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Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves. The aim of the operational risk team is to enable the responsible and commercial development of Investec Bank PLC by promoting sound management of operational risk through learning, co-development and engagement. We are a team of 13 risk managers, spread across London, Reading, Guernsey, Mumbai, Dublin and Zurich, who regularly engage as a team and with various stakeholders across the whole bank. Our day-to-day activities involve regular collaboration regarding new products &amp; initiatives, material outsourcing arrangements, internal and external risk events, understanding operational risk inherent to the business and facilitating scenario analysis to enable proactive identification and management of risk. IBP Operational Risk is looking for an individual with a sound understanding of Private and Transactional Banking products and services to help the 2LOD OR team adequately monitor and challenge the Operational Risks. The role provides a great opportunity to get involved in a different products and initiatives in Private Bank, Transactional Banking and Third Party Management and will engage with stakeholders across all levels in the organisation. What will I be doing? The role is responsible for oversight of the implementation of the Operational Risk Framework which includes <ul> <li>Facilitation of risk assessments with business units and support functions, including full end to end transaction lifecycle reviews.</li> <li>Timely capture and review of operational risk events, with appropriate escalation and root cause trend analysis.</li> <li>Manage the scenario analysis process which feeds into the Bank's ICAAP.</li> <li>Assist in the planning and execution of thematic reviews based on external events or cross IBP events.</li> <li>Promote operational risk awareness and conduct training for all employees.</li> <li>Compile risk governance forums reports to highlight key risks and events.</li> <li>Participation in Operational Risk forums and working groups.</li> <li>Review and participate in the approval forums for new products, businesses and projects.</li> </ul>What are we looking for? Technical knowledge: <ul> <li>Thorough understanding of risks and controls within a financial services company. Ability to advise on appropriate controls and risk mitigation</li> <li>Knowledge of Regulatory risks and Risk management in Financial Institutions</li> <li>Detailed knowledge of operational risk management methodologies and principles</li> <li>A good working knowledge of Microsoft Office (Excel, Word and PowerPoint)</li> <li>Skills and how they are applied</li> <li>Communication - engage with a wide range of colleagues and articulately discuss / write report on various issue (verbal / written / presentation)</li> <li>Challenge - ability to challenge multiple SMEs and management on a wide range of topics and risks</li> <li>Attention to detail - to pick up on errors and produce accurate work, with strong analytical capability</li> <li>Organised - work to multiple deadlines yet maintain flexibility through the workday</li> <li>Strong interpersonal and relationship management skills</li> <li>To act with integrity at all times and embrace the philosophy of treating our customers fairly</li> </ul>If this is the role for you, click apply today and the team will be in touch shortly! As part of our collaborative &amp; agile culture, our working week is 4 days in the office and one day remote. Investec offers a range of wellbeing benefits to make our people feel healthier, balanced and more fulfilled in their lives inside and outside of work. Here is a selection of what we offer; Wellbeing Wellbeing Subsidy, Corporate Gym Membership, Virtual GP, Peppy Health App (Fertility, Menopause and Early Parenthood), Optional Private Medical &amp; Dental Insurance Monetary Non-contributory Pension &amp; Discretionary Bonus Life &amp; Income Protection Life Assurance, Critical Illness &amp; Income Protection Travel Season Ticket Loan &amp; Electric Vehicle Scheme Embedded in our culture is a sense of belonging and inclusion. This creates an environment in which everyone is free to be themselves which helps to drive innovation, creativity and ultimately business performance. At Investec we want everyone to find it easy to be themselves, and to feel they belong. It's a responsibility we all share and is integral to our purpose and values as an organisation. Research shows that some candidates can be reluctant to apply to a role unless they meet all the criteria. We pride ourselves on our entrepreneurial spirit here and welcome you to do the same - if the role excites you, please don't let our person specification hold you back. Get in touch! Recite Me We commit to ensure that everyone is fairly assessed during our recruitment process. To assist candidates in completing their application form, Recite Me assistive technology is available on our Careers pages. This can be accessed by clicking on the 'Accessibility Options' link at the top of the page. The Recite Me tool includes a screen reader, styling and customisation options, a series of reading aids, a translator and more. If you have any form of disability or neurodivergent need and require further assistance in completing your application, please contact the Careers team at [email protected] who will be happy to assist.

Operational Risk Manager (10834)

Our Story Hello there. We're Zopa. We started our journey back in 2005, building the first ever peer-to-peer lending company. Fast forward to 2020 and we launched Zopa Bank. A bank that listens to what our customers don't like about finance and does the opposite. We're redefining what it feels like to work in finance. Our vision for a new era of banking puts people front and centre - we've built a business that empowers everyone to aim high, every day, to move finance forward. Find out more about our fantastic offerings at Zopa.com! We're incredibly proud of our achievements and none of it would be possible without the amazing team here. It's not just industry awards we're winning, we've also been named in the top three UK's Most Loved Workplaces. If you embrace unconventional challenges, are unafraid to think differently and are driven to make an outsized impact, you'll thrive here at Zopa, so join us, and make it count. Want to see us in action? Follow us on Instagram @zopalife Zopa is looking for an experienced Compliance Manager to join our 2nd Line of Defence Compliance team. Reporting to the Head of 2nd Line Compliance, this role is an exciting opportunity to help Zopa develop and implement its framework for managing compliance risk. You'll use your expert knowledge of the UK regulatory framework to support the team in carrying out all its functions, from writing policies to reviewing business changes, interpreting new regulatory requirements and conducting assurance on the business. We are looking for someone with a deep level of expertise, as well as a strong focus on customer outcomes. We're open to applications from experienced individuals looking to work flexibly or on a part-time basis. We have a friendly, fun, and ambitious culture where everyone contributes pro-actively towards the growth of the business, so a parallel mind-set is what we are looking for. A day in the life: <ul><ul><li>Provide technical regulatory expertise to support the whole range of work of the second line. </li><li>Aiding the development, maintenance and implementation of compliance frameworks and policies </li><li>Help with the second line horizon scanning process, ensuring that new regulatory requirements are identified, interpreted and communicated effectively to the business </li><li>Conduct second line review and challenge on new products and other business initiatives from a compliance perspective </li><li>Support the production of briefings to senior staff and committees on compliance-related matters </li><li>Assist with the completion of assurance work on compliance matters </li><li>Contribute to the production of FCA communications and submissions </li><li>Support the Senior Director, Risk and Compliance to deliver Compliance related project(s) as required </li></ul></ul>About you: <ul><ul><li>You'll have previous Compliance experience within financial services, with excellent knowledge of the UK regulatory landscape, particularly FCA and broader consumer-focused regulation, and a strong commitment to good customer outcomes </li><li>The ability to get to grips with and interpret a wide range of regulations </li><li>Excellent written and verbal communication skills </li><li>You're eloquent, able to explain complex sets of rules / translate regulations into clear language to all levels of staff </li><li>Can demonstrate a pragmatic approach, able to understand not just what the regulations say but what implementation looks like in practice </li></ul></ul>#LI-LK1 Flexible working? Yes please! At Zopa we value flexible ways of working. We understand the benefits of face-to-face collaboration and the importance of a good work-life balance. Our teams work in a hybrid manner, from our vibrant UK offices and the comfort of their own homes, at a frequency that suits the team and the work they do. Not only that - you'll also have the option of working from abroad for up to 120 days a year!* But no matter where you are, we'll make sure you've got everything you need to thrive, both in your work and home life, from day one. *Subject to having the right to work in the country of choice Diversity Statement Zopa is proud to offer a workplace free from discrimination. Diversity of experience, perspectives, and backgrounds leads to better products for our customers and a unique company culture for our people. We are made up of nearly 50 nationalities, have a DE&amp;I forum made up of Zopians wanting to make a difference and we are proud of our culture where everyone can bring their full self to work. Our approach to DE&amp;I is reflected in our hiring process so please let us know if you require any reasonable adjustments.

Compliance Manager (2nd Line of Defence) Full or Part time opportunity

About the role... What stands you apart from the rest? Outstanding communication? Acting with purpose? Thinking outside the box and taking the team and client on the journey with you? We are looking for someone to join our awesome tax team, who has a real focus on building on their tax knowledge and experience to help deliver a robust &amp; tax efficient service to help clients meet their wider objectives. As our next Senior Tax Manager, you will support the Business Tax Partners and wider Tax teams to deliver compliance and advisory services whilst providing a "wow!" experience, removing the jargon and ensuring a stellar first-rate service. About you... As a Business Tax Senior Manager, you will have extensive experience delivering compliance work and really got a buzz from doing so. You will work closely with our Tax Partners to deliver tax compliance and projects, reviewing and managing junior team members, covering a broad range of taxes . The role is within a corporate tax focused role together with covering shareholder taxes and have a passion for your clients and their business. You will be: <ul><li>An awesome tax advisor with a wider tax mindset, ensuring we provide our clients with the tax support they need</li><li>A great communicator who excels at building strong and trusting relationships (internally and externally)</li><li>Experience of looking after a variety of clients i.e. large corporate groups / AIM Listed / internationally owned / private equity backed / owner managed</li><li>Have a real team spirit, with a focus in developing and coaching the wider team</li><li>It's important to have a passion for your clients and their business, so you can provide a "wow!" experience. You'll have knack for removing the jargon to help increase client understand and ensuring a stellar first-rate service </li></ul>About us... We're straight-talking and put people and relationships before products and services. This is what's made us the fastest growing firm of accountants in the UK... and our vision is to continue. Over the last couple years alone, we have achieved some fantastic feats: <ul><li>Ranked No.1 in the Accountancy Age Mid-Tier Power Index</li><li>Achieved 6 awards at the Inspiring Workplaces - Best in Class for Wellbeing, Employee Voice, Culture &amp; Purpose and Employee Experience, as well as Best Company/Most Inspiring Place to Work For - No.1 in Large Companies category and No.3 in Top 50 overall list</li><li>B Corp certified! Measuring and improving our impact beyond business for a brighter tomorrow</li><li>Best Companies No.1 Accountancy Firm to work for in the UK &amp; No.30 Best Large Company to work for 2023</li></ul>What's in it for you... We have always believed in trusting our people to make the right decisions for themselves. From how you dress, to where you work and how often you take holiday. We give our people the opportunity to work flexibly, as well as the trust and accountability to deliver. We put our people at the heart of our culture. If our people love working here then they do amazing work, that's why we offer things like: <ul><li>A streamlined, client-focused service free from unnecessary red tape </li><li>Open Holidays - unlimited paid annual leave to take what you need to feel well rested</li><li>A truly flexible approach to hybrid working</li><li>Empowered and entrusted to do what you do best</li><li>An amazing wellbeing offering to support your physical, mental, spiritual, and financial health</li><li>Volunteering opportunities to work closer with local communities and charities</li><li>Alongside an array of benefits and perks all nicely packaged on our CP Pay &amp; Perks platform</li></ul>We know everyone performs their best when they feel welcomed and supported to bring their whole selves to work. As an equal opportunities' employer, we will work with you to ensure you have all you need to achieve your best. Get in touch if you have any questions about our commitment to Diversity &amp; Inclusion or about accessibility/accommodations during your application process. A note for Recruitment Agencies... Agencies, we love you... but unsolicited CV's will not be honoured. We will only accept CV submissions for roles briefed to you by our Talent Acquisition team. If you would be interested in working with us - please send a message to <a href="mailto:careers@cooperparry.com" target="_blank">careers@cooperparry.com</a>, should we have anything we need additional support on we will reach out to you. #LI-MH1

Business Tax Compliance Senior Manager

Line of Service Assurance Industry/Sector Not Applicable Specialism Risk Management Level Senior Manager Job Description &amp; Summary About the role: We are seeking a Senior Manager to join our Risk and Resilience team in Macro Risk Services to focus on Enterprise Risk Management. If you would like to work with the senior management teams of some of the UK's leading non-financial services companies, have strong problem solving skills, intellectual agility and can build deep and productive relationships, our practice could be the right opportunity for you. What your days will look like: You'll work across a diverse range of well-known clients and have the opportunity to build experience designing and implementing risk management frameworks to help Boards identify, assess and manage the most significant risks in their organisation. If you're successful you'll undertake client work which includes for example: <ul><li>Managing and delivering assignments, both independently and as part of a team</li><li>Developing and managing client relationships and identifying new opportunities</li><li>Creating customised risk management and resilience frameworks and processes</li><li>Conducting risk identification interviews and facilitating executive-level risk assessment workshops</li><li>Designing risk reporting templates, dashboards, and key risk indicator suites</li><li>Performing risk analytics, delivering risk management training, and providing ongoing risk monitoring support</li></ul>This role is for you if: We're looking for motivated, passionate and enthusiastic individuals who will relish the opportunity to work in a growing team, with a portfolio of varied assignments and with significant possibilities to progress within the firm. The successful applicant will have practical experience, ideally gained within a large consultancy or client organisation, of conducting some or all of the following activities: <ul><li>Highly confident and resilient, able to assert yourself with senior clients (Executive and Board level)</li><li>Strong technical risk management knowledge with experience in developing and implementing practical risk management processes in non-FS businesses</li><li>Excellent presentation skills with experience in planning and facilitating workshops/risk exercises for senior audiences</li><li>Solid financial and commercial acumen with an understanding of corporate governance requirements</li><li>Strong interpersonal communication skills, capable of building trust and rapport with diverse stakeholders</li><li>Proven team management skills, including coaching junior resources and managing multiple simultaneous projects</li></ul>What you'll receive from us: No matter where you may be in your career or personal life, our benefits are designed to add value and support, recognising and rewarding you fairly for your contributions. We offer a range of benefits including empowered flexibility and a working week split between office, home and client site; private medical cover and 24/7 access to a qualified virtual GP; six volunteering days a year and much more. Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Desired Languages (If blank, desired languages not specified) Travel Requirements Not Specified Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Enterprise Risk Management - Senior Manager

The Firm XTX Markets is an algorithmic trading firm that actively trades tens of thousands of instruments on over 80 venues with a daily volume of almost 300 billion USD. We partner with counterparties, exchanges, and e-trading venues globally to provide consistent liquidity in the equity, FX, fixed income, commodity &amp; options markets, helping market participants throughout the world obtain the best prices in the various assets classes we cover. We leverage the talent of the people who work here, modern computational techniques and state-of-the-art research infrastructure to analyse large data sets across markets quickly and efficiently, to maximise the effectiveness of our proprietary trading algorithms. The models that drive our trading strategies have evolved considerably over the last 10 years, from econometric methods that gave our company its name, to trees, to neural networks, to modern deep learning architectures. We are actively seeking new methods and ideas. At XTX Markets technology is our business and we are a diverse organisation which attracts outstanding talent from across all industry backgrounds. We are focused on teamwork and our people collaborate on all aspects of the business, working openly and with respect for each other, our clients and the market. Our culture is non-hierarchical and one where everyone is valued. We strive for excellence in everything we do. The Role As XTX continues to expand its trading activities, we are seeking a London based member of the Compliance team to contribute to the global Compliance processes of the firm with a focus towards Operational Compliance. You will gain exposure to the Compliance, Regulatory, Operations and Trading control processes of a global electronic trading firm. Reporting to the Chief Compliance Officer, you will work closely with the Head of Operational Compliance and other members of the global Compliance team. This role best suits someone with 2-3 years generalist compliance experience who is looking to join an industry-leading team. ResponsibilitiesDevelop into a point of contact for the business on matters relating to Compliance. This includes: <ul><li>Supporting the documentation and the build out of procedures for Operational Compliance processes.</li><li>Exchange rulebook and new product reviews. This includes analysing the applicability of exchange rules and supporting the approval process of new products for XTX's trading universe.</li><li>Regulatory reporting, including long and short position analysis and disclosures, and regulatory filings. Assisting in the development and testing of position reporting processes with the XTX's Operations team to support XTX's regulatory reporting.</li><li>Describing the firm's Compliance Control Framework to external stakeholders (e.g. exchange due diligences, regulatory requests). Advising on and testing of XTX's automated operational processes (for example automated sanctions screening).</li><li>Executing checks and reviews to ensure that XTX's Trading Analysts are correctly registered with regulators and trading venues.</li><li>Supporting the global Compliance function in central Compliance processes including execution of tests for the Compliance Monitoring Programme, supporting maintenance of the PA Dealing Platform (PA Trades, Gifts &amp; Entertainments and Outside Business Interests) and the onboarding and testing of new central Compliance platforms. Drafting and maintaining management information, internal briefings, processes, and procedures.</li></ul>Essential Attributes <ul><li>2-3 years' experience in a Compliance or control function within an exchange operator, bank, regulatory authority, electronic trading firm or hedge fund.</li><li>You will work closely with different stakeholders across various teams. Having a calm and detail-oriented personality with excellent oral and written communication skills is critical. Being team oriented and motivated to learn from the various experts within our Firm is key.</li><li>Good analytical skills with a motivation to translate regulatory requirements into clear instructions for internal stakeholders. Be able to clearly track, coordinate and document processes.</li><li>Ability to explain regulatory requirements clearly and concisely in both written and verbal formats.</li><li>Ability to perform reviews of rulebooks and regulations to identify requirements applicable to the Firm's businesses.</li><li>Time management and workload prioritisation.</li><li>Advanced Excel skills.</li></ul>Desirable Attributes It would be desirable to have one or more of the following attributes, however this is not a must: <ul><li>SQL skills.</li><li>Training in industry standard project management methods such as Prince2 or Agile.</li><li>Process documentation.</li><li>Hands on experience in position concentration reporting.</li><li>Exposure to electronic trading compliance, including an understanding of algorithmic trading and the associated compliance control framework (such as MiFID II and RTS 6).</li><li>Familiarity with transaction/trade reporting regulatory regimes including MiFIR, EMIR, Remit, CAT, MAS, etc.</li></ul>Benefits <ul><li>Onsite gym, sauna, and fitness classes at no charge.</li><li>Extensive medical benefits including an on-site doctor and therapist at no charge.</li><li>On-site hairdressing services at no charge.</li><li>Breakfast and lunch provided daily.</li><li>Various supports for caregivers, including emergency dependent care.</li><li>Beautiful Kings Cross office: <a href="https://vimeo.com/257888726" target="_blank">https://vimeo.com/257888726</a></li><li>25 days paid holiday per year + statutory holiday and paid sick days.</li><li>Generous pension contributions.</li></ul>

Operational Compliance Officer - London

Compliance Officer, Monitoring London, UK Supporting the Headof Compliance Monitoring in providing assurance that regulatory compliance controls are operating effectively by performing and overseeing monitoring reviews and supporting the overall perform and development of the Compliance Monitoring function. DISCOVER your opportunity What will your essential responsibilities include? • Lead monitoring review on regulatory topics within a global function • Manage and undertake compliance monitoring and reporting as specified in the Compliance Monitoring Plan, to help ensure the business maintain compliance with regulatory standards, and that breaches are remedied promptly. • Provide recommendations to remedy any control failings/gaps or business training needs identified during compliance monitoring activities. • Undertake follow up consultancy and engagement to help embed a compliant culture within the business and to help ensure the business is compliant with applicable regulations. • Report and communicate the results of the compliance monitoring activities and be forward-thinking on ways to drive efficiencies across the suite of reporting and regular tasks. • Support the completion of overseas monitoring reviews as required. • Develop the risk-based Annual Compliance Monitoring plan through engagement with the heads of compliance across the globe. • Support in the training and development of Compliance Monitoring staff, with a view to taking online management responsibilities in the future. • Help ensure that other Compliance Monitoring staff complete all aspects of monitoring and testing programmes and oversee the preparation of Compliance Monitoring and reports. • Undertake technical research into UK and foreign regulations to inform planning and fieldwork for monitoring reviews. • Build robust relationships with the wider business, particularly other assurance functions such as risk management and internal audit. • Write and maintain key Compliance Monitoring documents. • Support the Senior Manager in providing feedback and assurance to the senior management and boards and deputise for the Senior Manager in some situations. • Develop data capabilities and management information to build greater risk based monitoring. • Deliver internal training on Compliance Monitoring as required. • Monitor regulatory developments and to read, and understand the new consultation papers and policy statements, in order to ensure new and emerging risks are reflected in Compliance Monitoring activities. • Complete other activity over and above those listed in the role profile, appropriate to your skills and experience. You will report to the Head of Compliance Monitoring. SHARE your talent SHARE your talent We're looking for someone who has these abilities and skills: • Detailed knowledge of UK and European regulations. • Substantial compliance monitoring or testing experience in a general insurance setting. • Experience of working within risk and control evaluation programmes in a compliance monitoring environment and had input into the design of the programme. • A track record of delivery of compliance initiatives. • Robust planning and organisational skills and the ability to work to deadlines. • Ability to maximise the use of your time through time management and prioritisation. • Communicate effectively with business units at all levels and develop effective working relationships. • Ability to work independently and to make decisions/and recommendations. • Ability to work on own initiative and as part of a team. • Ability to produce clear and accurate written information. • Desired but not essential: o ACII or Compliance qualifications. o Line management or mentor experience. o Knowledge of US and APAC regulations o Advanced MS Excel skills FIND your future AXA XL, the P&amp;C and specialty risk division of AXA, is known for solving complex risks. For mid-sized companies, multinationals and even some inspirational individuals we don't just provide re/insurance, we reinvent it. How? By combining a comprehensive and efficient capital platform, data-driven insights, leading technology, and the best talent in an agile and inclusive workspace, empowered to deliver top client service across all our lines of business - property, casualty, professional, financial lines and specialty. With an innovative and flexible approach to risk solutions, we partner with those who move the world forward. Learn more at axaxl.com Inclusion &amp; Diversity AXA XL is committed to equal employment opportunity and will consider applicants regardless of gender, sexual orientation, age, ethnicity and origins, marital status, religion, disability, or any other protected characteristic. At AXA XL, we know that an inclusive culture and a diverse workforce enable business growth and are critical to our success. That's why we have made a strategic commitment to attract, develop, advance and retain the most diverse workforce possible, and create an inclusive culture where everyone can bring their full selves to work and can reach their highest potential. It's about helping one another - and our business - to move forward and succeed. <ul> <li> Five Business Resource Groups focused on gender, LGBTQ+, ethnicity and origins, disability and inclusion with 20 Chapters around the globe </li> <li> Robust support for Flexible Working Arrangements </li> <li> Enhanced family friendly leave benefits </li> <li> Named to the Diversity Best Practices Index </li> <li> Signatory to the UK Women in Finance Charter </li> </ul>Learn more at axaxl.com/about-us/inclusion-and-diversity . AXA XL is an Equal Opportunity Employer. Sustainability At AXA XL, Sustainability is integral to our business strategy. In an ever-changing world, AXA XL protects what matters most for our clients and communities. We know that sustainability is at the root of a more resilient future. Our 2023-26 Sustainability strategy, called "Roots of resilience", focuses on protecting natural ecosystems, addressing climate change, and embedding sustainable practices across our operations. Our Pillars: <ul> <li> Valuing nature: How we impact nature affects how nature impacts us. Resilient ecosystems - the foundation of a sustainable planet and society - are essential to our future. We're committed to protecting and restoring nature - from mangrove forests to the bees in our backyard - by increasing biodiversity awareness and inspiring clients and colleagues to put nature at the heart of their plans. </li> <li> Addressing climate change: The effects of a changing climate are far reaching and significant. Unpredictable weather, increasing temperatures, and rising sea levels cause both social inequalities and environmental disruption. We're building a net zero strategy, developing insurance products and services, and mobilizing to advance thought leadership and investment in societal-led solutions. </li> <li> Integrating ESG: All companies have a role to play in building a more resilient future. Incorporating ESG considerations into our internal processes and practices builds resilience from the roots of our business. We're training our colleagues, engaging our external partners, and evolving our sustainability governance and reporting. </li> <li> AXA Hearts in Action : We have established volunteering and charitable giving programs to help colleagues support causes that matter most to them, known as AXA XL's "Hearts in Action" programs. These include our Matching Gifts program, Volunteering Leave, and our annual volunteering day - the Global Day of Giving. </li> </ul>For more information, please see axaxl.com/sustainability

Compliance Officer, Monitoring

SMBC: A trusted partner for the long term Our internal opportunities aim to grow you professionally and personally. Be curious, expand your network and explore how your skills and knowledge can transfer into different roles and areas of SMBC. Even if your experience doesn't perfectly align with the job description 100%, we still welcome your application. Find the resources and support available to help you transition your career and flourish on our Internal Mobility page. Section 2 - Purpose of Job <ul> <li>To provide advice and guidance to the London business and support functions as well as EMEA Local office MLROs on financial crime compliance matters.</li> <li>To provide advice and guidance on the regulatory and legal expectations with respect to financial crime compliance.</li> <li>To provide advice and guidance on the design and operation of financial crime systems and controls, by which the EMEA region interdicts and mitigates financial crime risk.</li> <li>Management of Financial Crime service provision to EMEA offices. </li> <li>To support the RCCO and regional MLROs to develop the regional financial crime strategy.</li> <li>To undertake the role of Nominated Officer for SMBC BI and SMBC London Branch.</li> </ul>Section 3 - Background <ul> <li>As a regulated financial institution, the Bank has an obligation to establish and maintain policies, procedures, systems and controls to mitigate and effectively manage the financial crime risk. The Bank has operations across the EMEA region and is required to consider extraterritorial laws, and accordingly must maintain a coordinated and aligned approach to the framework taking this into account. </li> </ul> <ul> <li>The role holder covers all financial crime taxonomies excluding Sanctions and has a multi-disciplinary remit, covering various business areas and geographies.</li> <li>The role holder is required to have close collaboration with the Regional Chief Compliance Officer, Chief Operating Officer, Chief Risk Officer and other Senior Management, Executive/Local Management Committee members, Local Compliance Officers, Money Laundering Reporting Officers, Chief Representative Officers, Head Office Compliance, PD-ITSD and Internal Audit.</li> <li>The role-holder is responsible for reviewing highly sensitive and confidential information. </li> <li>The role holder will work jointly with the EMEA Head of Sanctions to deliver a joint approach to investigation and intelligence gathering and the subsequent dissemination.</li> </ul>The role holder will: <ul> <li>Act as a point of contact to receive internal Suspicious Activity Reports. Take appropriate action following the receipt of an internal Suspicious Activity Report in accordance with relevant laws, regulations and polices. To determine and document whether a Suspicious Activity Report is required to be made to the relevant authorities.</li> </ul> <ul> <li>Identify where there is an impact to other areas of SMBC, communicating and acting as appropriate.</li> <li>Be the subject matter expert on financial crime related matters (excluding KYC and Sanctions) and act in an advisory capacity within the second line of defence. </li> <li>Further develop and enhance the Financial Crime Compliance framework, including enterprise wide fraud risk. Ensure the Financial Crime framework remains fit for purpose in according with regulatory expectations including acting upon new and emerging threats/risks, findings (both internal and external) etc. Make recommendations for, and where appropriate implement improvements to the financial crime systems and controls,</li> <li>Implement and oversee the delivery and adherence to wider financial crime training.</li> <li>To act as the point of contact for the authorities and the regulators regarding money laundering and financial crime issues.</li> </ul>Section 4 - Facts / Scale <ul> <li>Number of reports/team members: Currently 12</li> <li>Main interfaces/relationships: All Financial Crime Groups across EMEA including all MLRO's. Regular interface with the Regional Chief Compliance Officer, Chief Operating Officer, Chief Risk Officer and other Senior Management, Executive/Local Management Committee members, Local Compliance Officers, Money Laundering Reporting Officers, Chief Representative Officers, Head Office Compliance, PD-ITSD and Internal Audit.</li> <li>Role holder to provide advice, guidance and support to all the EMEA offices and financial crime teams relating to financial crime compliance matters.</li> <li>Monitor UK regulatory and legislative changes ensuring necessary communication and change implementation as required across the EMEA region.</li> <li>Have the oversight and coordination of significant financial crime investigations, collaborating on sanctions investigations as required. </li> <li>Represent the Bank at external forums </li> </ul>Section 5 - Accountabilities &amp; Responsibilities <ul> <li>Analyse and interpret the financial crime regulations and laws across applicable financial crime risk taxonomies ensure compliance to enforce effective management, oversight and implementation of financial crime polices required to meet the legal and regulatory expectations.</li> <li>Responsible for relevant Financial Crime Policies and Procedures/Standards.</li> <li>Investigate and escalate breaches of financial crime controls (including employee breaches).</li> <li>Manage, review and implement recommendations from external / internal audits and risk assessments.</li> <li>Strengthen the Financial Crime systems and controls function by continued review, development and enhancement of systems and policy / guidance in line with regulatory requirements and industry best practice.</li> <li>Identify and address any training needs across all departments within the 3 lines of defence framework. Co-ordinate and deliver training on relevant financial crime matters including new and existing systems and controls. </li> </ul>Develop and strengthen relationships with internal and external stakeholders to promote best practice and ensure a good understanding of financial crime requirements. Section 6 - Knowledge, Skills, Experience &amp; Qualifications <ul> <li>Educated to degree level (with a relevant degree) and a professional qualification(s) in financial crime. </li> <li>Experience in implementing enterprise wide Financial Crime risk management frameworks</li> <li>Expertise in Financial Crime risk taxonomies including Fraud, AML and CTF including associated investigations.</li> <li>Fully conversant with, and working knowledge of, industry practice and tools used to combat fraud, money laundering, terrorist financing and other areas of financial crime.</li> <li>Able to provide specific and targeted advice and guidance, subject matter expertise, and to liaise with other stakeholders to ensure effective working relationships are built and maintained.</li> <li>Ability to work well under pressure ensuring all deadlines are met, whilst maintaining excellent attention to detail at all times.</li> <li>Thorough experience of dealing with financial crime at an international level.</li> <li>Experienced decision maker, with the ability to influence and motivate at all levels.</li> <li>Excellent written and verbal skills.</li> <li>Experienced in formal report writing that can be used to communicate investigative reports, policies, procedures, processes and training to a wide-ranging audience whilst being adaptive to needs on a case by case basis. </li> <li>Ability initiate and implement changes to improve efficiency.</li> <li>Ability to collaborate effectively and work with others to drive change. </li> </ul>We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing our sustainable growth as an organisation. If you're in need of reasonable adjustment to the recruitment process due to disability or long-term condition, just let your recruiter know.

PERM - CPD - Head of Financial Crime Compliance - Executive Director

Founded by British makeup artist and beauty entrepreneur Charlotte Tilbury MBE in 2013, Charlotte Tilbury Beauty has revolutionised the face of the global beauty industry by de-coding makeup applications for everyone, everywhere, with an easy-to-use, easy-to-choose, easy-to-gift range. Today, Charlotte Tilbury Beauty continues to break records across countries, channels, and categories and to scale at pace. Over the last 10 years, Charlotte Tilbury Beauty has experienced exceptional growth and is one of the most talked about brands in the beauty industry and beyond. It has become a global sensation across 50 markets (and growing), with over 2,300 employees globally who are part of the Dream Team making the magic happen. Today, Charlotte Tilbury Beauty is a truly global business, delivering market-leading growth, innovative retail and product launches fuelled by industry-leading tech - all with an internal culture of embracing challenges, disruptive thinking, winning together, and sharing the magic. The energy behind the brand is infectious, and as we grow, we are always looking for extraordinary talent who want to be part of this our success and help drive our limitless ambitions. About the role The role will report directly to the Chief Legal Officer and be the global business lead for all matters relating to risk, compliance, insurance and business ethics. You will be the global primary advisor to the business and support the Chief Legal Officer with running and managing the Risk Management Committee, Governance &amp; Compliance Committee and ensuring internal frameworks, models and policies are rolled out and embedded. You will also be responsible for the global Charlotte Tilbury insurance portfolio liaising regularly with global brokers and underwriters and managing insurance notifications and claims. You will all support with day-to-day queries relating to the above matters. You will work regularly with key stakeholders across the globe to deliver the businesses compliance model, which will include regular engagement with the Compliance Team at Puig SL. The Head of Compliance &amp; Risk Management will be expected to foster and sustain effective and collaborative relationships as a business partner to key stakeholders across the globe and in all offices. You will be a key partner to senior stakeholders to ensure global compliance. You will need to be a self-starter with the ability to work independently and at pace, demonstrating a commercial and practical approach in dealing with a variety of issues across multiple geographical locations and legal systems. Personable, approachable and with excellent communication skills, you must be a team player who can build successful relationships with colleagues and challenge and influence across all levels within the business. Who you will work with You will report into the Chief Legal Officer. Responsibilities Risk <ul> <li>Own and manage the global risk register. Chair the quarterly Risk Management Committee's (supported by the Chief Legal Officer) and suggest risk mitigation actions and strategies and management of such risks.</li> <li>Proactively identify opportunities to improve overall risk monitoring, mitigation and management.</li> <li>Act as a strategic business partner to the Global Leadership Team and culture an ethos of engagement and empowerment with risk management.</li> </ul>Compliance <ul> <li>Be responsible for and Chair the Charlotte Tilbury Governance &amp; Compliance Committee, ensuring the successful launch and embedding of the group's global compliance model, including working with Archer. </li> <li>Shaping the vision and direction for the compliance model and proactively identify opportunities to improve overall compliance performance.</li> <li>Support the business teams with new market launches and supporting integration of the compliance and risk program in new territories and new market / Head Office launches.</li> <li>Provide training to the business on the areas of responsibility and compliance, as needed including presenting to new joiners to embed a culture of compliance from day one.</li> <li>Support the business in the creation and maintenance of global policies and procedures to ensure compliance with laws, regulations and industry codes.</li> </ul>Ethics <ul> <li>Promote and manage including any reports / disclosures of the group's Reporting Channel and Protect the Magic / Speak Up culture.</li> <li>Manage and maintain the businesses conflicts of interest register and annual renewal of disclosures.</li> <li>Ensure global compliance with the group's Ethical Code. </li> </ul>Insurance <ul> <li>Maintain and manage the group's global insurance programme. Building a day-to-day working relationship with the group's global insurance brokers to handle insurance queries and claims.</li> <li>Pro-actively handle the group's annual insurance renewal.</li> <li>Support the business in managing risk by working with underwriters to embed risk mitigation strategies. </li> </ul>Working at Charlotte Tilbury Beauty <ul> <li>Hybrid: Head Office Central London (3 days a week office based, 2 days per week work from home)</li> <li>Charlotte Tilbury Beauty is a dynamic and fun place to work. As a result, the business drivers can change regularly and you will be expected to work at a demanding and efficient pace. </li> <li>Whilst the Headquarters for Charlotte Tilbury Beauty are based in London, you would work daily with Charlotte Tilbury teams across the globe in New York, Hong Kong, Singapore, South Korea, Mexico and Shanghai and liaise regularly with Puig SL, in Spain.</li> </ul>About you <ul> <li> Solid track record of working in / leading a compliance, internal control and/or risk / governance department. </li> <li>Prior experience in retail or FMCG / large corporate. </li> <li>Leading a compliance or risk management function and accountability in leading the department.</li> <li>Highly effective communicator at all levels. Excellent communication skills both written and oral, ability to communicate with global business partners in different time zones and with countries where English is often not the first language.</li> <li>Capability to adapt to changing priorities inline with business and organisational needs.</li> <li>High levels of professional resilience and flexibility and an ability to self-start and maintain momentum on multiple projects, across multiple jurisdictions and workstreams.</li> <li>Proactive problem solver that leads by example and models behaviours that are consistent with company values. </li> <li>Collaborative and commercially minded, ensuring decisions are made with in-depth understanding and interpretation of procedures and business practices to achieve complex results. </li> </ul>Charlotte Tilbury is a fast-paced and dynamic environment where nimble mindsets, striving to deliver the best and wanting to be part of a global #dreaamteam are key. Even though we have requirements, our experience and background are just a guide, we still love to welcome applicants with more or less experience stated, provided necessary skills can be demonstrated. Why join us? <ul> <li>Be a part of this values driven, high growth, magical journey with an ultimate vision to empower everyone, everywhere to be the best version of themselves</li> <li>We're a hybrid model with flexibility, allowing you to work how best suits you</li> <li>25 days holiday (plus bank holidays) with an additional day to celebrate your birthday</li> <li>Inclusive parental leave policy that supports all parents and carers throughout their parenting and caring journey</li> <li>Financial security and planning with our pension and life assurance for all</li> <li>Wellness and social benefits including Medicash, Employee Assist Programs and regular social connects with colleagues</li> <li>Bring your fury friend to work with you on our allocated dog friendly days and spaces</li> <li>And not to forget our generous product discount and gifting!</li> </ul>At Charlotte Tilbury Beauty, our mission is to empower everybody in the world to be the most beautiful version of themselves. We celebrate and support this by encouraging and hiring people with diverse backgrounds, cultures, voices, beliefs, and perspectives into our growing global workforce. By doing so, we better serve our communities, customers, employees - and the candidates that take part in our recruitment process. If you want to learn more about life at Charlotte Tilbury Beauty please follow our LinkedIn page!

Head of Compliance and Risk Management

Lloyd's is the world's leading insurance and reinsurance marketplace. We share the collective intelligence and risk sharing expertise of the market's brightest minds, working together for a braver world. Our role is to inspire courage, so tomorrow's progress isn't limited by today's risks. Our shared values: we are brave; we are stronger together; we do the right thing; guide what we do and how we act. If you share our values and our passion to build a future that's more sustainable, resilient and inclusive, you'll find a home at Lloyd's - build a braver future with us. Lloyd's are seeking to recruit a Manager Enterprise Risk on a 12 Months FTC (Fixed Term Contract) you will contribute to the successful development and execution of the Lloyd's global risk framework, ensuring the key risks to Lloyd's are well understood and appropriately managed within risk appetite Principal Accountabilities: Risk strategy and leadership To define and monitor the annual risk management and integrated assurance plans. Contribute to an effective risk culture at Lloyd's. To work closely with, and respond with agility to requests (i.e. ad hoc projects) from, the Chief Risk Officer or Head of Risk Management Risk framework, processes and systems To lead, and contribute to, the development and operation of Lloyd's global risk framework including Risk and Control Self-Assessment Risk Incident Reporting (losses, control failures, near misses) Risk appetite reporting Emerging risk reporting Stress and scenario testing Risk culture, awareness and engagement To develop and maintain the risk appetite framework. Regularly report to senior management on the risk appetite position and ensure risk appetites are considered and embedded in decision making. To lead and contribute to the annual and quarterly Lloyd's ORSA process.• To lead and contribute to thematic reviews on key risk topics. To lead development and maintenance of the risk management system and reporting tools. Reporting and governance To ensure the effective operation of the risk governance structure at Lloyd's. To liaise effectively with Secretariat to ensure the ongoing effectiveness of the risk committees. To produce high quality regular and ad hoc reporting to the various Lloyd's risk committees which enable the committees to effectively discharge their responsibilities. To build and maintain good relationships with all relevant Corporation departments, including 'Heads of' functions where appropriate Skills Knowledge and Experience Experience in working as part of a high performing team to deliver successful risk management outcomes. Experience in managing senior stakeholders including challenging or unsupportive stakeholders. Good experiences of risk management frameworks, tools and processes Strong knowledge of risk management frameworks and processes Risk management skills are required to be able to design and deliver leading risk management tools which are tailored to the unique Lloyd's business model as well as satisfying regulatory requirements. Analytical skills and be able to communicate (in both written and verbal forms) and engage in debate on complex topics. Evidence of influencing outcomes with senior management in both formal (e.g. committee) and informal settings. Able to independently manage time and complex projects. Ability to lead and deliver change within areas of responsibility Should be used to working as part of a team, making effective contributions to team meetings and team initiatives and also be able to take ownership of tasks and projects whilst often working remotely and without supervision Diversity and inclusion are a focus for us - Lloyd's aim is to build a diverse, inclusive environment that reflects the global markets we work in. One where everyone is treated with dignity and respect to achieve their full potential. In practice, this means we are positive and inclusive about making workplace adjustments, we offer regular health and wellbeing programmes, diversity and inclusion training, employee networks, mentoring and volunteering opportunities as well as investment into your professional development. You can read more about diversity and inclusion on our website. We understand that our work/life balance is important to us all and that a hybrid of working from the office and home can offer a great level of flexibility. Flexible working forms part of a total reward approach which offers a host of other benefits over and above the standard offering (generous pension, healthcare, wellbeing etc). These include financial support for training, education &amp; development, a benefit allowance (to spend on our flexible benefits such as gym membership, dental insurance, extra holiday or to partake in our cycle to work scheme), employee recognition scheme and various employee discount schemes. By choosing Lloyd's, you'll be part of a team that brings together the best minds in the industry, and together with our underwriters and brokers, we create innovative, responsive solutions allowing us to share risk and solve complex problems. Should you require any additional support with your application, or any adjustments, please click the following link; <a href="https://cleartalents.com/apply/lloyds-msa1645695881" target="_blank">https://cleartalents.com/apply/lloyds-msa1645695881</a> Please note, clicking on this link does not register your application for the vacancy

Manager, Enterprise Risk

Job Description YOUR IMPACT Are you a strategic thinker with a strong work ethic, desire to work within a growing global business, and ability to think outside the box? Analysts/Associates on the Global Risk Management Team will gain exposure and access to senior managers in PWM, build expertise in risk analysis and risk management, and develop a deeper understanding of the PWM business on a macro level. The team is seeking a candidate who has the ability to thrive in a fast paced environment where attention to detail, strong communication skills, and passion for working with others are essential to maintaining and enhancing our business. OUR IMPACT Private Wealth Management (PWM) secures, develops and manages relationships with high net worth individuals, their families, family offices and foundations. PWM assists clients with building and preserving their financial wealth by creating and implementing long-term asset allocation within the context of each client's particular risk tolerance, and by providing access to innovative investment ideas and opportunities. PWM professionals develop customized investment strategies and offer a full array of wealth management products and services, including private banking and trust company services. The PWM Global Business Risk Management team is the In-Business function that provides analysis, review and management of the client, product, and platform related risks of the PWM business. We are looking for an analytical and quantitative Analyst or Associate or to work on the team, based in London. This role focuses on credit and suitability risks: our exposure to our clients through their investing and trading activities using leverage, complex products or more volatile asset classes. You will work closely with EMEA and Asia PWM Management Teams, Credit Risk Officers, PWM Product Specialists and Private Wealth Advisors to review and advise on various activities. HOW YOU WILL FULFILL YOUR POTENTIAL <ul> <li>Review and analyze client portfolios from a credit risk and suitability risk perspective.</li> <li>Counterparty Credit Risk - risk to GS balance sheet from client default via derivatives and lending <ul> <li>Help to provide regular portfolio reviews to senior PWM management in both Asia and EMEA - deep and wide ranging analysis on our clients' portfolios and our corresponding credit exposures.</li> <li>Daily ongoing monitoring of clients exposing the firm to counterparty credit risk via derivatives or borrowing - helping ensure clients meet margin calls in a timely manner, reviewing swings in client portfolio values that may drive margin calls and scanning our overall universe of accounts to find similar exposures.</li> <li>Help with analysis and implementation of improvements to our risk management infrastructure.</li> <li>Work with Strats team to develop specific risk analytics/reporting to be used internally and/or externally with clients.</li> </ul></li> <li>Suitability Risk - risk to client loss via investing / trading relative to their wealth, sophistication, or risk tolerance <ul> <li>Ongoing monitoring and assessment of clients, their wealth and sophistication vs. their products and portfolios with GS.</li> <li>Periodic portfolio reviews.</li> </ul></li></ul>WHERE WILL YOU MAKE AN IMPACT Our Private Wealth Management business spans the globe and you will be working with individuals in EMEA and Asia. QUALIFICATIONS EXPERIENCE &amp; SKILLS WE'RE LOOKING FOR <ul> <li>Minimum of 2 years of experience in a financial organization, preferably in the private wealth high net worth area or a Credit/Market Risk function.</li> <li>Good base of derivatives knowledge - pricing, risk management of structured products, options and more exotic derivatives.</li> <li>Experience in risk analysis and management - VaR and Stress Testing.</li> <li>Exposure to Margin / Collateral Management systems.</li> <li>Outstanding analytical skills; ability to work with detailed financial or other data and understand and communicate commercial implications.</li> <li>Exceptional communication and interpersonal skills; confidence to work closely with senior management</li> <li>Highly organized with attention to detail </li></ul>ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

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

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

Security and Compliance Manager (London)

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

Business Risk Manager

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

Operational Risk Manager (1st Line)

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

Audit Assistant Manager - International Audit Team

Line of Service Assurance Industry/Sector Banking and Capital Markets Specialism Risk Management Level Manager Job Description &amp; Summary About the role: Our Banking Conduct team works with global banks and capital market firms on a range of regulatory and business change programmes. We bring expertise in risk and regulation, and work with our clients to design and implement change to their operating models, governance, processes and controls. Most recently, our projects have included: <ul><li>Trading Supervision and Controls reviews and remediation,</li><li>Front to back migrations of trading desks as part of firm's post Brexit response activities including the Desk Mapping Review,</li><li>ESG Target Operating Model implementations and supporting firms with their Corporate Sustainability Reporting,</li><li>Broader governance and controls reviews and remediation (including w.r.t. transaction reporting, algorithmic trading, trader mandates)</li></ul>Our teams are self-starting, agile and thrive on new and diverse challenges. We work across Front Office, Risk Management, Operations and Finance supporting critical business change initiatives and remediation programmes. We operate globally, working with the global PwC network to deliver large scale change. You will take a leading role across a range of projects to build a broad range of expertise and be passionate about delivering value and insights to your clients. You'll invest time in building your client relationship network and thrive on taking on new challenges in unfamiliar situations. What your days will look like: <ul><li>Proactively assist in the delivery of business change and conduct risk transformation projects, which may include managing several concurrent client programmes, reporting progress to Senior Managers and above.</li><li>Develop strategies to solve complex technical challenges, help firms to rethink their approach to risk and control and work with our clients to create robust and sustainable change, including through the incorporation of technology enablement and AI.</li><li>Build and maintain effective working relationships with clients and help identify opportunities to broaden relationships with new and existing clients.</li><li>Keep up to date with significant economic challenges and contribute to the development of your team's technical acumen.</li></ul>This role is for you if you have: <ul><li>Experience working within financial services risk and control projects either from a consulting, banking or regulatory background.</li><li>Experience working with senior stakeholders, developing effective working relationships and providing insightful management information.</li><li>Experience leveraging technology tools and generative AI in day to day activities, or as part of projects or programmes of work. (Ideal but not essential)</li><li>Strong commercial awareness, sound reporting skills and experience leading teams whilst working under your own initiative.</li><li>Excellent communication skills, both verbal and written and the ability to work under pressure and deal with ambiguity.</li><li>Strong attention to detail, including robust analysis and presentation skills (Excel, Powerpoint, Power BI/Tableau)</li><li>Must possess an ACA or CFA Qualification (or an international equivalent) or have equivalent work experience. This includes international candidates who qualify through experience in their home country</li></ul>What you'll receive from us: No matter where you may be in your career or personal life, our benefits are designed to add value and support, recognising and rewarding you fairly for your contributions. We offer a range of benefits including empowered flexibility and a working week split between office, home and client site; private medical cover and 24/7 access to a qualified virtual GP; six volunteering days a year and much more. Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Desired Languages (If blank, desired languages not specified) Travel Requirements Not Specified Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Wholesale Banking Risk & Control Analyst - Manager

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

Operational Risk Manager, Account Compliance

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

Senior Environmental Compliance Manager, EU EAP Field

<ul> <li> Email </li> </ul>Our Commodities and Global Markets businesses provide risk management, lending and financing, and physical execution and logistics services across the energy, metals, and agricultural sectors globally. The division also offers commodity-based index products to institutional investors. As part of the Compliance Division within our Risk Management Group, this highly visible role acts to support this business area and provide compliance advice and support. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes. What role will you play? Press space or enter keys to toggle section visibility In this role you will be responsible for ensuring activities comply with applicable rules and regulations. You will leverage your compliance experience to develop and advise on policies, processes, and procedures. There will also be opportunities for you to support the business with new initiatives and provide a range of compliance training to ensure robust controls are in place. You will also be required to contribute to ad-hoc projects within the broader regional and global compliance teams as required. What you offer Press space or enter keys to toggle section visibility <ul><li>A good level of experience as a Senior Compliance Officer within the commodities trading sector, specifically in base metals with a solid understanding of the London Metal Exchange (LME) rules and practices</li><li>An in-depth knowledge of UK and international regulations applicable to a financial organisation</li><li>A good understanding of base metals compliance along with a desire to extend your knowledge and experience to other commodity assets and markets businesses</li><li>Excellent relationship and communication skills, be collaborative, solutions driven, detail orientated, pragmatic and proportionate during your professional duties</li><li>A strong team player and will be able to identify, assess and mitigate risks</li></ul>We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply. About the Risk Management Group Press space or enter keys to toggle section visibility In our Risk Management Group, you will be part of an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. Our divisions include Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Prudential Risk, and Risk Management Group Central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: <ul><li>Hybrid and flexible working arrangements</li><li>One wellbeing leave day per year and minimum 25 days of annual leave</li><li>Primary carers are eligible for minimum 20 weeks paid leave and minimum 6 weeks for secondary carer</li><li>Paid volunteer leave and donation matching</li><li>Range of benefits to support your physical, psychological and financial wellbeing</li><li>Employee Assistance Program, a robust behavioral health network with counseling and coaching services</li><li>Recognition and service awards</li></ul>Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.

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

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

Regulatory Compliance Manager, Amazon Payments UK

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

Engineering Compliance Manager, Global Engineering Services

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

Director of Compliance FTSE Russell

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

Compliance Monitoring Manager

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

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

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

Compliance Manager

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

242 Jobs in Welwyn Garden City, UK