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

Compliance Analyst

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

AML Compliance Analyst

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

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

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

Management Consultant - Financial Risk

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

2025 Blackstone Legal & Compliance - Compliance Analyst, London

SMBC: A trusted partner for the long term Our internal opportunities aim to grow you professionally and personally. Be curious, expand your network and explore how your skills and knowledge can transfer into different roles and areas of SMBC. Even if your experience doesn't perfectly align with the job description 100%, we still welcome your application. Find the resources and support available to help you transition your career and flourish on our Internal Mobility page. Section 1 - Details Job Title / Corporate Title Financial Crime Compliance Advisory - Assistant Vice President Department / Group Compliance Department Financial Crime General / SMBC BI Responsible to / Line Manager Line Manager's Role, Job Title / Corporate Title. Financial Crime Advisory. Vice President Direct Reports N/a Location London Date Prepared May 2024 update Certification regime Out of scope Section 2 - Purpose of Job To assist in identifying where the products and services offered by SMBC BI are or may be used for criminal activities. To provide the EMEA region with advice and guidance with respect to the financial crime risk involving transactions, clients or other business which the Bank could be exposed to, whilst meeting legal and regulatory requirements. To provide advice and guidance to key stakeholders in the first line of defence on financial crime escalations. To identify where enhancements to the financial crime framework could be made. To work collaboratively with colleagues dealing with sanctions escalations Conduct reviews of individuals, corporate entities, business sectors, individual countries, products etc. to identify from a financial crime and reputational risk perspective any key risks the Banks may face. Ensure that management information is accurately obtained and analysed to help assess the financial crime risks. Section 3 - Background As a regulated entity the Bank has both a regulatory and statutory obligation to ensure it implements systems and controls necessary to mitigate the risks of the firm being used in connection with money laundering and / or the financing of terrorism or fraud. The role sits within the Banks 2nd line of defence and as such is responsible for supporting both Front Office and back-office departments by conducting detailed reviews of financial crime matters escalated to CPD - FCG. Working in partnership with 1st line teams to ensure that the Bank can undertake business whilst sufficiently mitigating any underlying financial crime risks. Section 4 - Facts / Scale Main interfaces/relationships: Head and Deputy Head of FCC, Front office departments, OAD staff within EMEA. Additionally, EMEA MLROs &amp; RCCO on ad hoc basis. Primary remit: 2nd line activities, as defined by CPD - FCG policies, in relation to financial crime advisory referrals and reviews. To continually risk assess and escalate accordingly when required. Secondary remit: Undertake role of SME for at least one area of financial crime as directed. Provide advice, guidance, assistance and training to EMEA staff in line with SME responsibilities. The AVP role holder will also be required to support the EMEA Head and Deputy Head of FCC with respect to strategic initiatives, in order to ensure that the Bank's financial crime systems and controls framework remains fit for purpose. Section 5 - Accountabilities &amp; Responsibilities <ul> <li>Responding to enquiries from the business in a timely manner. </li> <li>Providing advice and guidance to EMEA front office departments to mitigate financial crime risk associated with regards to current and potential customers and proposed trades / transactions, supplier engagements and corporate hospitality. </li> <li>To review and assess the appropriateness of financial crime related clauses contained within financing documentation/ agreements, to ensure transactions fall within the bank's risk appetite. </li> <li>To assist in the writing of applicable policies and procedures.</li> <li>To escalate effectively to the EMEA Head/Deputy Head of FCC/ Manager of FCC Advisory, any other matters that require further guidance.</li> <li>Identify developing themes, assist in building control frameworks which proactively prevent or detect financial crime. Keep fully apprised of proposed changes to legislation, directives and guidance, and ensure that key points are communicated to Head/Deputy Head of FCC.</li> <li>Collate MI and draft reports in preparation for internal committees. </li> <li>Draft Suspicious Activity Reports (SARs) for submission to the Nominated Officer/MLRO/NCA.</li> <li>In conjunction with CPD Training unit produce and deliver specialist training with regards to financial crime across EMEA.</li> <li>In addition to the normal responsibilities over the department in the EMEA offices, the role holder is responsible for day-to-day provision of services to SMBC London Branch based on the Agreement for the Provision of Services between SMBC London Branch and SMBC BI</li> </ul>Section 6 - Knowledge, Skills, Experience &amp; Qualifications <ul> <li>Understanding and practical ability to apply the management of financial crime risks within the UK Banking environment. </li> <li>Inquisitive, motivated and highly trustworthy with an ability to work with the minimum of direct supervision, experienced in dealing with highly confidential material. </li> <li>Ability to independently conduct reviews of complex referrals </li> <li>Strong analytical skills, capable of making logical assessments based upon factual data.</li> <li>Thorough understanding of the Bank's products and services.</li> <li>Excellent verbal and written communication skills, especially when faced with challenge.</li> <li>Strong ability to appropriately prioritise tasks in a high-risk environment.</li> <li>An International Compliance Association or other recognised professional qualification in financial crime.</li> <li>Ability to acknowledge that there is often a need to be a member of more than one team. Tactful, diplomatic, customer focused individual. </li> <li>Ability to act as financial crime SME on behalf of CPD-FCG.</li> <li>Knowledge of Proceeds of Crime Act 2002, Bribery Act 2010, Fraud Act 2006. </li> <li>Knowledge of the wider financial crime landscape - UK and global.</li> <li>Well organised with excellent ability to prioritise conflicting work whilst retaining an excellent attention to detail.</li> </ul>Section 7 - Challenges The role holder will be required to collate, analyse and summarise a large amount of complex data working in time sensitive situations where attention to detail is critical whilst effectively managing conflicting demands and expectations placed upon them. Section 8 - Dual-Hatting <ol> <li>Dual-Hat Details (only required if different to the employing entity details)</li> </ol> Dual-Hat Job Title: Dual-Hat Line Manager: Dual-Hat Direct Reports: Dual-Hat Certification Regime: <ol> <li>Dual-Hat Roles and Responsibilities </li> </ol> You will be required, from time to time, to undertake tasks on behalf of the dual-hat entity, as necessary. <ol> <li>Dual-Hat Conflict of Interest</li> </ol> <ul> <li>You will have responsibilities for both SMBC BI and Nikko CM</li> <li>You will be required to perform your duties and responsibilities on an entity neutral basis, without favour</li> <li>You are required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of SMBC BI and Nikko CM</li> <li>Working terms are dictated by functional mandates in place between SMBCE and Nikko CM and any other relevant agreements entered into between SMBC BI and Nikko CM</li> <li>You have responsibility for identifying and resolving where there may be a difference or conflict in needs between SMBC BI and Nikko CM, escalating to your manager/Compliance officer where required</li> </ul>We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing our sustainable growth as an organisation. If you're in need of reasonable adjustment to the recruitment process due to disability or long-term condition, just let your recruiter know.

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

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

Operational Risk Manager | Consultant

External Job Description 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 that lead them. We'll broaden your horizons Our Advisory team provide a wide variety of services that deliver value-led advice and outcomes. They have an in-depth knowledge of business, industry sectors and markets and understand the constantly changing risks and opportunities at the heart of affairs. The team work across strategy, operations and improvement as well as at a transactional and defined project level. From technology to risk advisory, they're experts in following through on top-level instructions and resolving the finer details - all in one straight-forward package. When you join them, you'll work on some of the world's most exciting financial operations and business deals, building your experience and expertise alongside the brightest minds in the industry We'll help you succeed Leading organisations trust us because of the quality of our advice. That quality grows from a thorough understanding of their business, and that understanding comes from working closely with them and building long-lasting relationships. You'll be someone who is both comfortable working proactively and managing your own tasks, as well as confident collaborating with others and communicating regularly with senior managers, directors, and BDO's partners to help businesses effectively. You'll be encouraged to identify and draw attention to opportunities for enhancing our delivery and providing additional services to organisations we work with. International Institutions and Donor Assurance (IIDA) works closely with global institutions such as UN agencies, the European Commission, Foundations and other Development Agencies, particularly those involved in international development. IIDA provides assurance services, including financial and systems audits, certifications, internal control assessments, technical assistance, and consultancy services to international institutions The audit manager will take the lead in engagement meetings (virtually and in person). You'll prepare audit plans based on a full understanding of the terms of reference and the applicable grant contractual conditions. You'll coordinate and lead audit teams, write and review audit reports. You'll be someone with: <ul><li>A professional accountancy qualification (ACA / ACCA / CIMA / DEC or equivalent) is preferred</li><li>Excellent verbal and written communication in English and a second language (French/Spanish or German) would be an advantage</li><li>Audit experience</li><li>A genuine interest in international development and this sector</li><li>An ability to communicate in a professional, constructive way</li><li>Proven track record in audit and assurance work</li><li>international travel for assignments (travel can include, but not be limited to, Europe, Africa, Asia and the Middle East)</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 the business. We're committed to agile working, and we offer every colleague the opportunity to work in ways that suit you, your 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 for the companies we work with and satisfying experiences for our colleagues, 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 Manager - International Institutions and Donor Assurance

Join us. Let's care for tomorrow. At Allianz Global Investors we foster a culture of professionalism, fulfilment, and an inclusive working environment. Do you want to be part of a leading active asset management company? Then join us now as a compliance officer in London! You will be part of a strong 3-person Global ISH Disclosures team within the broader Business and Regulatory Compliance function. The ISH team collaborates closely with portfolio managers, product teams, IT functions, Operations, and other Legal &amp; Compliance stakeholders, including key external stakeholders at parent company Allianz SE. The ISH Disclosures team is responsible for the daily monitoring, validation, and submission of time-sensitive regulatory filings, such as Major Shareholding, Short Selling, and Takeover reporting to global regulators. Additionally, the team manages other shareholding-related tasks unique to AllianzGI. What you will do • Conduct and/or review daily shareholder monitoring, data validation, and filing preparation for ISH reporting obligations • Ensure accurate and complete disclosure submissions within prescribed internal and external regulatory deadlines, interpreting and enriching data (in Excel) to validate position movements and provide evidence-based filing submissions • Interpret legal guidance and regulatory changes across various jurisdictions, assess their impact on compliance system logic, and prepare analytical findings for further review with key stakeholders at the parent company • Focus on issue management, advisory support, data and regulatory analysis, project support, and stakeholder management • Work closely with portfolio managers, IT, Operations, Legal &amp; Compliance counterparts, and both internal and external stakeholders within the Allianz group of operating entities and external law firms • Actively participate in various ad hoc meetings and projects • Maintain procedures and management information metrics • Assist with training and oversee new team members • Onsite Presence - be at the office the majority of time, at least 3 days per week What you bring • 3-5 years' experience working in the asset management industry, or a similar data-driven regulatory reporting role • Exposure to Bloomberg or similar trading platforms • Familiarity with the EU Transparency Directive • Familiarity with exception/alerts-based compliance systems • Microsoft Excel and Word proficiency (using VLOOKUP's, sum and other formulas) • Stakeholder Management experience • Fluency in English (must have); German or French (beneficial) • Strong numerical, analytical and presentation skills • Strong attention to detail required (zero breach focus) • Pro-active approach to issue resolution, ability to work independently • Strong communication skills and an innovative mindset to support the continued streamlining and automation of the function What we offer • Investments for the future: Access to pension/ savings plans/ Allianz products • Shared success: Company share purchasing plan • Support for what matters: Mental health and wellbeing programs • Investments in your career: Career opportunities within the entire Allianz Group • Investments in your skills: Comprehensive learning and development offerings, including certifications and professional qualifications • ... and so much more! About Allianz Global Investors Allianz Global Investors is a leading global active asset manager. We invest for the long term and want to create value for clients every step of the way. We do this by being active - in how we partner with clients and anticipate their needs, and build solutions based on capabilities across public and private markets. Our focus on enhancing our clients' assets leads naturally to a commitment to sustainability for positive change. Our goal is to enhance the investment experience for clients, whatever their location or goals. Putting our clients' needs first, behaving in a transparent way and treating people fairly means acting with integrity. We encourage a collegial culture, that supports individual responsibility. We invest in the development of our employees to maximize the power of innovation. We at Allianz believe in a diverse and inclusive workforce, we are committed to the principles of Equal Employment Opportunity and to helping applicants with any disabilities. We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in. We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation. Great to have you on board. If you feel inspired to promote the active asset management experience, this is the place for you. Join our diverse, international, technology-enabled, and agile environment. Simply upload your CV in English to apply for this position! If you need support to navigate our websites or at any stage during your application, please send an email with your request to <a href="mailto:recruiting@allianzgi.com" target="_blank">recruiting@allianzgi.com</a> To Recruitment Agencies: Allianz Global Investors has an in-house recruitment team that sources great candidates directly. Therefore, Allianz Global Investors does not accept unsolicited resumes from agency or search firm recruiters. When we do work with recruitment agencies, that engagement is formalized by a contract. Fees will only be paid when there is a contract in place. Without a contract in place, we will not accept invoices on unsolicited resumes, even if the candidate was ultimately employed by Allianz Global Investors. Finally, please do not contact hiring managers directly. 54158 | Legal &amp; Compliance | Professional | n.a. | Allianz Global Investors | Full-Time | Permanent

Compliance Officer for Important Shareholding Disclosures (ISH) - AVP/VP

Starr Insurance Companies is a leading insurance and investment organization, providing commercial property and casualty insurance, including travel and accident coverage, to almost every imaginable business and industry in virtually every part of the world. Cornelius Vander Starr established his first insurance company in Shanghai, China in 1919. Today, we are one of the world's fastest growing insurance organizations, capable of writing in 128 countries on 6 continents. Role Purpose To support the UK Head of Compliance develop and deliver the Compliance Plan ensuring all relevant regulatory requirements are identified and implemented and making sure the Compliance function operates effectively. Roles and Responsibilities Regulatory <ul><li>Take the lead in maintaining existing company licenses and prepare applications for licenses in new jurisdictions.</li><li>Engage with business to ensure Compliance policies/procedures are understood and embedded accordingly and stakeholders are aware of applicable regulatory and legal developments.</li><li>Take the lead representing Compliance on key business projects.</li><li>Assist with the compiling compliance reporting and management information to relevant committees.</li><li>Support the delivery of external regulatory reporting undertaken by Compliance to ensure it is prepared accurately and submitted in a timely manner.</li><li>Analyzing Line 1 management information, key performance indicators and risk metrics to identify any potential indicators which increase Starr's regulatory exposure.</li><li>Keep up to date with external regulatory developments to identify impact to Starr London.</li><li>Support with maintaining Compliance owned policies, procedures, and risk assessments.</li><li>Assist with the delivery of the face-to-face UK Compliance Induction training.</li><li>Advise internal stakeholders on management of potential conflicts.</li></ul>Conduct and Product Governance <ul><li>Performing a Line 2 Compliance review of new and existing binding authority products.</li><li>Review draft complaint final response letters and providing guidance and sign-off to third-parties.</li><li>Liasing with Line 1 Claims team in overseeing Delegated Claims Authority (DCA) conduct related performance.</li><li>Providing Line 2 Compliance advice and independent challenge as part of the product approval process in reviewing fair value assessments, product submissions and customer journey.</li></ul>Financial Crime <ul><li>Assist with completing pre- and post-bind sanctions screening checks.</li><li>Advise internal stakeholders on financial crime related queries including sanctions.</li></ul>Experience <ul><li>Relevant experience in the insurance industry.</li><li>Familiarity with compliance requirements in the Lloyd's market.</li><li>Experience in providing advice and assurance on compliance matters including licencing, sanctions and conduct risk related matters.</li></ul>Skills <ul><li>Commercial acumen and application of regulatory compliance</li><li>Planning and organisational skills.</li><li>Strong communication skills both written and oral.</li><li>Relationship Building both internal and external.</li><li>Professional business writing and presentation skills.</li><li>Judgement and decision making.</li><li>Ability to act with due professional care, demonstrating sound integrity and confidentiality.</li><li>Analytical thinking - explores and understands trends, opportunities and risks that could affect the business.</li></ul>Systems &amp; IT <ul><li>MS Office - Excel, Visio, Word, PowerPoint, and Outlook; and</li><li>Adaptability of working with various business and reporting tools including Power BI.</li></ul>Starr is an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and we're committed to creating an inclusive environment for all employees. We offer first class training and development opportunities to all employees. Our aim is to grow our own talent and bring out the best in people.

Senior Compliance Analyst (FTC)

Compliance Compliance Assistant Location: Marble Arch, London The Prax Group is a British multinational independent production, refining, storage, distribution and sales conglomerate dealing in crude oil, petroleum products and biofuels, headquartered in Weybridge, Surrey. Our mission is to conduct business responsibly, placing excellence, integrity, and philanthropy at the heart of everything we do. The Prax Group's core business is production, refining, logistics, and integrated supply and optimisation; our assets and investments complement and enhance these activities. The Group has over 1,500 employees in 6 offices across the world. The Group's downstream marketing and distribution businesses carry the Harvest Energy brand. Its midstream and upstream businesses, including production, refining, and blending, carry the Prax brand. The Group is collectively identified as the Prax Group. The Legal &amp; Compliance Department is part of Central Services located in Prax Headquarters in Weybridge, Surrey. As the Compliance Assistant for the Prax group, you will be reporting to the Group Ethics &amp; Compliance Officer as part of the Legal and Compliance Department. Also, you will be assisting with performing customer due diligence checks on a wide range of businesses in the UK and internationally. Duties to include but not limited to: <ul> <li>Anti-Money Laundering - assisting with implementing and conducting Know Your Customer (KYC) process at Prax, and assisting with requests for KYC about the group</li> <li>Provide compliance support via close proximity to the dynamic and fast moving IS&amp;T, Risk &amp; Corporate Finance teams. </li> <li>Performing due diligence checks on new and existing counterparties to identify risks and ensure compliance with applicable laws and regulations.</li> <li>Provide on-site compliance support to the centrally located wider Group Legal team. </li> <li>Maintain accurate records of compliance activities, including counterparties documentation and compliance reports, to ensure audit readiness. </li> <li>Compliance policies - assisting with creating, implementing, and keeping up to date a group Code of Conduct and compliance polices </li> <li>Compliance training - assisting with set up and implement the online training program for the whole Prax group</li> <li>Keeping up-to-date all compliance registers </li> <li>Data Protection - assisting with all GDPR related matters </li> <li>Other ad-hoc compliance related duties</li></ul>Qualifications, character and experience: <ul> <li>2 years of experience with AML compliance</li> <li>Ability to meet demanding deadlines, often with competing priorities, and adapts to business needs</li> <li>Interest in process improvement and implementation of change</li> <li>Advanced MS Office skills</li> <li>Oil industry experience would be an advantage</li></ul><ul> <li>Excellent time management/organisational and multi-tasking skills</li> <li>Possess strong analytical skills</li> <li>Strong communication skills </li> <li>Flexible and adaptable in approach</li> <li>5 days a week in the office</li></ul>Join Talent Community

Compliance Assistant

Company Description Checkout.com is one of the most exciting fintechs in the world. Our mission is to enable businesses and their communities to thrive in the digital economy. We're the strategic payments partner for some of the best known fast-moving brands globally such as Wise, Hut Group, Sony Electronics, Homebase, Henkel, Klarna and many others. Purpose-built with performance and scalability in mind, our flexible cloud-based payments platform helps global enterprises launch new products and create experiences customers love. And it's not just what we build that makes us different. It's how. We empower passionate problem-solvers to collaborate, innovate and do their best work. That's why we're on the Forbes Cloud 100 list and a Great Place to Work accredited company. And we're just getting started. We're building diverse and inclusive teams around the world - because that's how we create even better experiences for our merchants and our partners. And we need your help. Join us to build the digital economy of tomorrow. Job Description Checkout.com is actively looking for a driven and agile Manager, Finance Risk and Controls to join our growing Finance team! Working as part of our Finance function, you'll be a key player partnering with Product, Engineering and Finance teams to document, review and assess the end to end flows for our products, to address the risks associated with financial reporting. Evolving in a high-pace and multifaceted environment, meticulous attention to detail will be key. The ideal candidate will be a dedicated, laser-focused and highly organised individual, not shying away from high volume of work. You must be a teammate when it comes to getting the job done and assisting wherever you can. How you'll make an impact: <ul><li>Help document, challenge and build an end to end view of our customer flow control environment to illustrate key risks, controls and processes that impact group financial statements. Your focus will be on the 'upstream' activities, which includes the complex services built by Checkout.com to provide our Merchants with best in class payment processing services.</li><li>Complete testing in line with programmed schedules to independently assess controls to identify gaps and implement remediation plans for upstream activities. You'll work with the Finance Risk and Controls Director to agree on the identified gaps, and suggestions for improvement.</li><li>Effectively support and challenge the product engineering, operational and group finance teams on their journey to evolve and mature our risk and control environment.</li><li>Partner with both finance and non-finance teams as needed to address risks and controls related to financial reporting. You'll need to build strong effective relationships across the organisation to help us meet our goals.</li><li>Work closely with finance teams to help guide and deliver on control design improvements. We love automation and our engineers will need your help to design the most efficient controls.</li><li>Keep on track of Finance Risk and Control findings and also monitor the progress for internal and external audit actions to ensure they're completed on time and actions are adequate to mitigate the risks identified.</li></ul>Qualifications What we're looking for: <ul><li>A professional finance qualification such as the ACA or equivalent with at least 2-3 years post qualification experience.</li><li>You're keen to learn more about Fintechs and the inner workings of an organisation dealing with high volume transactions.</li><li>Demonstrable experience managing audit fieldwork preferably within Financial services.</li><li>You have been the key client contact managing day-to-day client queries across various engagements.</li><li>You're not afraid to roll up your sleeves and take responsibility to do whatever needs doing to solve problems. You take a proactive approach in resolving complex issues. We get it done!</li><li>Able to take a balanced approach to risk and controls to support the growth of the business.</li><li>You work well in a multinational team environment, and know how to have an impact through others.</li><li>A keenness to learn and develop your knowledge of how a Fintech and fast growing scale-up operates.</li></ul>Additional Information Apply without meeting all requirements statement If you don't meet all the requirements but think you might still be right for the role, please apply anyway. We're always keen to speak to people who connect with our mission and values. We believe in equal opportunities We work as one team. Wherever you come from. However you identify. And whichever payment method you use. Our clients come from all over the world - and so do we. Hiring hard-working people and giving them a community to thrive in is critical to our success. When you join our team, we'll empower you to unlock your potential so you can do your best work. We'd love to hear how you think you could make a difference here with us. We want to set you up for success and make our process as accessible as possible. So let us know in your application, or tell your recruiter directly, if you need anything to make your experience or working environment more comfortable. We'll be happy to support you. Take a peek inside life at Checkout.com via <ul><li>Our Culture video <a href="https://youtu.be/BEwnpHuadSw" target="_blank">https://youtu.be/BEwnpHuadSw</a></li><li>Our careers page <a href="https://www.checkout.com/careers" target="_blank">https://www.checkout.com/careers</a></li><li>Our LinkedIn Life pages bit.ly/3OaoN1U </li><li>Our Instagram<a href="https://www.instagram.com/checkout_com/" target="_blank">https://www.instagram.com/checkout_com/</a></li></ul>Apply without meeting all requirements statement If you don't meet all the requirements but think you might still be right for the role, please apply anyway. We're always keen to speak to people who connect with our mission and values. We believe in equal opportunities We work as one team. Wherever you come from. However you identify. And whichever payment method you use. Our clients come from all over the world - and so do we. Hiring hard-working people and giving them a community to thrive in is critical to our success. When you join our team, we'll empower you to unlock your potential so you can do your best work. We'd love to hear how you think you could make a difference here with us. We want to set you up for success and make our process as accessible as possible. So let us know in your application, or tell your recruiter directly, if you need anything to make your experience or working environment more comfortable. We'll be happy to support you. Take a peek inside life at Checkout.com via <ul><li>Our Culture video <a href="https://youtu.be/BEwnpHuadSw" target="_blank">https://youtu.be/BEwnpHuadSw</a></li><li>Our careers page <a href="https://www.checkout.com/careers" target="_blank">https://www.checkout.com/careers</a></li><li>Our LinkedIn Life pages bit.ly/3OaoN1U </li><li>Our Instagram<a href="https://www.instagram.com/checkout_com/" target="_blank">https://www.instagram.com/checkout_com/</a></li></ul>Videos To Watch <a href="https://youtu.be/BEwnpHuadSw" target="_blank">https://youtu.be/BEwnpHuadSw</a>

Manager, Finance Risk and Controls

The Opportunity: The Analyst, Surveillance &amp; Monitoring Compliance will work with ACA Mirabella's Risk and Compliance team to support the Firm's regulatory objectives to counter the risk of market abuse, financial crime and/or other conflicts as they may arise from time-to-time. What you'll do: Support the onboarding of new clients to ACA Mirabella's regulatory hosting platform with a focus on deploying market abuse trade surveillance and e-comm's surveillance tools. Working with the Risk and Compliance functions to prepare market abuse risk assessments. Conduct trade and e-comms monitoring activities. Work with key stakeholders to identify and investigate suspicious trading activity. Keep abreast of and update key stakeholders with respect to regulatory developments in the area of market abuse, financial crime, and sanctions. Conduct "Best Execution" monitoring with the aim of identifying specific outliers and discussing these with key stakeholders. Where required support the implementation of new market abuse trade surveillance and e-comms software. To qualify for the role you must have: <ul> <li>Experience working in the Financial Sector</li> <li>Degree educated or MQF Level 6 qualification in a relevant field</li></ul>Ideally, you'll also have: <ul> <li>STEM subjects</li> <li>Basic knowledge in financial products, hedge fund trading strategies and the regulatory environment</li></ul>Skills and attributes for success: <ul> <li>Demonstrated professional integrity.</li> <li>Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.</li> <li>Ability to exercise discretion and make independent judgments on matters of significance.</li> <li>Ability to work in a fast-paced small team environment.</li> <li>Ability to establish and maintain effective working relationships with colleagues and clients.</li> <li>Highly motivated and goal oriented; pro-active in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.</li> <li>Dedicated to upholding ACA's high-quality standards and customer service focus.</li> <li>Strong organizational and problem-solving skills with attention to detail.</li> <li>Strong oral and written communication skills.</li> <li>Proficient with Microsoft Office applications and comfortable working in a tech enabled environment</li></ul>What working at ACA offers: We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering. About ACA: ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. What we commit to: ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.

Analyst, Surveillance and Monitoring Compliance

Our mission is to enable everyone to build wealth We are reinventing how trading and investing work by creating exceptional products that people love. Fostering a culture of excellence and high velocity is the key to our success. Over the past few years, our client base has grown 20 times to over 3 million, and client assets have grown over 50 times to over €4 billion. What you'll do: <ul><li>Work closely with the wider Compliance team and the business to help build a best-in-class compliance program.</li><li>Provide compliance oversight of investing products and processes through monitoring and periodic reviews to ensure they deliver good customer outcomes.</li><li>Provide compliance advice on current and future products and services across the business, as well as overarching compliance requirements.</li><li>Participate in compliance projects within cross-functional teams to deliver change and ensure compliance with regulatory requirements.</li><li>Review or advise on higher risk or complex financial promotions to ensure fair outcomes.</li><li>Prepare and maintain compliance policies and procedures, ensuring they are up-to-date and effectively implemented.</li><li>Contribute to broader team efforts to continually enhance controls.</li><li>Stay updated with regulatory developments and initiatives impacting retail investment firms</li></ul>What you need to have: <ul><li>Proven experience in compliance, preferably within the financial services or investment industry.</li><li>Detailed knowledge in UK regulatory requirements and best practices in compliance.</li><li>Educated to degree level in Law, Finance, or a related field.</li><li>Excellent communication and interpersonal skills.</li><li>Ability to work under pressure and be adaptable.</li></ul>What we offer: <ul><li>Challenges that will help you grow and realise your potential fast.</li><li>Opportunity to make a big impact - you will build innovative services used to build wealth by millions of investors.</li><li>Work with smart, spirited, helpful, high-performing colleagues with a common goal.</li><li>An environment where nothing is set in stone.</li><li>Appreciation for your talent and ideas.</li><li>Generous remuneration package including annual bonuses.</li></ul>Are you ready to accelerate your career with us? We'd love to hear from you! We thank all applicants, but only candidates selected for an interview will be contacted. All personal data of applicants is protected by the law and will be treated with strict confidentiality.

Compliance Officer

Description Position at WorldFirst What you'll do: <ul><li>In depth understanding of e-wallet function, local market, and perform analysis of payment products, promotion activities and other account activities; keep up with business development and changes, conduct regular risk assessments, identify potential fraud risk and implement proper controls to prevent dishonest activities;</li><li>Leveraging quantitative methods to quickly identify fraud events through in-depth analysis of historical data, develop, design and implement complete data-driven risk management framework, strategy and model to mitigate fraud risk in the real time;</li><li>Review and investigate suspected / fraud cases, liaise with law enforcement as needed, and work with functional units to identify gaps, develop and strengthen fraud mitigation strategies; </li><li>Identify new fraud and cybercrime threats to the payment systems, continuous refinement of internal control framework, policies and procedures, fraud management engine to mitigate fraud risks in relation to the operation of payment systems;</li><li>Create various analytical reports and present to management team;</li><li>Assist in team management and continuously improve team professional capability and risk awareness.</li></ul>What we're looking for: <ul><li>University degree in computer science, mathematics, statistics, management science or similar disciplines; </li><li>Well versed in SQL, SAS, Python, R or similar tools. Practical experience in data mining / machine learning will be favorably considered;</li><li>At least 3 years' experience in the financial industry or a consultancy firm in risk management; (Feel free to apply this position if you have longer work experience, we will match the grade and title)</li><li>Fast-learning, highly motivated and able to work independently and under pressure in a dynamic industry;</li><li>Adaptable and able to work well in a fast paced, team-oriented environment;</li><li>Fluent in Mandarin and excellent command of both spoken and written English.</li></ul>WorldFirst is proud to be an equal opportunity employer. We are passionate about creating a diverse and inclusive workplace where our people feel that they belong and can reach their full potential. We believe our differences are our strengths and are committed to recruiting, developing and retaining a team from a variety of backgrounds, perspectives, and skills. We encourage applications from all individuals regardless of race, age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, religion or belief, and marriage and civil partnership.

Senior analyst - Risk Management

Job Description In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity-not just answers-in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you'll contribute to a supportive and collaborative work environment that empowers you to excel. Through a combination of in-depth subject matter expertise, global research capabilities and flexible technology tools, the Compliance Risk and Diligence practice of Kroll helps clients take a risk-based approach toward meeting obligations or remediating failures regarding anti-bribery, anti-corruption and related regulatory mandates. These include pre-transactional intelligence; vendor, supplier and distributor due diligence; vendor management platform; leadership/executive vetting; sanctions screening and monitoring; country/industry risk; and bespoke inquiries. At Kroll, your work will help deliver clarity to our clients' most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll. RESPONSIBILITIES: Have an analytical mind and enthusiasm for research and investigation? Come join our thriving global team and work with Fortune 500 clients in a highly collaborative, fast-paced environment! We are committed to the continuous professional support and development of our people; hone your skills and master new ones with the support of a world-class in-house training program. Become a regional specialist, learn to lead, deepen your linguistic abilities, build technical expertise--the opportunities are endless. The right candidate will have outstanding English reading and writing skills, meticulous attention to detail, a sense of curiosity, the ability and enthusiasm to learn quickly, and a dedication to client satisfaction. Fluency in other languages is a plus. Responsibilities include: <ul> <li>Review due diligence reports to ensure that they are presented in a well-structured, logical and objective manner and that they address the clients' central questions.</li> <li>Provide training and support to the research team on a range of matters including online research, report writing, case management and human source enquiries.</li> <li>Support the development of Kroll CR&amp;D by managing and retaining relationships with a number of existing clients.</li> <li>Support marketing initiatives by attending networking events and presenting at seminars.</li> <li>Be a respected sounding board on all work-related issues, demonstrating leadership and team management ability.</li> <li>Understand and comply with UK, European &amp; US regulations relating to confidentiality and data protection. </li> <li>Gain an in-depth understanding of other legal systems and implications of working across jurisdictions.</li> <li>Ability to prioritize projects and assignments whilst meeting tight and demanding deadlines.</li> <li>Identify own learning needs and opportunities and continuously seek to improve case-work performance.</li></ul>REQUIREMENTS: <ul> <li>Extensive experience in a reputable professional or financial services firm, or from an investigative/research intensive organization</li> <li>Experience in project managing investigative/research cases and/or investment advisory</li> <li>Ability to drive forward and co-ordinate a number of concurrent projects and tasks, managing own time to deliver against competing demands</li> <li>Proven ability to research relevant markets, analyze information and clearly identify commercial opportunities</li> <li>Proven experience of delivering Business Development in an international professional service environment with a strong and active personal network</li> <li>Commercial understanding of both developed and emerging markets.</li> <li>Managerial level report writing skills</li> <li>Presentation and client relationship skills</li> <li>Strong interviewing and listening skills, essential for case-work development</li> <li>A highly professional and commercial approach to problem solving.</li> <li>A strong team work ethic and excellent people skills</li> <li>Demonstrate strong leadership skills and flexible management style to support a talented multi-cultural team of aspirational case managers and research analysts</li> <li>Be up to date with the latest information products, technologies and understand the implications of these technologies for information and web-enabled businesses and their customers</li> <li>Understand the importance of market and customer research and enjoy identifying new opportunities through market focus</li> <li>Excellent written and verbal communication skills that help represent diverse communities</li> <li>Experience working with diverse teams</li></ul>Kroll offers flexible working options, a great benefits package and excellent opportunities for career and personal development. In order to be considered for a position, you must formally apply via careers.kroll.com. Kroll is committed to equal opportunity and diversity, and recruits people based on merit. #LI-VH1

Manager II, Compliance Risk and Diligence

Syndicate Compliance Manager Department: Compliance Employment Type: Permanent - Full Time Location: London Reporting To: Simon Jenvey Description Are you an experienced Insurance Compliance professional looking for an exciting new challenge, where you can have your ideas heard and ultimately influence shaping the compliance framework of our incredible business? CFC is a specialist insurance provider and a pioneer in emerging risk. We have a track record of disrupting inefficient insurance markets, and we use proprietary technology to deliver high-quality products to market faster than the competition while making it easier for brokers to do business. What does that mean for a Compliance function? With the inception of CFC's Syndicate 1988 in 2021, the business now requires a Syndicate Compliance Manager to deliver the requirements specified by the turnkey managing agent. About the role The Syndicate Compliance Manager will be responsible for implementing and delivering policies, processes and reporting outputs aligned with the MA requirements. Other requirements of the role will include but not limited to: <ul><li>Supporting the Compliance director to work with the MA of CFC Syndicate 1988 to ensure the Syndicate operates in accordance with FCA requirements</li><li>Support the relationship with the MA including preparation for CFC Syndicate 1988 and internal CFC Board and Committee meetings</li><li>Ensure CFC complies with all MA governance requirements, policies, procedures, training, disclosure, management information and reporting requirements</li><li>Support the Compliance Director in the preparation of the Compliance and Risk Report for CFC Group, and the preparation of the supporting pack. </li></ul>About you The ideal candidate will have strong technical knowledge of the FCA handbook and / or Lloyds Principles, alongside the application of principles based regulatory framework. You must have experience working in the London market either with a managing agent, insurer, broker or MGA. A candidate with experience working with delegated authorities and regulators (particularly Lloyd's focused) would be highly regarded. Core Values Love what you do: We show up each day ready to take on the world. Our passion and intensity set us apart and makes the difference to our colleagues, customers, brokers and carriers. Challenge everything: We're never afraid to question the way that things are done and we constantly challenge ourselves and others to makes things better. Have fun, be good: Insurance is a serious business, but we don't take ourselves too seriously. We make it fun to work at CFC, we welcome all viewpoints, and we treat everyone how we would expect to be treated.

Syndicate Compliance Manager

About the role This is a fantastic opportunity to join Tesco's Cyber Risk function to lead the end-to-end delivery of high quality testing and assessment activities related to IT General Controls (ITGCs) and Application Controls (ITACs) in support of our Internal Controls over Financial Reporting (ICFR) management assurance/attestation programme. You will be responsible for - Lead IT controls testing for assigned portfolio of controls/stakeholders to deliver to agreed time and quality standards - Perform IT risk assessments for new technologies, draft IT process narratives and build Risk and Control Matrices - Review ITGC testing in areas such as Access Management, Change and Release Management, Incident Management, for a broad range of technologies ranging from mainframes to cloud based applications. - Review the assessments performed over automated controls and key reports across multiple business processes such as Procure-to-Pay, Order-to-Cash, Financial Statement Close Process, etc. - As required, support ITGC testing activities in areas such as Access Management, Change and Release Management, Incident Management and SOC Report Reviews as well as testing of IT Application Controls (ITACs), IT Dependent Manual Controls (ITDM) and Key Reports" - Assess the impact of deficient controls and lead the assessment of compensating controls. - Build, communicate, measure and optimize the remediation plan for deficient controls. - Support IT risk/control owners in understanding their ICFR responsibilities. - Manage stakeholder relationship and lead internal meetings with Technology and Business Process teams. You will need - Strong experience with SOX / IT Internal Controls audit, implementation and design improvement - Strong knowledge of IT auditing concepts and principles alongside understanding of IT General Controls, IT Automated Controls and IT-Dependent Controls - Experience in performing IT risk assessments and building Risk and Control Matrices for a broad range of technologies. - Knowledge of Financial Reporting, Corporate Governance and core financial end to end processes such as Customer to Cash, Procure to Pay, Record to Report - SME level expertise in respect to information security (at least two domains of expertise) risk management processes, frameworks and regulatory aspects - Experience of managing workstreams to deliver in line with time/quality expectations - Able to adapt to suit the needs of the business and agile in approaching challenging scenarios - Able to interpret and explain broader business risks to technology colleagues (and technology risks to business colleagues) - Able to lead meetings with a broad range of internal and external stakeholders - Strong written, verbal communication and presentation skills - ability to pitch to different levels of seniority and disciplines within the organisation - Critical thinking with strong attention to detail and good organisational skills - Able to build solid working relationships with peers as well as internal and external stakeholders - Able to work with teams from differing backgrounds across multiple locations What's in it for you We're all about the little helps. That's why we give our wonderful colleagues bags of benefits. Including wellbeing services, an award-winning pension scheme and much, much more, our colleague reward package keeps on giving. And helps make every day a little better for you and your family. These include but are not limited to: <ul> <li>Annual bonus scheme of up to 20% of base salary</li> <li>Holiday starting at 25 days plus a personal day (plus Bank holidays)</li> <li>Buy holiday salary sacrifice scheme (for salaried roles)</li> <li>Private medical insurance</li> <li>Retirement savings plan - save between 4% and 7.5% and Tesco will match your contribution</li> <li>Life Assurance - 5 x contractual pay</li> <li>26 weeks maternity and adoption leave (after 1 years' service) at full pay, followed by 13 weeks of Statutory Maternity Pay or Statutory Adoption Pay, we also offer 4 weeks fully paid paternity leave</li> <li>The right to request flexible working from your first day with us</li> <li>Free 24/7 virtual GP service, Employee Assistance Programme (EAP) for you and your family, free access to a range of experts to support your mental wellbeing</li> <li>A Colleague Clubcard for you &amp; a family member (after 3 months of service), giving you access to lots of discounts in-store &amp; online</li> <li>Great colleague deals and discounts, saving you money on everyday purchases, eating out and utility bills for the home</li> <li>Access to our colleague networks providing a space for colleagues to come together from a range of backgrounds. For more information about our colleague networks please click here </li> <li>Opportunities to get on - take advantage of our ongoing learning opportunities and award-winning training, to help you achieve the job and career you want</li> </ul>Click Here to read more about the full range of benefits we have available for our colleagues About us Our vision at Tesco is to become every customer's favourite way to shop, whether they are at home or out on the move. Our core purpose is 'Serving our customers, communities and planet a little better every day'. Serving means more than a transactional relationship with our customers. It means acting as a responsible and sustainable business for all stakeholders, for the communities we are part of and for the planet. We are proud to have an inclusive culture at Tesco where everyone truly feels able to be themselves. At Tesco, we not only celebrate diversity, but recognise the value and opportunity it brings. We're committed to creating a workplace where differences are valued, and make sure that all colleagues are given the same opportunities. We're proud to have been accredited Disability Confident Leader and we're committed to providing a fully inclusive and accessible recruitment process. For further information on the accessibility support we can offer, please click here . We're a big business and we can offer a range of diverse full-time &amp; part-time working patterns across our many business areas, which means that we can find something that works for you. We work in a more blended pattern - combining office and remote working. Our offices will continue to be where we connect, collaborate and innovate. If you are applying internally, please speak to the Hiring Manager about how this can work for you - Everyone is welcome at Tesco.

Technology Risk And Compliance Manager

About the role This is a fantastic opportunity to join Tesco's Cyber Risk function to assess IT General Controls (ITGCs) and Application Controls (ITACs) in support of our Internal Controls over Financial Reporting (ICFR) management assurance/attestation programme. You will be responsible for - Execute IT controls testing for assigned portfolio of controls/stakeholders to deliver to agreed time and quality standards - Perform ITGC testing activities in areas such as Access Management, Change and Release Management, Incident Management and SOC Report Reviews - Test IT Application Controls (ITACs), IT Dependent Manual Controls (ITDM) and Key Reports - Assess the impact of deficiencies in ITGC and automated control testing on financial reporting - Support the ICFR Technology manager in determining appropriate actions to remediate control deficiencies identified from testing - Learn Tesco's business processes to be more effective in assessing the impact of ineffective controls and designing remediation activities. You will need - Experience with SOX / IT Internal Controls audit, implementation and design improvement - Strong knowledge of IT auditing concepts and principles alongside understanding of IT General Controls, IT Automated Controls and IT-Dependent Controls - Good understanding of business drivers and how they impact technology - Good hands-on understanding of information security domains and assurance frameworks - Good written and verbal communication and presentation skills - Experience in hands-on deliver of IT audit and/or assurance work What's in it for you We're all about the little helps. That's why we give our wonderful colleagues bags of benefits. Including wellbeing services, an award-winning pension scheme and much, much more, our colleague reward package keeps on giving. And helps make every day a little better for you and your family. These include but are not limited to: <ul> <li>Annual bonus scheme of up to 20% of base salary</li> <li>Holiday starting at 25 days plus a personal day (plus Bank holidays)</li> <li>Buy holiday salary sacrifice scheme (for salaried roles)</li> <li>Private medical insurance</li> <li>Retirement savings plan - save between 4% and 7.5% and Tesco will match your contribution</li> <li>Life Assurance - 5 x contractual pay</li> <li>26 weeks maternity and adoption leave (after 1 years' service) at full pay, followed by 13 weeks of Statutory Maternity Pay or Statutory Adoption Pay, we also offer 4 weeks fully paid paternity leave</li> <li>The right to request flexible working from your first day with us</li> <li>Free 24/7 virtual GP service, Employee Assistance Programme (EAP) for you and your family, free access to a range of experts to support your mental wellbeing</li> <li>A Colleague Clubcard for you &amp; a family member (after 3 months of service), giving you access to lots of discounts in-store &amp; online</li> <li>Great colleague deals and discounts, saving you money on everyday purchases, eating out and utility bills for the home</li> <li>Access to our colleague networks providing a space for colleagues to come together from a range of backgrounds. For more information about our colleague networks please click here </li> <li>Opportunities to get on - take advantage of our ongoing learning opportunities and award-winning training, to help you achieve the job and career you want</li> </ul>Click Here to read more about the full range of benefits we have available for our colleagues About us Our vision at Tesco is to become every customer's favourite way to shop, whether they are at home or out on the move. Our core purpose is 'Serving our customers, communities and planet a little better every day'. Serving means more than a transactional relationship with our customers. It means acting as a responsible and sustainable business for all stakeholders, for the communities we are part of and for the planet. We are proud to have an inclusive culture at Tesco where everyone truly feels able to be themselves. At Tesco, we not only celebrate diversity, but recognise the value and opportunity it brings. We're committed to creating a workplace where differences are valued, and make sure that all colleagues are given the same opportunities. We're proud to have been accredited Disability Confident Leader and we're committed to providing a fully inclusive and accessible recruitment process. For further information on the accessibility support we can offer, please click here . We're a big business and we can offer a range of diverse full-time &amp; part-time working patterns across our many business areas, which means that we can find something that works for you. We work in a more blended pattern - combining office and remote working. Our offices will continue to be where we connect, collaborate and innovate. If you are applying internally, please speak to the Hiring Manager about how this can work for you - Everyone is welcome at Tesco.

Technology Risk And Compliance Analyst

Our client is a Managed Services company founded in the UK. Our team are building to increase consumer and enterprise value across the rapidly growing regulated industry sector by redefining approaches to automation, analytics, and improved tooling. Reporting to the Chief Executive Officer, the Compliance Officer is responsible for ensuring that our client meets its regulatory, governance and International Standards Organisation (ISO) obligations in a robust, timely and methodical fashion and that internal policies and procedures are adhered to and adapted to support the business in its compliance activities. Areas of compliance include: • ISO 27001, GDPR, Telecommunications Regulation • Business Process and Procedures such as ITIL As our compliance officer you'll be tasked to: • review marketing materials, presentations and websites to ensure compliance with regulatory requirements • assist in the gathering of internal information in response to regulatory requests • perform various general administrative duties (such as file creation and maintenance of ongoing process/policy documentation) • Assist in distributing and preparing the documentation and compliance reports to senior executives The Compliance Officer is a member of the our clients managed services team and will regularly collaborate across the group as a domain expert to contribute to the successful delivery of our clients strategic and operational goals. Key Accountabilities &amp; Activities 1 Undertake daily, weekly, monthly Compliance and Regulatory activities including: • Perform risk assessments to understand risk level, significance and scope • Keep up to date with, and understand, relevant laws and regulations • Monitor compliance in line with laws, regulations and internal policies • Manage voluntary best practice relating to professional standards • Ensure that your findings are recorded and followed up with management so that issues can be rectified • Contribute and develop reporting dashboards • Conduct regular risk analysis, providing viable solutions for identified threats &amp; risks. • Maintain accurate records and documentation related to GDPR (included but not limited to DPIAs, ROPA, Incident Response, DSARs, and other data protection issues that may arise) 2 To help identify, prioritise and effectively manage compliance requirements as part of the broader team and through stakeholder engagement. • Build relationships with stakeholders to identify Regulatory and Compliance requirements and develop a level of knowledge to meet the specific objectives • Assisting in educating employees on not only the regulations, but also the impact on the organisation if these aren't complied with • Investigate irregularities and non-compliance issues • Assisting in reporting back to business functions on current risk and compliance performance • Highlight or escalate areas of concern • Contribute to robust and effective compliance controls within the organisation 3 Liaise &amp; support other teams on related security issues including: • Create tools and methodologies that will make Compliance activities more robust and reliable. • Actively take part in regulatory and compliance review meetings • Contribute towards development of guidance documentation &amp; training for employees &amp; end users, if required. • Generate reports, documentation, and insight for a range of staff &amp; stakeholders as required 4 Undertake ad-hoc projects and other activities as required Essential Qualifications / Certifications 1. Diploma in Governance, Risk &amp; Compliance 2. Formal training of ISO/GDPR/GRC Desirable: 3. Certified Information Security Manager (CISM) certification 4. BSc (Hons) in a relevant field Experience &amp; Skills 1. ISO 27001 2. GDPR Compliance 3. ITIL 4. Analysing and Presenting data using data analysis tools Desirable: 5. Proven experience of ISO9001 6. Knowledge of Telecommunications Regulation

Responsibilities TikTok is the leading destination for short-form mobile video. At TikTok, our mission is to inspire creativity and bring joy. TikTok's global headquarters are in Los Angeles and Singapore, and its offices include New York, London, Dublin, Paris, Berlin, Dubai, Jakarta, Seoul, and Tokyo. Why Join Us Creation is the core of TikTok's purpose. Our platform is built to help imaginations thrive. This is doubly true of the teams that make TikTok possible. Together, we inspire creativity and bring joy - a mission we all believe in and aim towards achieving every day. To us, every challenge, no matter how difficult, is an opportunity; to learn, to innovate, and to grow as one team. Status quo? Never. Courage? Always. At TikTok, we create together and grow together. That's how we drive impact - for ourselves, our company, and the communities we serve. Join us. TikTok's Content and Safety Compliance team is a European team responsible for independently assuring TikTok's compliance with its obligations under the Digital Services Act. The team has a critical role in leading change, monitoring compliance/assurance, risk management and the team supervises an independent external audit. The team will evolve to also play a role in monitoring compliance with other similar laws, such as the UK Online Safety Act. The Team This is an exciting opportunity to join - and help to shape- a brand new area of compliance practice. New team members will work with colleagues in the EU and globally from TikTok's Trust and Safety, Product, e-Commerce, Advertising, Legal, communications and government relations teams. The team's core role is to partner with those teams to devise and lead on the implementation of compliance solutions, risk mitigation mechanisms, management reporting governance structures, complex processes and continuous improvement plans. The Role The work of the Content and Safety Compliance team is highly visible internally and externally and will appeal to those who wish to be pioneers in translating world-leading new regulatory requirements into achievable compliance frameworks. We are hiring a number of roles at a number of levels to join the team in London and Dublin and we are flexible in building the team around individual strengths and desired areas of focus. This role will lead the team's e-commerce second line of defence independent compliance function activities. Responsibilities - Monitor and report on risks and compliance with content and safety legislation including the Digital Services Act and the Online Safety Bill with a particular focus on e-commerce obligations - Implement a comprehensive programme of compliance monitoring and reporting of all relevant obligations for our e-commerce business. - Provide key expertise to the team in the organising and supervising of company activities relating to its external independent audit , including tracking remediation recommendations and activities - Develop and embed a strategic approach to risk and compliance within our e-commerce business cross functional teams. - Create and implement relevant policies and procedures. - Contribute to e-commerce systemic risk assessments and reporting and support on the assessment and documentation of risk, advise on and track remediation measures. - Support the Head of the function in establishing strong relationships with regulators such as the European Commission, Coimisiún na Meán and Ofcom. - Maintain an independent mindset and effectively challenge where necessary to achieve a robust second line of defence. - Advocate risk and compliance, champion a positive risk culture and help provide an appropriate 'tone from the top' on risk and compliance matters. Qualifications Minimum Qualifications - Minimum 5 years' experience in a compliance monitoring team, or internal/external audit team, ideally in a regulated environment, for example in a platform or marketplace or in financial services (this can include financial services experience in the EU or in the US e.g with SOX) - Track record of building and maintaining complex risk and control environments. - Experience building trust with regulators and strong working relationships with business teams. - Understanding of platforms and good knowledge of relevant legislative landscape. - Proactive self-starter, with the ability and willingness to take a lead on novel and complex regulatory requirements. - Have outstanding communication skills that allow you to interact with a wide variety of individuals. - Be a team player, be adaptable and willing to partner with teams from across the business Preferred Qualifications - Bachelor's degree and professional qualification in law, finance, compliance or similar discipline. - Experience in a regulated environment, for example in a platform or e-commerce marketplace or in financial services (this can include financial services experience in the EU or in the US e.g with SOX). TikTok is committed to creating an inclusive space where employees are valued for their skills, experiences, and unique perspectives. Our platform connects people from across the globe and so does our workplace. At TikTok, our mission is to inspire creativity and bring joy. To achieve that goal, we are committed to celebrating our diverse voices and to creating an environment that reflects the many communities we reach. We are passionate about this and hope you are too.

Senior Compliance Manager (E-Commerce)

Job description We have an exciting opportunity for an Assistant Manager to join our Credit Risk Assurance team. We are a specialist function within KPMG's Audit Practice whose purpose it is to review and challenge complex statistical models used within audited entities as part of the overall financial audit process. Our team is made up of credit risk analysts from a broad and diverse range of quantitative backgrounds, including mathematics, engineering, physics, econometrics, and statistics. As a Credit Risk Modelling Assistant Manager, you will have a technical specialist role supporting the external audit of credit risk models (IFRS9, CECL, etc). Your specific responsibility will be to execute and document the quantitative testing conducted by the team. The role offers exposure to a wide range of techniques used by institutions, from globally systemically important banks to small credit providers. It also provides access to the latest technology, including cloud-based data processing and software packages like Python, R and SAS. <ul><li> Organising and executing workstreams of quantitative testing. </li><li> Conducting assessments of audited entity model documentation (e.g., model development, validation, monitoring documentation) against the requirements of the accounting standard as well as industry practice. </li><li> Annotating code produced by an audited entity and reconciling code functionality / variables back to documentation. </li><li> Reperforming the output of an audited entity's code by rerunning it in the appropriate software package. </li><li> Reperforming the output of an audited entity's code using code developed independently from an entity's documentation using an appropriate software package. </li><li> Determining independent estimates of a model's output using KPMG assumptions. </li><li> Completing associated documentation for quantitative testing in a clear and succinct manner. </li><li> Supervising, coaching and training junior team members on engagements. </li></ul>

Assistant Manager - Credit Risk Modelling

Location: London, UK Reporting To: Chief Legal Officer Contract Term: Full time, Permanent About LIV Golf The LIV Golf League is the world's only global golf league featuring 13 teams, a 14-tournament schedule, and many of the world's best golfers. Launched in 2022, the League was designed to expand the sport on a global level and create new value within the golfing ecosystem while enhancing the game's societal impact. A landmark investment by LIV Golf also launched The International Series, a set of 10 enhanced events sanctioned by the Asian Tour, with elevated prize funds in world-class destinations, offering a pathway for leading professional and amateur golfers from around the world into the LIV Golf League. Hall of Fame golfer and renowned businessman, Greg Norman, is the League's first and founding CEO and Commissioner. Only two years into operations and with tournaments across North and Latin Americas, Asia, Australia, the Middle East and Europe, LIV Golf remains committed to developing the sport at every level and exposing more people to the positive virtues of the game through its unique blend of intense competition and entertainment. History LIV Golf launched in 2022 as an eight-event 'Invitational Series'. 2023 saw the inaugural LIV Golf League host 14 events around the world, from Adelaide to Chicago, Andalucía to Singapore, as well as launch the game's first Team franchises, captained by some of golf's most decorated superstars. The format, respecting the history and traditions of the game, has been optimized for modern day sports fans; 3-days, 54 holes, no cut, shotgun start, offering a faster pace-of play to drive engaging storylines and offer an immersive fan experience. The events, each wholly owned and operated by LIV Golf and broadcast around the world to over 300million homes, deliver a family-friendly environment, festival-style atmosphere, evening concert entertainment and world-class competition; a combination that is unique to the world of golf. In 2024, LIV Golf will further expand the reach of the League, splitting the schedule between some of the most iconic venues across Asia, Europe and the Middle East with decorated venues in the US. The full player pathway, created in partnership with the Asian Tour, also launches, with the game's first ever player Promotion and Relegation, and Player Transfer Window, as the holistic integration of LIV Golf is fully delivered. Away from the entertainment on the course, LIV Golf is dedicated to enhancing the wellbeing of the communities it visits through its ground-breaking social impact and sustainability strategy, 'Potential, Unleashed', reflecting the league's commitment to giving back and improving the world through golf. Role Objective <ul><li> Working with our Chief Legal Officer and Chief Finance Officer, ensure LIV Golf adheres to legal standards and in-house policies, by enforcing regulations in all aspects and levels of business.</li><li> Provide guidance on compliance and data protection matters.</li><li> Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies.</li><li> Evaluate the efficiency of controls and improve them continuously.</li><li> Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues.</li></ul>Responsibilities Data Protection <ul><li> Act as DPO for the business.</li><li> Oversee and manage all data protection activities within the business.</li><li> Develop and implement data protection policies and procedures.</li><li> Ensure compliance with GDPR and other data protection laws.</li><li> Work with counsel to help advise on local data privacy law issues. </li><li> Provide advice and guidance on data protection laws.</li><li> Collaborate with the Information Security function to raise employee awareness of data privacy and security issues.</li><li> Collaborate with Information Security function to maintain records of all data assets and exports and maintain a data security incident management plan to ensure timely remediation of incidents including impact assessments, security breach response, complaints, claims or notifications, and responding to subject access requests (SARs).</li><li> Ensure the company's IT systems and procedures comply with all relevant data privacy and protection law, regulation and policy (including in relation to the retention and destruction of data).</li><li> Establish a Data Privacy/Information Governance Committee.</li><li> Develop strategies and initiatives to ensure engagement with key internal and external stakeholders.</li><li> Lead data protection training and awareness campaigns.</li><li> Coordinate and conduct data privacy audits.</li><li> Handle data protection breaches and investigations.</li><li> Review vendor contracts and consents needed to implement projects in partnership with the firm's Procurement and Information Security functions. </li><li> Regularly report to the board on data protection activities and compliance.</li><li> Liaise with regulatory bodies and data protection authorities as required.</li></ul>Compliance <ul><li> Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies.</li><li> Evaluate the efficiency of controls and improve them continuously.</li><li> Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues.</li><li> Draft, modify and implement company policies.</li><li> Collaborate with the Legal, Internal Audit, and HR departments to monitor enforcement of standards and regulations.</li><li> Participate in product development and changes. Act as advisor on aspects affected by compliance requirements. </li><li> Review and monitor promotional marketing material and other collateral to assure their compliance with regulations. </li><li> Review the work of colleagues when necessary to identify compliance issues and provide advice or training.</li><li> Prepare reports for senior management as appropriate.</li><li> Develop and maintain a resource library, which includes copies of regulations and interpretations. </li><li> Collaborate with Internal Audit to manage the risk register and management action plans.</li><li> Attend compliance seminars and programs on an ongoing basis to maintain current knowledge of laws and regulations. </li><li> Ensure preparation of regulatory compliance reports, as required. </li></ul>Required Skills <ul><li> 4-6 years proven experience as a DPO and/or Compliance Manager, focusing on GDPR and data protection.</li><li> In-depth knowledge of the industry's standards and regulations including GDPR and all applicable US data protection and privacy laws and regulations, especially California, New York &amp; Florida.</li><li> Excellent knowledge of reporting procedures and record keeping.</li><li> Experience developing policy and compliance training.</li><li> A business acumen, and practical outlook and approach.</li><li> Methodical and diligent with outstanding planning abilities.</li><li> An analytical mind able to "see" the complexities of procedures and regulations.</li><li> Well-developed and professional interpersonal skills; ability to interact effectively with people at all organizational levels of the firm.</li><li> Strong change and project management skills, including the ability to manage time well, prioritize effectively, and handle multiple deadlines. </li><li> Ability to undertake large, long-term projects, develop alternative methods to complete them, and implement solutions. </li><li> Ability to use independent judgment and discretion when making majority of decisions. </li><li> Detail-oriented approach to recommend and implement strategic improvements on a range of data privacy and data protection issues. </li><li> Ability to handle confidential and sensitive information with the appropriate discretion. </li><li> BSc/BA in law, finance, business administration or related field.</li><li> Certified compliance professional is a plus.</li></ul>LIV Golf Investments is an equal opportunity employer that is committed to diversity and inclusion in the workplace and the equal treatment of all current and prospective employees. We prohibit discrimination and harassment of any kind based on age, gender, disability, religion or belief, sexual orientation, marital status, pregnancy, race, ethnicity, or any other status protected by the laws or regulations where we operate. This policy applies to all employment practices within our organization, including hiring, recruiting, promotion, termination, leave of absence, compensation, benefits, training, and apprenticeships. LIV Golf Investments makes hiring decisions based solely on qualifications, merit, and business needs at the time.

DPO & Compliance Manager

EY's Financial Services (FS) Tax practice provides tax advisory, transactions and compliance services to a variety of clients in the Financial Services market ranging from some of the world's largest multinational institutions, corporations and funds. The US tax compliance team, which sits within the EMEIA Wealth &amp; Asset Management practice, continues to experience growth due to strong client demand from European asset managers with US investors and/or US activity. The opportunity Our London based team of US-qualified tax professionals is a growing practice of 50+ individuals focused on providing exceptional client service to the asset management industry including hedge funds, debt funds, private equity funds and real estate funds and their management companies. The team is highly dynamic and is looking for motivated, energetic and collaborative individuals to join the US team in London. The team is looking for managers, specifically with hedge fund experience, to help grow the team in the year ahead. Your key responsibilities The role will primarily involve overseeing hedge fund US tax compliance engagements for clients with appropriate consideration of risk, operational, and tax technical issues. Researching US tax legislation and explaining the impact to asset management clients will be required as part of contributing to tax consulting projects. You will be working in a dynamic environment and you will be expected to coach junior staff members (both onshore and offshore) and share your knowledge and experience with the entire team. You will also be expected to coordinate multiple engagement teams' schedules and deadlines. Skills and attributes for success <ul> <li>Positive attitude and willingness to be a team player.</li> <li>Excellent time and project management skills.</li> <li>Proficiency in partnership allocations and an understanding of private equity carry waterfalls.</li> <li>A practical understanding of international tax concepts such as PFICs, CFCs, and foreign information reporting (Form 926, Form 8865, Form 8621, Form 5471, etc.) </li> <li>Experience advising clients on the US tax impact of investment and fund structures, as well as US tax elections.</li> <li>Proficiency in juggling multiple priorities while managing internal and external stakeholders.</li> <li>Willingness and ability to learn new concepts with minimal guidance.</li> <li>Enthusiasm for coaching and developing team member</li></ul>To qualify for the role, you must have <ul> <li>Current CPA, EA or equivalent qualification or Degree / Master's degree in accounting or taxation (or equivalent).</li> <li>Extensive experience in preparing and reviewing partnership tax returns and Schedules K-1.</li> <li>Extensive experience with computing taxable income and partnership allocations for private equity funds.</li> <li>Knowledge of international tax returns and related US tax laws.</li> <li>In-depth knowledge of Go Systems tax preparation software or similar system. </li></ul>Ideally, you'll also have <ul> <li>Ability to manage large scale fund compliance projects involving 5,000+ hours, multiple funds/deliverables, and cross-border teams of 10+ individuals.</li> <li>Ability to liaise directly with non-tax stakeholders at your clients to explain US tax concepts at a practical level.</li> <li>Background in financial services, ideally working with hedge funds in a US tax capacity.</li> <li>Experience in delivering technical and soft skills training to junior team members.</li></ul>What we look for We're interested to hear from highly motivated individuals who are open to expanding their network and pursuing a medium to long-term career in US tax in London. We are looking for someone who will fit in well with our energetic and high-performing team, who has background in private equity funds and who has excellent client relationship skills. What working at EY offers We offer a competitive remuneration package where you'll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer: <ul> <li>Support, coaching and feedback from some of the most engaging colleagues around</li> <li>Opportunities to develop new skills and progress your career</li> <li>The freedom and flexibility to handle your role in a way that's right for you</li></ul>EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance. About EY As a global leader in assurance, tax, transaction and advisory services, we're using the finance products, expertise and systems we've developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible. Join us in building a better working world. Apply now.

Financial Services - US Global Compliance & Reporting - Hedge Funds Tax Manager

EY's Financial Services (FS) Tax practice provides tax advisory, transactions and compliance services to a variety of clients in the Financial Services market ranging from some of the world's largest multinational institutions, corporations and funds. The US compliance reporting team continues to experience growth due to strong client demand from London based clients. The opportunity Our London based team of US-qualified tax professional are a growing practice of 50+ individuals focused on providing excellent client service to the asset management industry including real estate, private equity and hedge funds and their management companies. The team is highly dynamic and is looking for motivated, energetic and collaborative individuals to join the US team in London. The team is looking for managers to help grow the team this year. Your key responsibilities The role will involve overseeing hedge fund and private equity US tax compliance processes for your clients with appropriate consideration of risk, operational, and tax technical issues. Researching US tax legislation and explaining the impact to asset management clients will be required as part of contributing to tax consulting projects. Working within a team you will be expected to coach new staff members and share knowledge and experience when required also. You will also be expected to coordinate multiple engagement teams' schedules and deadlines as well as coaching team members and sharing experience/knowledge with them. Skills and attributes for success <ul> <li>Positive attitude and willingness to be a team player.</li> <li>Practical experience with partnership allocations including an understanding of revaluation accounts.</li> <li>Excellent time management skills.</li> <li>Willingness to learn new concepts with minimal guidance.</li></ul>To qualify for the role you must have <ul> <li>Current CPA, EA or equivalent qualification or Degree / Master's degree in accounting or taxation (or equivalent).</li> <li>Knowledge of corporate and international tax returns and related US tax laws.</li> <li>Extensive experience in preparing and reviewing partnership tax returns and Schedules K-1.</li> <li>Practical experience with hedge fund securities analysis.</li> <li>In-depth knowledge of Go Systems tax preparation software or similar system. .</li></ul>Ideally, you'll also have <ul> <li>Experience managing cross-border teams of 2-6 people.</li> <li>Background in financial services, ideally working with hedge fund and private equity clients in a US tax capacity.</li></ul>What we look for We're interested to hear from highly motivated individuals who are open to expanding their network &amp; explore ways to evolve into a global professional, in line with the future of EY. We're looking for someone who has a background in both tax accounting and compliance and has excellent client relationship skills. What working at EY offers We offer a competitive remuneration package where you'll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer: <ul> <li>Support, coaching and feedback from some of the most engaging colleagues around</li> <li>Opportunities to develop new skills and progress your career</li> <li>The freedom and flexibility to handle your role in a way that's right for you</li></ul>EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance. About EY As a global leader in assurance, tax, transaction and advisory services, we're using the finance products, expertise and systems we've developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible. Join us in building a better working world. Apply now.

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