design, delivery and/or assessment, gained at a regulated financial services firm, or with a regulator or third-party provider in the financial services industry. Enthusiasm for problem-solving is a must, along with an eye for detail. Experience with regulator requests or engagement, and/or regulatory notifications or other submissions (whether on the firm or regulator side) would be a plus, as well as knowledge of financial markets and electronic trading. Good communication and interpersonal skills are critical, as is the ability to work both independently with minimal supervision, as well as collaboratively in a team. We'll trust you to: - Provide day-to-day compliance support for Bloomberg's global Op Res program, advising on and contributing to delivery of Op Res program requirements across multiple relevant jurisdictions and domains, e.g.: - Cyber and information security - Incident management processes/communications and regulatory notification decisions - BCP/DR, service mapping and business impact assessments - Third party / vendor risk - Physical security - Be a partner and adviser to the business and product developers, helping to embed Op Res by design for new products and services - Contribute to drafting, review, maintenance and updates of policies and procedures relevant to the Op Res program - Draft responses to regulator enquiries, regulatory returns or other submissions - Prepare and present Compliance reporting for internal management/governance forums - Prepare and deliver training to business or other stakeholders on Compliance and regulatory matters, as needed - Help to create a best in class compliance department, looking to continually improve policies, procedures and controls as needed You'll need to have: - Experience of Op Res, cyber security and/or information security program design and/or delivery, probably within a regulated financial services firm, or with a regulator or third party provider in the financial services industry - Good knowledge of global Op Res regulatory landscape, including familiarity with EU/UK Op Res regulations, and similar US financial markets regulatory provisions (e.g. CFTC cyber/information security) - Experience drafting and/or implementing Op Res, cyber security and/or information security policies, procedures and controls - Experience collaborating in a fast-paced team environment, and ability to effectively manage and prioritize varied workstreams - A curious, analytical mind, with ability and drive to problem-solve and work independently - Excellent communication and organizational skills We'd love to see: - Experience dealing with regulator requests, notifications or other submissions - Familiarity with financial services and markets regulation and electronic trading services - Experience supporting or reporting to a senior governance or risk management group/committee

243 Jobs in Welwyn Garden City, UK