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We're looking for a Manager, Tax - Reporting &amp; Compliance to join us in Hammersmith. As a Manager, Tax - Reporting &amp; Compliance, you will contribute to the management of various tax compliance and reporting tasks within the specialist central Tax team. What will you be doing? <ul><li>Managing and reviewing various aspects of the quarterly tax reporting close process</li><li>Assisting with the management of Liberty Global's Group Tax Policy</li><li>Managing Liberty Global's approach to Country by Country Reporting</li><li>Assisting and supporting on specific ad hoc projects</li><li>Contributing more broadly to the Global tax team in relation to fostering a great</li></ul>We tend to look for people with: Essential: <ul><li>Bachelor or Master Degree in Accounting or Tax education AND/OR A professional qualification in Accounting and/or Tax (e.g. CPA or ACA) attained through learning during employment in an Accounting and/or Tax role</li></ul><ul><li>Relevant experience working in a mixed accounting / tax environment with Big 4 or similar Corporate Function</li></ul><ul><li>A strong communicator with the ability to partner with peers, local operating companies, Tax leadership and the wider business</li><li>Ability to recognise complex issues and implications and seek assistance when necessary</li><li>A continuous improvement mindset</li></ul>What's in it for you? <ul><li>Competitive salary + Bonus</li><li>25 days annual leave with the option to purchase 5 more</li><li>Access to wellbeing and mental health benefits such as the Calm app, personal medical, critical illness cover and dental insurance</li><li>Matched pension contribution up to 10%</li><li>Access to our car benefit scheme</li><li>Access to our online learning platform to continue to develop and grow your career with us</li></ul>Who we are: We're building Tomorrow's Connections Today, bringing people together through the power of our technology. Liberty Global is a world leader in converged broadband, video and mobile communications and an active investor in cutting-edge infrastructure, content and technology ventures. With our investments in fibre-based and 5G networks we play a vital role in society, currently providing over 85 million fixed and mobile connections and rolling out the next generation of products and services, while readying our networks for 10 Gbps and beyond. We're creating national champions, combining the best broadband and mobile networks under brands such as Virgin Media-02 in the UK, VodafoneZiggo in The Netherlands, Telenet in Belgium, Sunrise in Switzerland, Virgin Media in Ireland and UPC in Slovakia. Liberty Global Ventures, our global investment arm, has a portfolio of more than 75 companies and funds across content, technology and infrastructure, including strategic stakes in ITV, Univision, Plume, Lionsgate and the Formula E racing series. Our scale enables us to transfer knowledge and expertise across our operations and investments, creating a dynamic family of brands united in the pursuit of innovation and excellence. And we're prioritising diversity, equity and inclusion in our workplace and communities, while reducing our impact on the environment. We are using technology as a force for good; for our people, our partners and the planet. Liberty Global is an equal opportunity employer. We embrace diversity and are committed to creating an inclusive environment for our people. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process. We're 100% committed to having a workforce that represents every part of our society. So we're keen to hear from candidates of all background and circumstances. If your application is successful, your personal data may be used for a pre-employment screening check, which will be performed by a 3rd party provider (Sterling), on behalf of Liberty Global. Depending on the vacancy and applicable law, a pre-employment screening may include employment history, qualifications, contract information, right to work, and other information (such as media information) that may be necessary for determining your qualifications and suitability for the position. You can read more about how we process your data here Privacy &amp; Security Policy - Liberty Global, and If you wish to exercise your privacy rights please contact: <a href="mailto:Peopleservices@Libertyglobal.com" target="_blank">Peopleservices@Libertyglobal.com</a>

Manager, Tax - Reporting & Compliance

Supporting the lives of people and places they love for generations to come is our purpose and providing water services to our communities in the most efficient and sustainable way possible is what we do. Our commitment is to always deliver available and sufficient resources, this is what drives the Drought and Resilience Team and in doing so we want to ensure that we enhance our reputation with our customers, regulators and stakeholders. So, if you want to be part of a diverse team where opportunities flow and fresh ideas are welcomed, #JustAddWater. We currently have an opportunity for a Compliance Manager to join our Water Resources team on a permanent basis in Exeter or Bristol. You will receive a competitive salary of circa £40,000 plus an excellent benefits package. The Role As Compliance Manager you will coordinate all water resources compliance activity, covering regulatory submissions for South West Water, Bristol Water, Bournemouth Water and Isles of Scilly regions. The reporting and compliance team coordinate development of all data tables, all WR related external reporting including, APR, Water Resource Management Plan (WRMP), Drought Management Plan (DMP) and Business plan, abstraction returns and ODI reporting. You will work with teams across the wider business to ensure processes and procedures for driving regulatory compliance relating to water resources are in place. In addition, you will have opportunity to develop and proactively manage the compliance risk register on behalf of the function and design and drive a programme of activity to drive a compliance first mindset across the function, raising awareness of compliance requirements. What you'll be doing: <ul><ul><li>Day-to-day contact for compliance and reporting matters, providing critical inputs to other teams and acting as the centre of excellence for reporting and compliance.</li><li>Lead the team to produce an AMP wide reporting and assurance plan, highlight the procurement timescale for critical supply chain activities.</li><li>Develop the content and critical messaging to executive, board and regulators. Challenge the technical experts through the review of actual reporting to ensure alignment with strategy and consistency of messaging, through this providing 1st Line Assurance.</li><li>Take leading role in internal auditing and identifying areas of improvement within reporting and the associated compliance process. </li><li>Implement and enforce robust processes for data collection and reporting to ensure accuracy and reliability of internal and regulatory reports.</li><li>Continuously review and assure function deliverables ensuring that all reporting activities adhere to relevant regulations, standards, and guidelines set forth by regulatory authorities.</li><li>Stay updated on regulatory changes and proactively adapt reporting processes and procedures to ensure compliance with evolving requirements.</li></ul></ul>What we are looking for: <ul><ul><li>Dynamic professional experienced in compliance management within regulated industries, adept at managing audits, investigations, and regulatory inquiries.</li><li>Collaborative team player with strong communication skills, capable of decisive action when required.</li><li>Holds a degree in Statistics, Business, Finance, Law, Economics, Science, Environmental studies, or related fields.</li><li>Proficient in liaising with regulatory authorities, industry groups, and external stakeholders.</li><li>Knowledgeable in water resources standards and regulatory requirements.</li><li>Highly organised, excelling in planning, tracking, delivering, and evaluating work within specified deadlines.</li></ul></ul>What's in it for you: <ul><ul><li>This isn't just a job, this is a career; the opportunities to develop and grow your career with us are endless. Alongside ongoing training and development opportunities we offer some great benefits:</li><li>26 days holiday allowance rising to 30 days plus bank holidays</li><li>Hybrid working arrangements</li><li>Professional progression routes</li><li>Generous contributory pension scheme</li><li>Discretionary bonus</li><li>Share save scheme</li><li>Subsidised healthcare benefits</li><li>Plus, many more!</li></ul></ul>£40,000 - £40,000 a year Closing date: 24th September 2024 Be yourself, we like it that way. Together, we will build a culture of belonging, where inclusion is instinctive. Diversity is our strength and a reflection of our communities. We care, we value everyone, we celebrate uniqueness. Our core values which are essential to our success are: Be Rock Solid - Build trust and be trusted. Be the one we all look to and can depend on. Be You - We want you to bring your best everyday. Be yourself and make your mark in your individual way. Be the Future - Embrace change. Drive Progress. Own the challenge.

Compliance Manager

Job Description Role The role is for a Market Risk Manager to join the JIL Fixed Income Market Risk team, based in London and responsible for monitoring and measuring market risk according to the Risk Policies and the overarching Risk Management Framework and in compliance with the Risk Appetite Statements of the Board. The team sits on the trading floor and interacts with Front Office daily. The day to day job includes defining risk appetite and limits, discussing with Trading to understand and challenge positions, communicating with senior management on market developments, risks and PNL, providing inputs into new business initiatives, and overall providing expertise to the rest of the firm on market risk-related topics. The role would initially be focused on European Securitised Markets, including Asset Backed Securities and Collateralised Loan Obligations, but with the view to expand to other areas of the Fixed Income business, particularly CEEMEA Emerging Markets. The ideal candidate would have worked across different areas of Fixed Income risk, ideally with some experience of Securitization, and would be open to having a broad remit as opposed to specialising in just one area. The role will report into the JIL Head of Fixed Income Market Risk. The JIL Risk Management department is overseen by the JIL Chief Risk Officer. The team works closely with the Jefferies GmbH Risk Management team based in Frankfurt and with the Risk team in New York. Key Responsibilities <ul> <li>Oversee and risk manage the relevant Fixed Income portfolios in accordance with JIL and Group risk policies &amp; procedures;</li> <li>Ensure that market risks arising from the relevant JIL Fixed Income portfolios are identified, understood, captured, reported, escalated as required and managed within risk appetite;</li> <li>Advise management in the definition and refinement of an appropriate market risk control framework, including the ongoing review and improvement of the risk appetite framework, as well as the Firm's approach to stress testing and scenario definition;</li> <li>Perform deep dive analyses on products, trading and hedging strategies and to develop risk frameworks for new products</li> <li>Test and onboard new risk technologies; </li></ul>Experience, Skills and Qualifications <ul> <li>Educated to degree level ideally in a quantitative or finance-related discipline with good analytical skills;</li> <li>5 to 10 years experience as a market risk manager for a financial institution;</li> <li>Understanding of fixed income products with particular emphasis on emerging markets, credit and securitised products, specifically MBS, CLO and CLO warehouses;</li> <li>Track record of working successfully with traders and analysts and communicating effectively with senior management; Ability to engage with, influence and obtain support from a broad range of stakeholders, i.e. someone who can challenge and partner with the desk to add value to the business;</li> <li>High level of awareness of market standards for risk management and control, including hands-on practical experience;</li> <li>Excellent oral and written communication;</li> <li>Strong quantitative skills;</li> <li>Coding experience would be a plus;</li> <li>Highly motivated individual with a passion for continued individual learning / personal development.</li> <li>Experience using Intex would be a plus.</li></ul>#LI-PS1 About Us Jefferies Financial Group Inc. (''Jefferies,'' ''we,'' ''us'' or ''our'') is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia. At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients. Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with disabilities, as required by applicable law. All employees must follow Jefferies' COVID-19 protocol policy, which is subject to change.

Fixed Income Market Risk Manager (Emerging Markets/ Securitization)

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham and Bristol. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients' needs. Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are fast becoming an employer of choice in our sector. We have over £29 billion in funds under management and circa 700 staff. Job Description Business Unit The role of the Legal &amp; Compliance team is to establish, implement, maintain and monitor on behalf of the Firm's Governing Board and Management Board, adequate policies and procedures sufficient to ensure the Firm's compliance with its obligations under the regulatory systems in which it operates and to counter the risk the Firm may be used to further financial crime. In addition, the team provides support to new business initiatives and advises on day to day issues which may arise. Brief Role Objective: Senior member of the Compliance team reporting directly to the Head of Compliance. The role will be acting as a an 'expert', ensuring LGT is ahead of the curve with changes and developments within ESG regulatory landscape, this includes but is not limited to SFDR and SDR. As a new role within the business, this is an opportunity to shape the position and develop your skillset accordingly working with senior stakeholders to influence policy, systems and controls related to the ESG regulatory landscape. Key Responsibilities: <ul><li>Provide proactive advice and guidance to internal stakeholders on ESG regulation, industry standards and other requirements. Internal stakeholders include portfolio managers, research analysts, front office representatives and other colleagues.</li><li>Identify new ESG regulatory or industry developments and analyse the resulting impact on the business.</li><li>Ensure the organisation's sustainable initiatives align with these regulations, including monitoring firm's approach to conducting due diligence on sustainable investments.</li><li>Contribute to the development of the firm's sustainability risk framework, including development of appropriate MI/KRIs.</li><li>Develop and update internal policies and procedures and related controls to ensure compliance with ESG regulations.</li><li>Establish and maintain engagement with LGT Group colleagues, clients, industry professionals and regulatory authorities when needed.</li><li>Oversee the preparation and submission of required reports and disclosures under relevant regulations, including but not limited to SDR, SFDR and TCFD.</li><li>Confirm the inclusion of necessary information in marketing materials and website, whilst reviewing for anti-green washing.</li><li>Establish processes for ongoing monitoring of compliance with Monitoring subject matter experts on sustainable investing regulations.</li><li>Develop training programs to educate internal teams on sustainable investing regulations.</li></ul>Requirements Technical Requirements: <ul><li>Expert knowledge on ESG related regulations gained through similar roles at other firms</li><li>Good understanding of the wealth management business</li><li>Knowledge and understanding of fund and portfolio management and regulatory knowledge of UCITS and AIFMD requirements is a strong advantage.</li><li>Industry or professional Compliance qualification desirable.</li></ul>Other skills, competencies and attributes: <ul><li>Motivated and conscientious with strong interpersonal skills.</li><li>Excellent organisational skills, including the ability to prioritise and meet deadlines.</li><li>Ability to communicate clearly and succinctly, tailoring communication, whether written or verbal, to the appropriate audience.</li><li>The ability to work both independently but as part of a team.</li><li>Team player who supports other members of the wider Compliance, Legal and Risk Teams as well as those across the business.</li></ul>Contact Information We are looking forward to receiving your online application. For any further information please do not hesitate to contact us. LGT Wealth Management UK LLP Human Resources Alex Johnson

Compliance Officer - 18 month FTC

Role Description: Data Privacy SME based within the second line of defence Risk &amp; Compliance team and providing support and consultancy to FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd ('FNZ UK') in relation to data privacy / data protection laws and regulations. The Senior Data Privacy Compliance Manager's role is to work with the Data Protection Officer to: <ul><li>promote a culture of data privacy compliance within FNZ UK</li><li>provide SME advice and consultancy for FNZ UK on maintaining its compliance with data privacy / data protection obligations primarily focussed on FNZ's responsibilities as Data Processor.</li><li>provide support to FNZ UK's Senior Management by providing oversight and assurance on the systems and controls connected with FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd, data privacy obligations.</li></ul>Organisational Design: Senior Data Privacy Compliance Manager reports to the Data Protection Officer Team Responsibilities: Providing an independent second line of defence Compliance function and supporting the business in relation to data privacy / data protection laws and regulations. Specific Role Responsibilities: Data Privacy Risk &amp; Compliance Oversight <ul><li>Providing consultancy and challenge to the business on data protection / data privacy on behalf of Risk &amp; Compliance.</li><li>Working with Information Risk Management second line team and Information security first line teams to ensure strong controls over security of personal data.</li><li>Working with Data Governance first line team and oversight of FNZ UK's mapping of personal data, and Records of Data Processing.</li><li>Oversight of Operations first line of defence controls over processing of personal data.</li><li>Oversight of Client Project teams and Technical Delivery to ensure that data privacy controls are built into platform delivery and change processes.</li><li>Oversight of Legal, Procurement and Supplier Management to ensure compliance with regulatory requirements applicable to data processor contracts.</li><li>Oversight of new business initiatives/ propositions, Client Platform releases and Data Privacy Risk Assessments including those related to Cloud security.</li><li>Maintaining and updating the Risk &amp; Compliance data privacy policies and procedures in line with applicable legislation, regulations and codes of practice.</li><li>Planning and undertaking (in liaison with the Compliance Monitoring team) Compliance Monitoring Reviews on Data Protection where required and undertaking BAU monitoring where required. Carry out thematic reviews across FNZ UK identifying and recording issues arising from such work and pursuing them to resolution.</li><li>Reviewing risk events, providing advice on DPA impacts/ breaches where applicable; oversight of investigation and remediation and completion of actions.</li><li>Overseeing and advising business owners as required on the investigation and resolution of Personal Data breaches, production of Incident Reports/ Assessments and reporting to clients</li><li>Providing consultancy and oversight to the business on responding to Data Subject Requests including DSARs</li><li>Providing consultancy and oversight to the business on the completion of Data Privacy Impact Assessments and International Transfer Impact Assessments.</li><li>Development and maintenance of training material for mandatory data privacy training modules for FNZ UK</li><li>Production of MI and reports to the FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd Board and management committees, as required.</li></ul>Regulatory Records To assist the DPO and oversee Business Owners to maintain appropriate records and documentation relating to data privacy, including: <ul><li>Records of Data Processing as a Data Processor</li><li>Register of Personal Data breaches</li><li>Compliance Data Privacy Universe to support monitoring activity</li><li>Compliance Data Privacy Risk Register</li><li>Compliance Data Privacy Incident Reports/Assessments</li><li>FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd Data Privacy Impact Assessments and International Transfer Assessments</li></ul>Regulatory Developments <ul><li>To monitor the ICO, FCA and EU Commission websites for developments in regulation of data privacy and maintain an awareness of legislative changes and developments in industry best practice regarding data privacy.</li><li>Contributing as SME to the implementation of data privacy regulatory developments that impact FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd or its client platforms.</li><li>Providing impact analysis on data privacy regulatory changes as required.</li><li>Consultancy to the business to facilitate understanding of data privacy regulatory developments to enable embedding into processes and controls.</li><li>Assisting the Compliance Regulatory Developments team to ensure that UK data privacy regulatory changes are notified where appropriate to internal Committees and to clients through the Compliance Regulatory Developments team.</li></ul>Managing Relationships <ul><li>Providing support and challenge to key business stakeholders in managing data privacy risks and issues within the business.</li><li>Liaising with external stakeholders including clients, auditors, third parties as required.</li></ul>Team working <ul><li>Sharing ideas to enhance cross-team learning and development.</li><li>Building and maintaining relationships (internal and external)</li><li>Supporting the team's efforts to succeed.</li><li>Balance team and individual responsibilities.</li><li>Exhibit objectivity and openness to others' views.</li></ul>Maintaining operational and company standards <ul><li>Supporting the organisation's key business objectives whilst maintaining regulatory compliance.</li><li>Encouraging and driving quality and continuous improvement of processes used across the business.</li><li>Ensuring practices are compliant with regulatory bodies' expectations.</li></ul>Personal Effectiveness <ul><li>Ability to prioritise work and manage service delivery targets within tight constraints, maintaining flexibility in respect of shifting business priorities.</li><li>Taking ownership for workload and is proactive in approach.</li><li>Strong communication skills, using appropriate language and style of communication that is relevant to the situation and circumstances to influence.</li><li>Demonstrating sufficient self-awareness to identify personal strengths and areas for development.</li><li>Ability to analyse and problem solve.</li><li>Calm, reasonable and professional manner.</li><li>Ability to work under pressure.</li></ul><ul><li>Flexible to change, eager to improve and develop new skills.</li></ul>Performance Assessment <ul><li>Meeting UK regulatory requirements in connection with data privacy.</li><li>Building awareness of data privacy within FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd.</li><li>Positive interaction with and feedback from internal / external stakeholders in relation to data privacy.</li></ul>Experience required: <ul><li>Previous experience in a data protection oversight, data protection consultancy or GDPR practitioner role, ideally within a financial services environment with experience in IT or Compliance role.</li><li>Good knowledge of GDPR and UK DPA requirements and related guidance.</li><li>Understanding of FCA rules and regulatory framework preferably gained through a compliance function.</li><li>Experience of platforms / investment operations services an advantage</li><li>Relevant professional or industry qualification.</li><li>Good communication, relationship management and influencing skills.</li><li>Ability to build and maintain effective internal and external relationships.</li><li>Ability to analyse, present and report regulatory information to stakeholders in a clear and concise manner.</li></ul>#LI-CM1 About FNZ FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. We created wealth's growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA). Together with our customers, we help over 20 million people from all wealth segments to invest in their future.

Data Privacy Compliance Manager

Role Description: The Regulatory Financial Crime Analyst is based within the second line of defence Risk &amp; Compliance team and provides support and consultancy to FNZ (UK) Ltd, FNZ Securities Limited and FNZ TA Services Limited ("the regulated companies") in relation to financial crime legislation and risks. Organisational Design: The role will report into the Head of Financial Crime who in turn reports into the MLRO for FNZ (UK) Ltd. This role forms part of the Compliance team. Team Responsibilities: Providing an independent second line of defence (2LOD) Compliance function and supporting the business in relation to financial services legislation and risks. Specific Role Responsibilities will include: Customer/Client Due Diligence (CDD) <ul><li>Assist and support the Head of Financial Crime to ensure that the regulated companies meet their obligations under the UK Money Laundering Regulations and to provide consultancy to the business in order for these entities to meet their contractual obligations to their clients and the clients' underlying customers.</li><li>Carry out customer due diligence and client risk assessment checks in relation to new and existing eligible counter-party clients ('Clients') and, where necessary, carry out refreshes of customer due diligence on existing clients.</li><li>Assist the Head of Financial Crime with producing the draft annual MLRO reports for review and sign off by the MLROs on an annual basis.</li><li>Undertake a client AML/DD exercise on Clients' AML Frameworks and policies annually.</li><li>Assist the Head of Financial Crime with carrying out annual AML/CFT Risk assessments for review and sign off by the MLROs for each regulated company and ensuring these are kept up to date on an ongoing basis (where required).</li><li>Be a 2LOD subject matter expert (SME) in relation to the third-party financial crime system suppliers which the regulated companies' contract with such as Experian, Cybersource, Cifas, Dow Jones, Amiqus and IMTF.</li><li>Provide independent 2LOD consultancy and support to the 1LOD Financial Crime Team and to the 1LOD operational personnel undertaking Financial Crime Administration providing expert consultancy in relation to:</li><li>queries/potential matches about PEP/ Sanctions, Transaction Monitoring and Enhanced Due Diligence (EDD)</li><li>AML comfort letters process for non-UK Fund Managers</li><li>assisting the 1LOD Financial Crime Team and Clients with the configuration, maintenance and set-up of Clients/underlying customers rules and weightings within third party financial crime systems as required to satisfy AML requirements</li><li>for one regulated company, supporting the 1LOD in relation to</li><li>customer due diligence and customer risk assessment checks on new and existing customers (on a periodic basis) and, where necessary, providing support to 1LOD on refreshes on customer due diligence where AML reliance is not in place</li><li>sample checking of customer due diligence performed by Clients (Reliance Model) on a periodic basis</li><li>assisting the 1LOD Financial Crime Team with the configuration, maintenance and set-up of customers rules and weightings within third party financial crime systems as required to satisfy AML</li></ul>Governance / Policies Management / Risk Assessment /Consultancy <ul><li>Assist and support the Head of Financial Crime with:</li><li>the creation and updating of a Financial Crime Strategy that is reviewed at least annually and aligned to the FNZ company objectives. This also includes defining and overseeing Financial Crime Communications</li><li>the maintenance and communication of Compliance Policies connected to financial crime</li><li>the undertaking of an annual ABC Risk assessments for each FNZ entity and ensuring these are kept up to date (where required)</li><li>the input and consultancy in connection with annual risk assessments such as Financial Crime and Tax Evasion</li><li>advising the business to ensure that it has a functioning financial crime framework in place and consideration of financial crime is embedded into business areas</li><li>completing RFPs and due diligence requests in relation to financial crime</li><li>reviewing the content of mandatory training modules on Financial Crime</li><li>the risk management and governance frameworks which includes:</li><li>contributing to FNZ Financial Crime Risk Appetite Statements (RAS)</li><li>regularly updating Financial Crime Key Risk Measures (KRMs)</li><li>providing Financial Crime related information and MI to the Board and Senior Governance Committees</li><li>undertaking reviews and testing of the Financial Crime controls undertaken within the Compliance team</li><li>providing secretariat services for the Financial Crime Committee and the Financial Crime Client User Forum</li><li>Providing consultancy, support and training in connection with:</li><li>the tasks undertaken by the 1LOD Financial Crime team including Risk Control Self-Assessment (RCSA) queries and challenge in relation to 1LOD financial crime controls and attendance at financial crime meetings with clients as required.</li><li>working with the 1LOD Financial Crime team to utilise industry intelligence to ensure that FNZ are aware of any new Modus Operandi or legislation which may expose the company to any new Financial Crime Risks</li><li>assisting 1LOD with financial crime training (where required)</li></ul>Compliance Monitoring <ul><li>Assisting with the completion of the annual risk-based Compliance Monitoring Plan by:</li><li>risk assessing financial crime activities in order to recommend Financial Crime monitoring reviews into the Compliance Monitoring Plan annually</li><li>undertaking independent Financial Crime monitoring reviews of the business</li><li>carrying out oversight of the quality assurance undertaken by the 1LOD Financial Crime team</li><li>overseeing the closure of the monitoring actions connected to Financial Crime monitoring reviews</li></ul>FC Reporting / investigations <ul><li>Support and provide assistance to the Head of Financial Crime, MLRO and Chief Compliance Officer as part of any Financial Crime Investigations, including assistance in implementing the fraud response plan and managing any follow-up actions. The Regulatory Financial Crime Analyst will also assist with any internal investigations and review of any suspicious activity reports (SARs) received and, where required, act as a liaison officer with all other interested parties both internal and external, including police, regulators and auditors.</li><li>Assist and lead pieces of work with Information/Cyber Security and 1LOD Financial crime Team in relation to cases of e-fraud as required.</li><li>Update and maintain the FNZ Financial Crime Reporting repository with input from 1LOD Financial Crime Team.</li><li>Assisting the Head of Financial Crime and MLRO with annual Financial Crime returns to the FCA.</li></ul>Identifying regulatory and financial services industry changes and Performance Assessment <ul><li>Assist in identifying regulatory and industry developments/requirements in relation to financial crime including contributing to impact assessments and assisting the Head of Financial Crime to embed required changes into the regulated companies' processes and technology.</li><li>Attend Industry Financial Crime forums such as the TISA Financial Crime Working Group, FinTrail Exchange etc</li><li>Building awareness of financial crime within the regulated companies.</li><li>Positive interaction with and feedback from clients in relation to financial crime.</li><li>Bringing new ideas and initiatives to the regulated companies in relation to financial crime.</li><li>Ability to work both individually and as part of a team to achieve the regulated companies' financial crime objectives.</li></ul>Experience required: <ul><li>Good knowledge on financial crime systems (preferably Fraud, AML/KYC/CDD, PEPs and Sanctions and Transaction Monitoring) and experience in understanding the set up and configuration of rules and parameters.</li><li>Good working knowledge gained within financial services/Investment banking industry of identifying financial crime risks and implementing/overseeing suitable controls to mitigate those risks.</li><li>Good understanding of Compliance Monitoring Frameworks particularly undertaking monitoring/thematic reviews on Financial Crime matters.</li><li>Good knowledge of UK Financial crime Legislation Financial Conduct Authority rules and guidance, JMLSG, UK Money Laundering Regulations, Bribery Act 2010, Fraud Act 2006 and Criminal Finances Act 2017.</li><li>Awareness and knowledge on Financial Crime typologies such as fraud (internal and external), AML/CFT, PEP/Sanctions, Market Abuse/Insider Dealing and Tax Evasion (All not essential but AML and Fraud would be beneficial).</li><li>Desirable to have experience of using Experian, IMTF, Cybersource, Cifas and Dow Jones products (but not essential).</li><li>Desirable to hold an industry known financial crime qualification such as an ICA Diploma or Certificate, ACAMS accredited etc.</li><li>Good stakeholder management, attention to detail and communicating and influencing skills</li></ul>#LI-CM1 About FNZ FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. We created wealth's growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA). Together with our customers, we help over 20 million people from all wealth segments to invest in their future.

Regulatory Financial Crime Analyst

Role Description: Data Privacy SME based within the second line of defence Risk &amp; Compliance team and providing support and consultancy to FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd ('FNZ UK') in relation to data privacy / data protection laws and regulations. The Senior Data Privacy Compliance Manager's role is to work with the Data Protection Officer to: <ul><li>promote a culture of data privacy compliance within FNZ UK</li><li>provide SME advice and consultancy for FNZ UK on maintaining its compliance with data privacy / data protection obligations primarily focussed on FNZ's responsibilities as Data Controller.</li><li>provide support to FNZ UK Senior Management by providing oversight and assurance on the systems and controls connected with FNZ UK's, data privacy obligations.</li></ul>Organisational Design: Senior Data Privacy Compliance Manager reports to the Data Protection Officer Team Responsibilities: Providing an independent second line of defence Compliance function and supporting the business in relation to data privacy / data protection laws and regulations. Specific Role Responsibilities: Data Privacy Risk &amp; Compliance Oversight: <ul><li>Providing consultancy and challenge to the business on data protection / data privacy on behalf of Risk &amp; Compliance.</li><li>Working with Information Risk Management second line team to ensure strong controls over security of personal data.</li><li>Working with Group functions to ensure compliance with data privacy requirements over Website privacy policies, content and cookie compliance.</li><li>Oversight of Legal, Procurement and Supplier Management to ensure compliance with regulatory requirements applicable to data protection agreements.</li><li>Oversight of new business initiatives/ propositions, and Data Privacy Risk Assessments.</li><li>Maintaining and updating the Risk &amp; Compliance data privacy policies and procedures in line with applicable legislation, regulations and codes of practice.</li><li>Oversight of HR's mapping of personal data, and Records of Data Processing</li><li>Planning and undertaking (in liaison with the Compliance Monitoring team) Compliance Monitoring Reviews on Data Protection where required and undertaking BAU monitoring where required. Carry out thematic reviews across FNZ, identifying and recording issues arising from such work and pursuing them to resolution.</li><li>Assist the DPO as required with the assessment and reporting to ICO of personal data breaches by FNZ UK as data controller.</li><li>Providing consultancy and oversight to the business on responding to Data Subject Requests including DSARs</li><li>Providing consultancy and oversight to the business on the completion of Data Privacy Impact Assessments, Legitimate Interest Assessments and International Transfer Impact Assessments.</li><li>Development and maintenance of training material for mandatory data privacy training modules for all FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd.</li><li>Production of MI and reports to the FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd Board and management committees, as required.</li></ul>Regulatory Records: To assist the DPO and oversee Business Owners to maintain appropriate records and documentation relating to data privacy, including: <ul><li>ICO registration and contact details.</li><li>Records of Data Processing as a Data Controller</li><li>Register of Personal Data breaches</li><li>Compliance Data Privacy Universe to support monitoring activity.</li><li>Compliance Data Privacy Risk Register</li><li>Compliance Data Privacy Incident Reports/Assessments</li><li>FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd Data Privacy Impact Assessments and International Transfer Assessments</li><li>FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd Data Privacy Notices as a data controller</li></ul>Regulatory Developments <ul><li>To monitor the ICO, FCA and EU Commission websites for developments in regulation of data privacy and maintain an awareness of legislative changes and developments in industry best practice regarding data privacy.</li><li>Contributing as SME to the implementation of data privacy regulatory developments that impact FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd or its client platforms.</li><li>Providing impact analysis on data privacy regulatory changes as required.</li><li>Consultancy to the business to facilitate understanding of data privacy regulatory developments to enable embedding into processes and controls.</li><li>Assisting the Compliance Regulatory Developments team to ensure that UK data privacy regulatory changes are notified where appropriate to internal Committees and to clients through the Compliance Regulatory Developments team.</li></ul>Managing Relationships <ul><li>Providing support and challenge to key business stakeholders in managing data privacy risks and issues within the business.</li><li>Liaising with external stakeholders including clients, auditors, third parties as required</li></ul>Team working <ul><li>Sharing ideas to enhance cross-team learning and development.</li><li>Building and maintaining relationships (internal and external)</li><li>Supporting the team's efforts to succeed.</li><li>Balance team and individual responsibilities.</li><li>Exhibit objectivity and openness to others' views.</li></ul>Maintaining operational and company standards <ul><li>Supporting the organisation's key business objectives whilst maintaining regulatory compliance.</li><li>Encouraging and driving quality and continuous improvement of processes used across the business.</li><li>Ensuring practices are compliant with regulatory bodies' expectations.</li></ul>Personal Effectiveness <ul><li>Ability to prioritise work and manage service delivery targets within tight constraints, maintaining flexibility in respect of shifting business priorities.</li><li>Taking ownership for workload and is proactive in approach.</li><li>Strong communication skills, using appropriate language and style of communication that is relevant to the situation and circumstances to influence.</li><li>Demonstrating sufficient self-awareness to identify personal strengths and areas for development.</li><li>Ability to analyse and problem solve.</li><li>Calm, reasonable and professional manner.</li><li>Ability to work under pressure.</li></ul><ul><li>Flexible to change, eager to improve and develop new skills.</li></ul>Performance Assessment <ul><li>Meeting UK regulatory requirements in connection with data privacy.</li><li>Building awareness of data privacy within FNZ (UK) Ltd, FNZ Securities Ltd and FNZ TA Services Ltd.</li><li>Positive interaction with and feedback from internal / external stakeholders in relation to data privacy.</li></ul>Experience required: <ul><li>Previous experience in a data protection oversight, data protection consultancy or GDPR practitioner role, ideally within a financial services environment.</li><li>Good knowledge of GDPR and UK DPA requirements and related guidance.</li><li>Understanding of FCA rules and regulatory framework preferably gained through a compliance function</li><li>Experience of platforms / investment operations services an advantage</li><li>Relevant professional or industry qualification. Ideally with a Legal background.</li><li>Good communication, relationship management and influencing skills.</li><li>Ability to build and maintain effective internal and external relationships.</li><li>Ability to analyse, present and report regulatory information to stakeholders in a clear and concise manner.</li></ul>#LI-CM1 About FNZ FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. We created wealth's growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA). Together with our customers, we help over 20 million people from all wealth segments to invest in their future.

We're looking for a Finance Manager - VAT Compliance to join us in our Bradford office. This is hybrid working - 2 days in the office, 3 days remote. In this exciting role of Finance Manager - VAT Compliance, you will be responsible for a variety of VAT compliance activities performed within Liberty Shared Services (LSS) on behalf of our customers, across the Liberty Global portfolio of businesses, predominantly located in London, Denver and Amsterdam. As a Finance Manager - VAT Compliance, you will be responsible for the preparation of Virgin Media and Liberty Global VAT returns and other submissions to HMRC and will collaborate with the Senior Managers to drive system improvements and embrace the use of technology to create a best class in-house VAT Compliance function, whilst managing any future acquisition transitions to LSS. There has never been a better time to join Liberty Global. We're a dynamic, high-growth and tech-led group of businesses, where as a Finance Manager - VAT Compliance you would be ideally suited either post-qualified, or part-qualified with significant VAT experience, and the ambition to develop your career with a global market leader. What will you be doing? <ul><li>Your overall objective and that of the Team is to provide a tax return service which helps our customers follow all applicable tax laws and regulations, file all of their tax returns on time and pay the right amount of tax, when due, in each of the territories where they do business.</li><li>As part of a wider team, you will engage with the appropriate Accounting, Tax, Commercial, Legal and Treasury teams to ensure that our goals are met and provide services that cover multiple local jurisdictions where the tax rules are complex and compliance obligations differ from territory to territory.</li><li>You will be responsible for the complete, accurate and timely preparation and submission of VAT returns together with supporting analysis for management review, across VAT accounting, which includes VAT return to GL reconciliations, journal preparation and monthly balance sheet reconciliations.</li><li>Liaising with key stakeholders you will ensure efficient and accurate reporting and regularly communicate with the wider business to ensure a thorough understanding of requirements aligned with business needs.</li><li>You will onboard new operating entities, with potential exposure to non-UK entities, which would involve scoping out the reporting requirements for the new VAT compliance tool, data gathering, UAT testing and assessing the exception testing requirements.</li><li>Other key activities will include process maintenance and continuous improvements, aligning processes to develop digital reporting requirements, VAT reporting process controls, reviewing and approval of invoices, providing technical support and tax advice to the business, detailed tax data analysis, and reporting on accuracy and compliance matters.</li></ul>We tend to look for people with: <ul><li>Professional Accountancy or Tax qualification (ACA, ACCA, CTA etc) or part-qualified with proven VAT Compliance PQE.</li><li>Experience with VAT compliance, Ledger accounting or other tax compliance activity is an advantage.</li><li>Strong Excel and financial systems skills (eg. Oracle, Hyperion).</li><li>Excellent communication and interpersonal skills.</li><li>Experience working in a complex environment, whilst delivering to deadlines.</li><li>Ability to research and resolve complex accounting or taxation issues.</li><li>European VAT experience is also an advantage.</li></ul>What's in it for you? <ul><li>Competitive salary.</li><li>25 days annual leave with the option to purchase 5 more.</li><li>Access to wellbeing and mental health benefits such as the Calm app, personal medical, critical illness cover and dental insurance.</li><li>Matched pension contribution up to 10%.</li><li>Access to our car benefit scheme.</li><li>Access to our online learning platform to continue to develop and grow your career with us.</li><li>The chance to join an innovative, fast-paced and passionate team.</li></ul>Who we are: We're building Tomorrow's Connections Today, bringing people together through the power of our technology. Liberty Global is a world leader in converged broadband, video and mobile communications and an active investor in cutting-edge infrastructure, content and technology ventures. With our investments in fibre-based and 5G networks, we play a vital role in society, currently providing over 85 million fixed and mobile connections and rolling out the next generation of products and services, while readying our networks for 10 Gbps and beyond. We're creating national champions, combining the best broadband and mobile networks under brands such as Virgin Media-02 in the UK, VodafoneZiggo in The Netherlands, Telenet in Belgium, Sunrise in Switzerland, Virgin Media in Ireland and UPC in Slovakia. Liberty Global Ventures, our global investment arm, has a portfolio of more than 75 companies and funds across content, technology and infrastructure, including strategic stakes in ITV, Univision, Plume, Lionsgate and the Formula E racing series. Our scale enables us to transfer knowledge and expertise across our operations and investments, creating a dynamic family of brands united in the pursuit of innovation and excellence. And we're prioritising diversity, equity and inclusion in our workplace and communities while reducing our impact on the environment. We are using technology as a force for good, for our people, our partners and the planet. Liberty Global is an equal-opportunity employer. We embrace diversity and are committed to creating an inclusive environment for our people. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process. We're 100% committed to having a workforce that represents every part of our society. So, we're keen to hear from candidates of all backgrounds and circumstances.

Finance Manager - VAT Compliance

Line of Service Assurance Industry/Sector Banking and Capital Markets Specialism Risk Management Level Senior Manager Job Description &amp; Summary Our Team Our Banking Conduct team works with global banks and capital market firms on a range of regulatory and business change programmes. We bring expertise in risk and regulation, and work with our clients to design and implement change to their operating models, governance, processes and controls. Most recently, our projects have included: <ul><li>Trading Supervision and Controls reviews and remediation,</li><li>Front to back migrations of trading desks as part of firm's post Brexit response activities including the Desk Mapping Review,</li><li>ESG Target Operating Model implementations and supporting firms with their Corporate Sustainability Reporting,</li><li>Broader governance and controls reviews and remediation (including w.r.t. transaction reporting, algorithmic trading, trader mandates)</li></ul>Our teams are self-starting, agile and thrive on new and diverse challenges. We work across Front Office, Risk Management, Operations and Finance supporting critical business change initiatives and remediation programmes. We operate globally, working with the global PwC network to deliver large scale change. You will take a leading role across a range of projects to build a broad range of expertise and be passionate about delivering value and insights to your clients. You'll invest time in building your client relationship network and thrive on taking on new challenges in unfamiliar situations. Your Responsibilities <ul><li>Lead significant components of business change and conduct risk transformation projects, which may include managing several concurrent client programmes, reporting on progress to Directors and above.</li><li>Develop strategies to solve complex technical challenges, help firms to rethink their approach to risk and control, and work with our clients to create robust and sustainable change, including through the incorporation of technology enablement and AI.</li><li>Build and maintain effective working relationships with senior client stakeholders and help pursue commercial opportunities with new and existing clients.</li><li>Keep up to date with significant economic challenges and share insights to support the development of your team's technical acumen.</li></ul>Your Experience <ul><li>Experience working within financial services risk and control projects either from a consulting, banking or regulatory background.</li><li>Experience working with senior stakeholders, developing effective working relationships and providing insightful management information.</li><li>Experience leveraging technology tools and generative AI in day to day activities, or as part of projects or programmes of work. (Ideal but not essential)</li><li>Strong commercial awareness, sound reporting skills and experience leading teams whilst working under your own initiative.</li><li>Excellent communication skills, both verbal and written.</li><li>Strong attention to detail, including robust analysis and presentation skills (Excel, Powerpoint, Power BI/Tableau)</li><li>The ability to work under pressure and deal with ambiguity.</li><li>Relevant qualifications e.g. ACA, CFA are ideal but not essential.</li></ul>Education (if blank, degree and/or field of study not specified) Degrees/Field of Study required: Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Desired Languages (If blank, desired languages not specified) Travel Requirements Not Specified Available for Work Visa Sponsorship? Yes Government Clearance Required? No Job Posting End Date

Wholesale Banking Risk & Control Lead Analyst - Senior Manager

About Revolut People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products - including spending, saving, investing, exchanging, travelling, and more - help our 45+ million customers get more from their money every day. As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 10,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Our Controls team sits at the very core of Revolut. Those special agents work across functions, products, and regions to monitor front-line performance and ensure that the business is on safe footing. People in the Controls team are the superstars running our first line of defence. They are amongst the first in the company to get involved in new business initiatives, from App Technology, through Treasury and Finance, to Customer Support We're looking for a Business Risk Manager to sit within the first line of defence at Revolut. An analytical mind to develop sustainable growth strategies that align with operational risk frameworks. Someone who'll take our risk management procedures to the next level, Up for the challenge? Let's get in touch What you'll be doing <ul><li>Identifying, assessing, documenting and regularly reviewing operational risks</li><li>Designing, implementing and testing controls</li><li>Developing and testing key procedures</li><li>Creating and reviewing key risk indicators</li><li>Registering risk events, managing and delivering risk incident reports</li></ul>What you'll need <ul><li>2+ years of work experience in Operational Risk Management or Management Consulting, preferably in financial services</li><li>Previous examples of practically interpreting and organising complexity</li><li>A solid track record of achievement: you have quickly assumed responsibilities or have won competition awards (can be any of academic, professional, and/or sport)</li><li>Organised and methodological approach</li><li>Strong interpersonal skills</li></ul>Building a global financial super app isn't enough. Our Revoluters are a priority, and that's why in 2021 we launched our inaugural D&amp;I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We're doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That's why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team. Refer to our Data Privacy Statement for Candidates for details on our data handling practices during your application.

Business Risk Manager

About Revolut People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products - including spending, saving, investing, exchanging, travelling, and more - help our 45+ million customers get more from their money every day. As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 10,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role We're looking for a Head of Regulatory Compliance to join the Compliance team at Revolut NewCo Ltd (our entity, which has applied for a UK Banking Licence). The Revolut NewCo Compliance team is a 2LOD function which is responsible for advising, monitoring, and oversighting the compliance position of the entity. The team is made up of five pillars (regulatory compliance, financial crime, compliance, monitoring, and advisory, data protection, and regulatory affairs). This role is to lead the regulatory compliance pillar and reports directly to Revolut NewCo's Chief Compliance Officer (SMF16). This role has also been identified as a material risk taker (MRT) role under Revolut NewCo's proposed Senior Managers and Certification Regime (SMCR). This position is critical to support the buildout of Revolut NewCo and will be the future focal point for all activity on Regulatory Compliance. We are looking for someone with extensive experience in the UK financial industry and proven experience in leading a compliance team that's excited to design, lead, and shape the future of oversight and compliance. Up for the challenge? Get in touch What you'll be doing <ul><li>Building and leading a team of FCA and PRA regulatory compliance subject matter experts</li><li>Engaging with NewCo Exco and Board members on the compliance position of NewCo</li><li>Supporting the Chief Compliance Officer in the delivery of their prescribed responsibilities (specifically, conduct rules, training, and reporting</li><li>Implementing NewCo's certification regime and production of non-financial regulatory reporting)</li><li>Running NewCo's horizon scanning, regulatory mapping, conflicts of interest, and anti-bribery and corruption processes</li><li>Leading on embedding a culture of compliance within NewCo.</li><li>Deputising for NewCo's CCO in their absence</li><li>Performing compliance reviews of new products</li><li>Identifying regulatory issues proactively and recommending remedies to promote compliance</li><li>Preparing responses to ad hoc regulatory requests and ensuring the highest reporting standards are maintained</li><li>Supporting the CCO in the chairing of NewCo's Compliance committee</li></ul>What you'll need <ul><li>10+ years of regulatory compliance experience, covering a wide range of FCA Handbook and PRA Rulebook topics across retail banking, including consumer duty, SMCR, SYSC, CONC, COBS, BCOBS, etc. </li><li>Experience of C-Suite and Board-level engagement on compliance topics</li><li>Excellent knowledge and experience of identifying compliance risks and potential vulnerabilities, advising on best practices to effectively and efficiently address those findings</li><li>Knowledge of how to conduct regulatory gap analysis, policy creation, and implementation</li><li>The desire and drive to learn, grow, and create an impact quickly as part of an expanding entity</li><li>Exceptional critical thinking, problem-solving, and communication skills</li><li>Experience working in a fast-paced environment with a focus on execution</li></ul>Building a global financial super app isn't enough. Our Revoluters are a priority, and that's why in 2021 we launched our inaugural D&amp;I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We're doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That's why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team. Refer to our Data Privacy Statement for Candidates for details on our data handling practices during your application.

Head of Regulatory Compliance

Join us as an IRB Risk Modelling Manager <ul><li>This is a key role where we'll look to you to lead the development and maintenance of quantitative models used in the bank's risk frameworks</li><li>You'll have the chance to supervise the day-to-day operation of analysts in your team, giving depth and variety to your development</li><li>You'll be joining a team with a collaborative culture in a fast paced and high profile role</li></ul>What you'll do As an IRB Risk Modelling Manager, you'll be integral in the design, development and maintenance of effective and compliant IRB, IFRS 9, stress test and decision support models and related analytics. You'll be leading a team of highly technically skilled managers and model developers, making sure that you support their ongoing coaching and development. You'll also be: <ul><li>Providing the business and other stakeholders with advice and support on model use, model impact and model implementation</li><li>Supporting regulatory engagement and internal governance in relation to risk models and model frameworks</li><li>Supporting the business through developing and maintaining risk and decision-support models</li><li>Providing actionable MI on all aspects of model performance</li><li>Assisting your team manager with setting objectives for analytical resource and assessing performance</li></ul>The skills you'll need We're looking for someone with experience of working in a modelling function or a related quantitative function, part of which is from a retail or wholesale banking environment. You'll also be qualified to degree level in a numerate discipline with a background in data driven analysis and statistical or mathematical modelling. To be successful in this role, you'll also need: <ul><li>Experience of the development and practical application of credit risk models, including scoring and model monitoring, with a strong preference in IRB</li><li>Extensive banking and financial services experience</li><li>Strong coding skills with Python, PySpark, with AWS being preferred as well as experience of working with very large data sets</li><li>A broad background of risk systems, methodologies and processes in a retail or wholesale bank environment</li><li>Strong project management skills and the ability to work well as part of a team, sharing ideas and learning from others</li><li>The ability to translate complex and statistical techniques into simple, easily understood concepts</li><li>Excellent problem solving skills and the ability to identify alternative solutions</li></ul>Hours 35 Job Posting Closing Date: 19/09/2024 Ways of Working:Hybrid

IRB Risk Modelling Manager

THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: <ul> <li>Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.</li> <li>Complete necessary sections of Regdata reports and Connect applications as needed.</li> <li>Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions.</li> <li>Update company policies, procedures, and help deliver regulatory training.</li> <li>Stay informed on regulatory changes and integrate this knowledge into company policy.</li> <li>Be passionate about fintech compliance, and be able to use your knowledge and experience to help formulate strategy, propose solutions and manage risk..</li> <li>Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations.</li> <li>Be a collaborative member of the Compliance team to uphold an effective compliance framework.</li> <li>Work across departments, including AML Finance, Risk, Product, Tech, and Sales and Marketing, to maintain compliance standards.</li> <li>Promote a compliance-focused culture with consumer interests at the forefront.</li> <li>Aid in the development of compliance processes that align with business and regulatory demands.</li> <li>Support risk-based compliance programmes that protect consumers and ensure financial crime regulation compliance.</li> <li>Contribute to reports for management and the Board on compliance matters, highlighting any major risks.</li> </ul>EXPERIENCE REQUIRED: <ul> <li>At least 3+ years of directly relevant generalist compliance &amp; financial crime experience in a buy side investment firm</li> <li>Operational knowledge in building and running a compliance program and hands-on knowledge of UK regulatory requirements</li> <li>Be driven and determined to be part of a high-growth start-up team where you will have the opportunity to make a significant impact</li> <li>Knowledge of the FCA handbook, HMRC ISA rules, JMLSG and GDPR guidance</li> <li>To be prepared and be flexible in research through, knowledge and using industry contacts, to find answers where you may not have previous experience</li> </ul>For further information please contact Spencer Evans

Compliance Officer

What you can expect to be doing: <ul> <li>Review financial promotions, providing education and training to the business towards continuous improvement. Working to regulatory requirements to review, challenge (as necessary) and approve app, website copy and marketing material falling within the definition of Financial Promotions ensuring we are Fair, Clear and Not Misleading. </li> <li>Provide product specific advice, guidance as well as independent challenge and oversight to 1LOD business teams.</li> <li>Gathering MI, taking minutes and managing stakeholders for Chip's monthly Consumer Outcomes Committee </li> <li>Reviewing and updating policies as part of our governance Risk &amp; Compliance Committee </li> <li>Overseeing all UK regulatory reporting, ensuring timely and accurate submission of reports to the FCA (PSD2 &amp; MiFID II)</li> <li>Build strong relationships with 1LoD to deliver a collaborative working environment between Compliance and the business. </li> </ul>What we're looking for: <ul> <li>Must have good experience of Financial Promotions signoff</li> <li>A thorough understanding of the Financial Services regulatory framework that exists in the UK</li> <li>Deep working knowledge of relevant laws, regulations and industry best practices related of compliance and financial services </li> <li>Previous experience in a financial services Compliance role, in particular Payment Services and Investments</li> <li>Excellent written and verbal communication skills</li> <li>Critical thinking and problem-solving skills.</li> <li>Attention to detail and organisational skills.</li> <li>Competence in planning and conducting of monitoring/assurance reviews.</li> <li>A Compliance qualification (desirable). </li> </ul>What we're really looking for: Someone with a genuine interest in Chip and is excited about being part of a fast-growing company and our mission to build the investment super app of the future. Although we're in the financial space, and under the scrutiny that comes with it, the current compliance team works well together, and even sometimes with a smile. We're sure you've got the technical skills, otherwise, you would have stopped reading by now, so let us be clear on what will make us want to work with you. We want a real person, with interests outside of work, to join our team. You could be a dancer, a gamer, a musician, a parent, a hockey fan, or even that one person that still writes Twilight fan-fiction. Doesn't matter to us. At the interview stages, we will be looking for empathy, eq, fun stories, and the ability to smile even when things are tough. PERKS <ul> <li>£45,000 - £60,000 per annum</li> <li>Discretionary share option bonus</li> <li>Workplace pension scheme</li> <li>Private medical insurance (medical history disregarded)</li> <li>Employee Assistance Programme</li> <li>Cycle to work scheme</li> <li>Season ticket loan</li> <li>Free ChipX subscription for UK-based employees</li> <li>We are an equal-opportunity employer and value diversity</li> <li>Flexible working arrangements</li> <li>Unlimited holiday (policy not to count) </li> <li>Annual £1500 Personal Learning Allowance</li> <li>£30 per monthChip Fitness Benefit to suit your Mental/Physical Wellbeing</li> <li>Company laptop</li> <li>Opportunity to have a huge impact on our product while fast-tracking your knowledge, responsibility and skills in a high-growth fintech startup </li> </ul>Our Interview Process: <ol> <li>Video screen with someone from our Talent team</li> <li>Video interview with the hiring manager</li> <li>Final interview with Group Head of Compliance</li> </ol> Our mission is to build wealth for our generation Chip started out in 2017 as a clever app to help people save without lifting a finger. Fast forward five years, and now we've grown into an award-winning wealth app used by over 500,000 people and managing over 4 billion pounds. And we're not slowing down. Our vision We know planning for your future can be a tedious, daunting task often avoided, so we want to change that. We're building the wealth app for our community, giving them one place for saving and investing. We're giving customers control and guidance to effortlessly build their long-term wealth using award-winning tech, while celebrating their achievements along the way. Who we are Chip has a creative and diverse team of 160, from all different backgrounds and industries. We're driven and passionate people, but no one takes themselves too seriously. Don't just take our word for it. We have a few awards under our belt, including Best Personal Finance App at the 2022 &amp; 2024 British Bank Awards. Our Values Be ACCOUNTABLE Everything you do matters, Care about the end result, Challenge the norm, Disagree, yet commit to making it happen once a decision has been made, Do the best job possible Be BOLD Share our Ambition and do your bit to achieve it, Innovate: challenge the norm, break the mould and make it happen, Set goals that truly align with our mission, Do your best for our customers Be COLLABORATIVE Work cross-functionally - we win as a team, Build strong relationships based on trust, Treat others fairly and respectfully, Hold others to account, Be supportive and inclusive, Have fun together Equal Opportunities We are passionate and committed to our people and go beyond the rhetoric of diversity and inclusion. You will be working in an inclusive environment and be encouraged to bring your whole self to work. We will do all that we can to help you successfully balance your work and home life. As a growing business we will encourage you to develop your professional and personal aspirations, enjoy new experiences, and learn from the talented people you will be working with. It's talent that matters to us and we encourage applications from people irrespective of their gender, race, sexual orientation, religion, age, disability status or caring responsibilities. Note to Agencies Chip does not accept unsolicited CVs from recruiters or employment agencies in response to any of our live roles on our career page. Chip will not consider or agree to payment of any referral compensation or recruiter fee relating to these unsolicited CVs. Chip explicitly reserves the right to hire those candidate(s) without any financial obligation to the recruiter or agency. Any unsolicited CVs, including those submitted to hiring managers, are deemed to be the property of Chip. Department Compliance Role Senior Compliance Analyst Locations Shoreditch Remote status Hybrid Remote

Compliance Advisory Specialist

Location: Glasgow. Job type: Full time - Permanent. Working: Hybrid - 2 days in the office per week. Hours: 09:00-17:00. The Role The mission of the firm's Information Security and Risk team is to establish a risk-managed environment that enables the firm to adequately and reasonably protect the confidentiality, integrity and availability of information used by the business and on behalf of clients. The successful candidate will be primarily supporting the team's mission by focusing on internal and Client related security governance, compliance, audit, due diligence and management of risk. The role will require the candidate to work as part of the team that manages overall information security assurance and compliance, maintaining an information security management system (ISMS), responding to client driven information security questions, due diligence and audit requests in a timely manner, represents the firm in external audit and carries out internal audit and controls assurance. The role requires a broad working knowledge of information security standards, best practices, good organisational and writing skills and attention to detail. The role must be sensitive to the nature of Client communication and interactions, and the business context to the requests made of the team. The individual must be self-motivated and feel comfortable working across departments and with other members of the IT team to deliver these services in a timely manner and with a high degree of quality. Key Responsibilities <ul> <li>Review proposed Client engagement contracts, SLAs and complete client due diligence questionnaires, audit requests and competitive bids, working to Client orientated deadlines.</li> <li>Maintain repository of standard information security responses and design effectiveness evidence for external audit, client assessments, client RFPs, etc</li> <li>Maintain and uphold the firm's certifications and Information Security Management System in line with the standard, facilitate such internal and external audit exercises plus ensure timely remediation for any identified non-conformance as is necessary to keep compliance with the ISO27001 certification.</li> <li>Assess and recommend information security, governance, risk management, and compliance services and working practices that reflect emerging Client expectations and best meet, develop and improve the firm's current and future information security environment. Assist the Information Security, IT and other departments with the identification and measurement of security risks and help identify appropriate controls. Carry out periodic assurance of controls to ascertain design effectiveness and maturity.</li> <li>Assist members of the team to carry out other workloads relating to the operation of the Information Security department during periods of higher demand, or where additional resources are required.</li> <li>Facilitate continual improvement by investigating and utilising latest technologies such as Artificial Intelligence/Machine Learning and other process methodologies to help transform the delivery of the services with a focus on greater efficiency and accuracy.</li> <li>Identify emerging Client implications and requirements for consideration into the firm's information security frameworks, strategy, roadmap, policies and into IT initiatives roadmap.</li> <li>Stay abreast of technical, industry, regulatory and company changes and/or trends as they relate to cyber security, the legal industry, information management, InfoSec, technological standards/trends and IT efficiencies.</li> <li>Facilitate/establish and report on monthly metrics and Key Performance/Risk Indicators relating to Client due diligence work.</li> <li>P rovide education and insight to members of IT and other relevant areas, relating to the requirements and expectations of Clients. </li> <li> Build and maintain relationship with the team and relevant members of the Risk and Client Operations departments share best practice and ensure that due diligence activities are coordinated and executed efficiently. </li></ul> Essential Skills and Experience <ul> <li> Proven experience of working in an Information Security and IT Risk Management role within a fast-paced environment. Experience within the legal industry is ideal, but not essential. </li> <li> Operational knowledge of one or more international information security standards, risk management and control frameworks/practices g. ISF SOGP, ISO27001/2, ISO31000, IRAM2, NIST 800-53 and cybersecurity framework. COBIT, CPS-234 etc. </li> <li> Strong organisational skills and the ability to handle multiple conflicting priorities. </li> <li> Able to work to very tight deadlines under pressure and to assimilate information quickly. </li> <li> Strong interpersonal skills including confidence, positivity, diplomacy, the ability to influence and persuade, maintain an open viewpoint, and to gain credibility quickly across the Firm and with Clients. </li> <li> Excellent verbal and written communication skills, with the ability to simplify technical points where required, and to present effectively to senior stakeholders and managers. </li> <li> Demonstrates attention to detail with a high level of accuracy. </li> <li> Positive and tenacious with the ability to pro-actively drive initiatives forward and motivate resources within and outside their team. Work with external teams where it is required, to comply with certification and due diligence requirements, exercising diligence and due consideration to their prevailing workloads. </li></ul> Business Services Competencies Clyde &amp; Co is committed to providing extensive, personal, and professional development opportunities for our people enabling them to be highly effective in their current role as well as assisting them to fulfil their career aspirations. The competencies are used to inform all aspects of Business Services career development. They vary across levels and different business areas and fall under the following areas: <ul> <li> Technical Excellence </li> <li> People and Team </li> <li> Client/Stakeholder Relationships </li> <li> Service Delivery and Commercial Awareness </li> <li>Personal Effectiveness</li></ul>#LI-KH1 Additional Documents Attachment Uploaded by Firm User Download

Information Security Assurance and Compliance Specialist

Boku Inc. (BOKU.L) is the leading global provider of local mobile-first payments solutions. Global brands including Amazon, DAZN, Meta, Google, Microsoft, Netflix, Sony, Spotify, and Tencent rely on Boku to reach millions of new paying consumers who do not use credit cards with our purpose-built payment network of more than 250 local payment methods that reach 7 billion accounts across 65 countries. Every year, Boku processes over $9 billion in value for our customers. Incorporated in 2008, Boku is headquartered in London and San Francisco and has employees in over 39 countries around the world, including Brazil, China, Estonia, Germany, Ireland, Japan, Singapore, and the UAE. Boku is a truly global company that takes pride in its diversity and thriving equal opportunity workplace. Boku is a busy, exciting, and demanding place to work, but it's the people that make the company. The mix of cultures, viewpoints, and experiences are vital for a global company like ours and every person's contribution is valued. If you are looking for a new challenge in an exciting, innovative, and international working environment, we are the ideal company for you. Job Description: As an Operational Compliance Officer, you will play a critical role in ensuring Boku remains at the forefront of regulatory compliance within the rapidly evolving financial services industry. Reporting directly to the Head of Compliance, you will be responsible for monitoring, analysing, and interpreting upcoming regulations and industry developments to proactively position the organisation for compliance. Key Responsibilities: <ol><li>Merchant Due Diligence:</li><ul><li>Conduct comprehensive due diligence on new and existing merchants to assess their risk profile.</li><li>Analyse merchant documentation, financial statements, and business operations to ensure compliance with regulatory standards.</li><li>Evaluate merchant backgrounds, ownership structures, and transaction patterns to identify potential risks or anomalies.</li></ul><li>Sanctions Checks:</li><ul><li>Execute sanctions screening processes to verify merchant entities and individuals against relevant sanctions lists.</li><li>Utilize automated screening tools and databases to conduct thorough sanctions checks.</li><li>Investigate and escalate any potential matches or discrepancies identified during sanctions screening.</li></ul><li>Ongoing Compliance Queries:</li><ul><li>Serve as a primary point of contact for internal stakeholders regarding compliance-related inquiries.</li><li>Respond promptly and effectively to compliance queries from various departments within the organization.</li><li>Collaborate with cross-functional teams to address compliance concerns and implement corrective actions as needed.</li></ul><li>Regulatory Compliance:</li><ul><li>Stay abreast of regulatory developments and changes in the financial industry pertaining to merchant due diligence and sanctions screening.</li><li>Interpret and apply regulatory requirements to the company's operations, policies, and procedures.</li><li>Assist in the development and enhancement of compliance frameworks and controls to ensure alignment with regulatory expectations.</li></ul><li>Documentation and Reporting:</li><ul><li>Maintain accurate records of due diligence activities, sanctions checks, and compliance queries.</li><li>Prepare comprehensive reports documenting compliance findings, trends, and recommendations for management review.</li><li>Assist in the preparation of regulatory filings and audits related to merchant due diligence and sanctions compliance.</li></ul></ol> Qualifications: <ul><li>Minimum of 4+ years of experience in regulatory compliance within the financial services industry, with a focus on Operation Compliance.</li><li>In-depth knowledge of the regulatory environment for payment institutions and relevant international regulations.</li><li>Strong understanding of payment systems and other compliance-related functions.</li><li>Excellent communication, analytical, and problem-solving skills.</li><li>Ability to work collaboratively and influence cross-functional teams.</li></ul>Benefits: <ul><li>Competitive salary and performance-based incentives.</li><li>Comprehensive healthcare and retirement benefits.</li><li>Professional development opportunities and ongoing training.</li><li>Dynamic and collaborative work environment.</li><li>Opportunity to make a significant impact within a growing organisation.</li></ul>

Operational Compliance Officer

<ul> <li>Glencore International AG</li> <li>Maidenhead, Berkshire, United Kingdom</li> <li>Compliance Department</li> </ul>Our Corporate Compliance Department in Maidenhead is looking for a Compliance Officer for the KYC team. You will be working in a highly diverse and fast paced international environment with the opportunity to contribute to the compliance programme. You will have frequent interactions with the business, counterparties, with other departments locally and globally. This position offers remote working opportunities for an agreed number of days per week. The main tasks and responsibilities <ul> <li>conduct KYC due diligence on new and existing counterparties globally and locally from e.g. a sanctions, anti-money laundering (AML), prevention of facilitation of tax evasion and reputational perspective</li> <li>conduct quality assurance on other team members' KYC cases and handle escalations of KYC on high-risk counterparties</li> <li>support other KYC team members and be a "go-to-person" for questions</li> <li>interact directly with our counterparties and internal stakeholders across the globe in relation to the KYC due diligence</li> <li>conduct compliance screening and resolve overnight matches on counterparties in order to identify, document and mitigate compliance, regulatory and reputational risks</li> <li>work with the team head and team members on various compliance projects and enquiries</li> </ul>Our Ideal Person <ul> <li>is motivated, enthusiastic and a true team player with a high level of trust and integrity </li> <li>is able to prioritize appropriately and work well in a time-sensitive setting</li> <li>has a problem-solving mind-set and takes initiative</li> <li>adapts to new information efficiently</li> </ul>Qualifications and requirements <ul> <li>academic degree (or equivalent) </li> <li>5 years+ of relevant working experience (e.g. in KYC, AML, sanctions or equivalent) </li> <li>experience from an international company is an asset </li> <li>interest in compliance topics</li> <li>fluent in English (corporate language), any additional language is a benefit, but not essential</li> <li>very good written and verbal communication skills</li> <li>good know-how in using IT applications (e.g. MS Office)</li> <li>eligibility to work in the UK</li> </ul> Who we are Glencore is one of the world's largest global diversified natural resource companies and a major producer and marketer of more than 60 commodities that advance everyday life. Through a network of assets, customers and suppliers that spans the globe, we produce, process, recycle, source, market and distribute the commodities that support decarbonisation while meeting the energy needs of today. With over 150,000 employees and contractors and a strong footprint in over 35 countries in both established and emerging regions for natural resources, our marketing and industrial activities are supported by a global network of more than 50 offices. Glencore's customers are industrial consumers, such as those in the automotive, steel, power generation, battery manufacturing and oil sectors. We also provide financing, logistics and other services to producers and consumers of commodities. Glencore is proud to be a member of the Voluntary Principles on Security and Human Rights and the International Council on Mining and Metals. We are an active participant in the Extractive Industries Transparency Initiative. We will support the global effort to achieve the goals of the Paris Agreement through our efforts to decarbonise our own operational footprint. We believe that we should take a holistic approach and have considered our commitment through the lens of our global industrial emissions. Against a restated 2019 baseline, we are targeting to reduce our Scope 1, 2 and 3 industrial emissions by 15% by the end of 2026, 25% by the end of 2030, 50% by the end of 2035 and we have an ambition to achieve net zero industrial emissions by the end of 2050, subject to a supportive policy environment. For more information see our 2024-2026 Climate Action Transition Plan and the About our emissions calculation and reporting section in our 2023 Annual Report, available on our website at glencore.com/publications. Note*: All applications will be subject to potential background checks. You will be informed if this will be the case. Further information about the processing of your personal data will be made available during the application process. We'll seek your explicit consent prior to processing the data #LI-JD

Compliance Officer KYC

<ul> <li>Glencore International AG</li> <li>Maidenhead, Berkshire, United Kingdom</li> <li>Compliance Department</li> </ul>Our Corporate Compliance Department in Maidenhead is looking for a Compliance Associate / Compliance Analyst for the KYC team. You will be working in a highly diverse and fast paced international environment with the opportunity to contribute to the compliance programme. You will have frequent interactions with the business, counterparties, with other departments locally and globally. This position offers remote working opportunities for an agreed number of days per week. The main tasks and responsibilities <ul> <li>conduct KYC due diligence on new and existing counterparties globally and locally from e.g. a sanctions, anti-money laundering (AML), prevention of facilitation of tax evasion and reputational perspective</li> <li>interact directly with our counterparties and internal stakeholders across the globe in relation to the KYC due diligence</li> <li>conduct compliance screening and resolve overnight matches on counterparties in order to identify, document and mitigate compliance, regulatory and reputational risks</li> <li>work with the team head and team members on various compliance projects and enquiries</li> </ul>Our Ideal Person <ul> <li>is motivated, enthusiastic and a true team player with a high level of trust and integrity </li> <li>is able to prioritize appropriately and work well in a time-sensitive setting</li> <li>has a problem-solving mind-set and takes initiative</li> <li>adapts to new information efficiently</li> </ul>Qualifications and requirements <ul> <li>academic degree (or equivalent) </li> <li>relevant working experience (e.g. in KYC, AML, sanctions or equivalent) </li> <li>experience from an international company is an asset </li> <li>interest in compliance topics</li> <li>fluent in English (corporate language), any additional language is a benefit, but not essential </li> <li>very good written and verbal communication skills </li> <li>good know-how in using IT applications (e.g. MS Office)</li> <li>eligibility to work in the UK</li> </ul>Who we are Glencore is one of the world's largest global diversified natural resource companies and a major producer and marketer of more than 60 commodities that advance everyday life. Through a network of assets, customers and suppliers that spans the globe, we produce, process, recycle, source, market and distribute the commodities that support decarbonisation while meeting the energy needs of today. With over 150,000 employees and contractors and a strong footprint in over 35 countries in both established and emerging regions for natural resources, our marketing and industrial activities are supported by a global network of more than 50 offices. Glencore's customers are industrial consumers, such as those in the automotive, steel, power generation, battery manufacturing and oil sectors. We also provide financing, logistics and other services to producers and consumers of commodities. Glencore is proud to be a member of the Voluntary Principles on Security and Human Rights and the International Council on Mining and Metals. We are an active participant in the Extractive Industries Transparency Initiative. We will support the global effort to achieve the goals of the Paris Agreement through our efforts to decarbonise our own operational footprint. We believe that we should take a holistic approach and have considered our commitment through the lens of our global industrial emissions. Against a restated 2019 baseline, we are targeting to reduce our Scope 1, 2 and 3 industrial emissions by 15% by the end of 2026, 25% by the end of 2030, 50% by the end of 2035 and we have an ambition to achieve net zero industrial emissions by the end of 2050, subject to a supportive policy environment. For more information see our 2024-2026 Climate Action Transition Plan and the About our emissions calculation and reporting section in our 2023 Annual Report, available on our website at glencore.com/publications. Note*: All applications will be subject to potential background checks. You will be informed if this will be the case. Further information about the processing of your personal data will be made available during the application process. We'll seek your explicit consent prior to processing the data #LI-JD

KYC Compliance Associate / Compliance Analyst

Vacancy Name Legal Compliance Analyst Vacancy No VN1561 Business BASE Dept Code Governance Risk &amp; Compliance Employment Type Full-Time Location Country United Kingdom Description About the role and who you'll be working with: The Legal Compliance Analyst will be an integral member of the compliance team and the firm, working closely with the Compliance Manager and Assistant Compliance Manager in Europe and compliance teams of the organization globally to help ensure that the businesses are operating legally; both management and employees are in compliance with the rules and regulations of regulatory agencies, company policies and procedures are being followed and that displayed behaviour in the organisation meets and exceeds the firm standards of conduct and risk management. What you'll be doing The Legal Compliance Analyst will have a supportive and supervisory function and is integral to ensuring that procedures and protocols are followed reporting to the Compliance Manager and Assistant Compliance Manager to ensure that all client information is accurate and updated our database, full transparency of high risk relationships to senior management and the implementation of the compliance monitoring programme is effective to help mitigate against risks faced by the organization. The role will also involve ensuring that management and employees are in compliance with the rules and regulations of regulatory agencies, company policies and procedures, and that behaviour in the organisation meets the minimum firm standards of conduct and risk management. The Legal Compliance Analyst will get involved in a range of administrative, filing, screening and due diligence tasks to ensure accurate records of all relevant client entities is maintained and reviewed at all times. Responsibilities: • Assist management (Compliance Manager and Assistant Compliance Manager) to administer day-to-day tasks while monitoring, managing, and delegating tasks to the Compliance team by allocating resources effectively • Conducting screening, research and background checks to identify PEPs, sanctions issues and other regulatory and reputational risks to prevent money laundering, tax evasion and any other illegal activities • Drafting high risk and PEP client submissions for onward escalation to the Compliance Officer and Risk Committee for review and approval; ensure enhanced due diligence policies and procedures are followed • Create and maintain a Team action tracker detailing all matters currently being worked on, future projects, legacy projects, monitoring progress to ensure completion in a timely manner and within agreed deadlines. • Checking internal tracking systems and incoming emails for compliance requests and coordinate the compliance team as needed • Perform CDD file review, monitor and report on progress • Effectively deal with resourcing (e.g. when staff are out, planned or otherwise) • Prepare suspicious transaction reports for external authorities if needed • Involved in conflict check process • Liaising with members of the staff across different teams, and third parties regarding general compliance matters • Play a key role in communication between different global business units and team members • Run training sessions as needed (Ad Hoc, Launch &amp; Learn, Induction); • Assist with the design and implementation and on-going maintenance of administrative processes; • Ensuring that the compliance database is updated in a timely manner both in person and by the team • Reporting to Compliance Manager and Assistant Compliance Manager on work in progress by running reports on a regular basis • Running integrity data control reports such as UBO information, ad hoc data clean ups like name fields, gender, etc. • Other compliance duties as assigned by senior management Qualifications &amp; Experience: • Bachelor's degree in business administration, law, finance, compliance, corporate governance or relevant field • Minimum of three (3) years' in similar roles, experience in the offshore legal industry will be an advantage. • Working knowledge and understanding of sanctions regimes, PEPs and other high risk categories; understanding of complex structures and SPVs • Highly computer literate - proficient in using Microsoft, Excel and PowerPoint; candidates with knowledge and experience using Intapp and Service Now will be highly advantaged. This also applies to experience in using other Screening tools such as LexisNexis and Riskscreen • Experience with management, Board and regulatory reporting is required • A fundamental understanding of AML/CFT rules and excellent AML/CFT Training skills • Excellent communication skills both written and verbal and organizational skills • Self-motivated and able to work without close supervision • Effective communicator, excellent interpersonal and people management skills • Excellent time management skills with the ability to work under pressure and prioritise multiple tasks Applications Close Date 24 Nov 2024

Legal Compliance Analyst

We are seeking a highly skilled and knowledgeable Global Trade Management Specialist to join our client team. This role is pivotal in navigating the complex landscape of global trade, with responsibilities spanning across Trade Operations &amp; Compliance and Export Controls areas. The successful candidate will possess a deep understanding of laws and regulations related to customs and export controls globally, advising our business units and organization on best practices to reduce risks and/or costs while ensuring compliance. About the company: This entity, previously a segment of a renowned power solutions provider, now operates independently, specializing in groundbreaking environmental and energy innovations. Building on a legacy of innovation and reliability, it is committed to pushing the boundaries of sustainable technologies. The organization focuses on crafting products and systems aimed at reducing emissions, boosting energy efficiency, and facilitating the global shift towards cleaner energy sources. Location: Rumst, BelgiumContract type: Full-time Contract of Employment Responsibilities: Trade Operations and Compliance: <ul> <li>Maintain and expand knowledge of import/export laws and regulations within the assigned geography, ensuring compliance across all activities.</li> <li>Provide technical expertise and evaluate processes to identify and implement opportunities to reduce risks and costs.</li> <li>Advise the business on capturing new opportunities and meeting current needs in a compliant and cost-effective manner.</li> <li>Resolve complex, non-routine problems as a point of escalation.</li> <li>Review and present management reports on import/export activities and conduct necessary training.</li> <li>Foster strong relationships with governmental organizations and brokers to ensure consistent compliance and documentation support.</li> <li>Guide and direct team members, delegating work assignments based on skills and development needs.</li> </ul>Export Controls: <ul> <li>Develop and maintain expertise in export control laws and regulations related to defense and dual-use products, including necessary registrations for compliance.</li> <li>Communicate changes in laws and regulations, reviewing and preparing compliance documentation.</li> <li>Oversee Export Control Number assignment and Restricted Party Screening programs, ensuring robust processes and compliance across all business units.</li> <li>Act as a point of escalation for resolving complex problems related to export controls.</li> <li>Develop strategies to reduce risks and costs, implementing process changes to seize opportunities.</li> <li>Build and maintain strong relationships within the business to support compliance and documentation efforts.</li> <li>Lead and contribute to trade-related projects to achieve regional and global objectives.</li> </ul>Qualifications: <ul> <li>College, university, or equivalent degree, or equivalent experience, is required.</li> <li>Licensing for compliance with export controls or sanctions regulations may be necessary.</li> <li>Strong understanding of global import/export laws and regulations.</li> <li>Proven ability to advise on compliance matters and implement cost-reduction strategies.</li> <li>Excellent problem-solving skills and ability to handle complex issues.</li> <li>Strong communication and interpersonal skills, with an ability to train and lead teams.</li> <li>Ability to maintain and foster relationships with governmental organizations and business units.</li> </ul>Additional Responsibilities: <ul> <li>Manage Trade operations activities in accordance with AEO and Bonded Warehouse licenses obligations.</li> <li>Provide support to other sites in Europe on Trade matters.</li> <li>Lead and contribute to projects with Trade implications to deliver on regional and global objectives.</li> </ul>What we offer: <ul> <li>Hospitalization Plan - AXA</li> <li>Pension Plan - AG Insurance</li> <li>Eco Vouchers</li> <li>Meal Vouchers</li> <li>Commuting reimbursement</li> </ul>Locations Rumst, Brussels Remote status Hybrid Remote

Trade Compliance Manager

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com Overview CIBC is a leading North American financial institution with 10 million personal banking, business, public sector and institutional clients. CIBC offers a full range of advice, solutions and services in the United States, across Canada and around the world. In the U.S., CIBC Bank USA provides commercial banking, private and personal banking and small business banking solutions and CIBC Private Wealth Management offers investment management, wealth strategies and legacy planning. CIBC works to help you make your ambitions a reality with a team that is committed to being always professional, genuinely caring and collaborates to find simple solutions as we build our relationship-focused bank for the modern world. Every year, CIBC is recognized for its business success, community commitment and employee initiatives. We are proud of this success and are committed to creating an inclusive workplace and an environment where all of our team members can excel. Risk Analytics Process Enhancement, Compliance Manager: As Risk Analytics &amp; Infrastructure (RAI) process enhancement project manager, you will directly report to the Head of Risk Analytics Process Enhancement and be responsible for (1) development and maintenance of processes and standards critical to the team's success; (2) project management for risk data and analytics enhancement project; (3) coordination &amp; collaboration with others in risk management, audit, and lines of business across the 3 lines of defense to help ensure CIBC US meets relevant short-term and long-term regulatory expectations on risk analytics; (4) management of relationship and programs development with IT and corporate/enterprise data owners Key responsibilities and accountability: <ul><li>RAI process enhancement - promote and facilitate achievement of higher robustness and efficiency via standardization, optimization, and automation to enhance risk analytics processes</li><li>Measuring / reporting the cost and benefits of RAI </li><li>Manage RAI compliance to satisfy Internal Audit, Model Risk Management, external audit and regulatory requirements</li><li>Coordinate response to risk analytics information requests, from both internal and external audit, regulatory examination and inquiry</li><li>Maintain awareness of upcoming or proposed industry regulatory actions and supervisory guidance, industry range of practice and best practices, and 'lessons learned' from similar projects at other banking organizations</li><li>Work together with other team members to ensure compliance with regulation and internal policy and procedures in project executing and deliverables, including RCSA, record management</li><li>Act as project manager for risk analytics project/programs to ensure on time and successful execution in support of the organization's short term and long term risk management strategy </li><li>Understand and manage priorities of all stakeholders, manage competing and conflicting priorities to help achieve the best outcome for the organization </li><li>Track and report the status of all related risk projects </li><li>Escalate critical issues to ensure timely resolution and success of the risk analytics program</li><li>Prepare and create RAI training materials, regulatory presentation decks and other documentation, key message decks, group communications, </li><li>Collaborate with IT to ensure successful delivery of the team's needs, on time, to spec, and within budget</li><li>Plan and help facilitate RAI team meetings and strategic planning sessions and other team building activities.</li></ul>Qualifications <ul><li>Exhibiting CIBC's values of trust, teamwork, and accountability</li><li>5-8 years of experience in banking risk management or internal audit, preferably in risk analytics or related areas</li><li>Experience in risk management with large US or foreign banking organizations preferred</li><li>Excellent project oversight and leadership skills</li><li>Superior time management skills, with ability to effectively prioritize </li><li>Strong process improvement skills</li><li>Strong relationship management and interpersonal skills</li><li>Track record of successfully coordinate cross-function teams</li><li>Excellent verbal and written communication and ability to effectively present information within and across team both verbally and in writing</li><li>Proficiency in MS Office, especially MS Word, Excel, PowerPoint, SharePoint, </li><li>Exposure to the regulatory landscape of the banking industry</li><li>Bachelor / master degree with a major in economics, statistics, finance, accounting, business administration or related are area is preferred</li><li>Risk data and/or modeling, model risk management, IT experience is a plus.</li></ul>Skill requirements <ul><li>Executional excellence: You have the organizational skills, meticulous attention to detail, high sense of responsibility, and generalist skill set to take on a wide range of high priority tasks in support of the Chief Risk Analytics and Infrastructure Officer and Risk Analytics leadership team. You are dependable, and always deliver quality work</li><li>Communication skills: You excel in oral and written business communication that clearly convey process and compliance requirements, and demonstrate superior skills in writing thorough and effective policy, procedure, standards, and framework documents </li><li>Facilitation skills: You design thoughtful processes/ meeting agendas and are skilled at chairing or facilitating meetings or sessions that make progress on high stakes discussions with senior stakeholders </li><li>Ability to collaborate effectively and follow up to ensure achievement of deadlines, outcomes and results </li><li>Ability to resolve conflicts and competing priorities</li><li>Familiar with bank risk management and reporting rules, regulations and guidance such as Basel II/III, FRB SR11-7, CCAR, CECL, FR Y-9C, Y-14, Reg YY, Reg W, OSFI E-23, MST, etc.</li></ul>Authorities/Decision Rights This job has the authority to recommend changes to business processes in order to enhance oversight, operational efficiency and effectiveness. Compliance Requirements/Responsibilities As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls. At CIBC, our people are our greatest asset. You'll become part of a diverse community that acknowledges everyone's unique talents and empowers teams to do what's right for the client and to do it well. As part of our team, you will: <ul><li>Thrive: Benefit from an open and approachable culture that provides the flexibility and support you need to integrate your life at work and home.</li><li>Connect: Work in a place where the right technology and infrastructure foster innovation, collaboration, and creativity.</li><li>Develop: Grow your skills and career through our best-in-class onboarding experience, ongoing learning opportunities, individual development planning, and comprehensive product training.</li><li>Prosper: Share in our collective success with a competitive salary, incentive pay, banking benefits, health benefits programs, retirement savings, and more.</li></ul>California residents - your privacy rights regarding your actual or prospective employment At CIBC, your goals are a priority. We start with your strengths, ambitions and strive to create opportunities to tap into your potential. What you need to know <ul><li>CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact <a href="mailto:Mailbox.careers-carrieres@cibc.com" target="_blank">Mailbox.careers-carrieres@cibc.com</a></li><li>You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.</li><li>We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.</li></ul>Expected End Date 2024-06-14 Job Location IL-120 S LaSalle St Employment Type Regular Weekly Hours 40 Skills Bank Regulations, Communication, Compliance Requirements, Interpersonal Relationships, Project Management

Risk Analytics Process Enhancement, Compliance Manager

HANAC, Inc. - originally founded by George Douris as the Hellenic American Neighborhood Action Committee - is a New York City-based multi-faceted social services organization. The organization was founded in 1972 to serve the needs of vulnerable populations throughout New York City. The Occupancy Compliance Specialist is responsible for the overall day-to-day operations of affordable residential units. The Occupancy Compliance Specialist works closely with the Director of Property Management to ensure overall day-to-day Compliance operations of properties, which includes the supervision of the compliance specialist team functions and ensuring each property's compliance with all and any applicable program regulations. Responsibilities include but are not limited to: <ul><li>Perform all aspects of apartment leasing such as assisting with the preparation and execution of initial certification, new resident orientation, and move-in.</li><li>Prepare rent bills every 25th of the month</li><li>Distribute all rent bills to each super before the 1st of the month</li><li>All rent payments to be collected and posted daily</li><li>When needed physical bank deposit conducted</li><li>Late notices to be issued by the 5th of each month</li><li>Review all accounts in Yardi for non-payment by the 15th of each month.</li><li>On a daily basis contact tenants, and social services to discuss any late to non-payment issues to assess a course of action to correct. </li><li>Make appointments with tenants to address rent issues, repairs, and annual inspections. (Tenant Log to be updated)</li><li>Create all legal notices to send to tenants and keep record in the legal section of the tenant's folder and maintain the tracking Memo Log in Yardi</li><li>All documentation collected for Legal, in-house agreement, late notice, court stipulation, completed work order, pictures, and inspection forms are to be unloaded in the resident card.</li><li>Court stipulations are to have a work order created in the event a repair was identified in the order and upon completion upload in Yardi the signed work order or certification of repair with the wo. </li><li>Work with the maintenance team to ensure the apartments are ready for move-ins, move-out walkthrough/collection of keys, monitor the 2-week turnover process, HQS failures, HQS abatements, audits, and REAC, are prepared or corrected within 30 days. </li><li>All vacant apartments ready are to have a minimum of two prospects and up to three weeks with a file completed for review</li><li>Assist as needed with outside resources to obtain rental assistance with the program, such as HRS, FHEPS, NYS, Housing Eviction prevention services, etc.</li><li>Biweekly meeting to report, AR, collection of Arrears, in-house agreements, vacancies, move-in, and legal.</li><li>Review delinquency reports on a daily basis</li><li>Assist property managers with questions and issues relating to tenant compliance.</li><li>Assisting in the marketing of vacant units, contact the next available applicants for vacant units.</li><li>Collect all received applications and time stamp to add on spread sheet. They are to be scanned to P drive General application list.</li><li>Send out invitation screening to applicants</li><li>Conduct inspection for move-in, move-out, and Section 8.</li><li>Assist in maintain property resident files, property compliance binders, and other documents needed during audits and MOR/building inspections.</li><li>Prepare for annual file audits by reviewing tenant files, gathering needed documents, and confirming sites are following applicable government regulations and are ready.</li><li>Responsible for organizing and maintain residential files ensuring uniformity throughout the sites. </li><li>Responsible for organizing, maintaining, and keeping track of applications and waitlists in Yardi.</li><li>Follow up with applicants to obtain required LIHTC, Home, Homeless, and Sec 8 documentation.</li><li>Manage resident correspondence and recertification notices including scheduling the apartment inspection.</li><li>Completing ad-hoc projects, as needed by the Director or Property Management and Property Managers.</li></ul>Qualifications: <ul><li>Associate's degree with 3+ years' experience preferred or High School diploma/GED with a minimum of 5+ years' experience. </li><li>Familiarity with affordable housing.</li><li>Knowledge of HUD, LIHTC Home, and Homeless programs.</li><li>LIHTC Certification, fair housing certification, and 5059 Certification (a must or willing to be certified once trained)</li><li>Possess excellent organizational, interpersonal, verbal, and written communication skills.</li><li>Ability to work with staff individually and as a team. </li><li>Proficiency with Microsoft Office Suite, particularly Word, Excel, and Outlook.</li><li>Yardi Voyager software experience is a must.</li><li>Must be willing to adhere to all Company COVID-19 workplace safety policies and protocols.</li></ul>Salary Range: $ 50,000 - $65,000 per year

Occupancy Compliance Specialist

About Us: Mbanq is a Banking-as-a-Service provider with operations and customers in the United States. Mbanq was established to provide the technological capabilities necessary to create and operate digital financial services. Mbanq's solutions are suitable for both retail and corporate clients. Consumer use cases supported range from the basic debit programs (DDA account with a Debit Card) to pay-day advances, personal lines, loans, and secured credit cards. Corporate use cases are currently focused on DDA accounts with Debit cards plus real-time access to all payment rails (standard ACH, Same Day ACH, FedWire, RTP, SWIFT), card issuing and acquiring capabilities, compliance services, and white-labeled web &amp; mobile apps. About the Role: The Senior BSA Compliance Officer reports to the Head of Risk and Compliance, is a strategic member of the compliance team and will be the designated BSA Officer. This position is critical in ensuring clients and Mbanq comply with various BSA/AML/CIP/OFAC (BSA) requirements and will lead the Financial Crimes team. Responsible for developing, implementing, and maintaining BSA/AML framework, systems, and processes to ensure ongoing compliance as it relates to multiple FinTech partnerships and the Banking as a Service (BaaS) framework. Will advise the Head of Risk and Compliance and other staff of issues and recommendations to correct, preserve and/or enhance compliance activities. Individual must stay current on applicable state and federal regulatory requirements as well as designated policies, procedures, and practices. Requirements What you'll do day-to-day: <ul><li>Maintains current knowledge of the Bank Secrecy Act and all related anti-money laundering and OFAC regulations. </li></ul><ul><li>Provide FinTech partners with compliance-as-a-service and regulatory-as-a-service deliverables, including guidance and support related to BSA/AML matters </li></ul><ul><li>Partner with Sales and Onboarding on timely and thorough execution of Know Your Customer (KYC), Know Your Business (KYCB) and Enhanced Due Diligence (EDD) and responsibilities. </li></ul><ul><li>Performs daily review, monitoring, and analysis of various reports, logs, and transaction data to identify trends, unusual activity, and monitor large currency activity; determines if transactions are suspicious in nature. </li></ul><ul><li>Facilitates BSA/AML monthly and quarterly reporting for senior leadership (Mbanq and FinTech partners). Reporting of monthly metrics to compliance and FinTech leadership/BoD and up through Mbanq. </li></ul><ul><li>Assists in the development, coordination, and facilitation of training programs to educate bank personnel about BSA related compliance requirements and procedures. </li></ul><ul><li>Facilitate in the preparation and execution of the independent BSA Risk Assessment and audit; in addition, to other external audits and testing. </li></ul><ul><li>Periodic travel to headquarters and other meetings as necessary (10 to 15% travel). </li></ul>About You: <ul><li>A Bachelor's degree in business, accounting, finance, economics, or a related business discipline. </li></ul><ul><li>3-5+ plus years of experience in Compliance and AML roles, and 2-3 years experience as a people manager </li></ul><ul><li>BSA/AML Compliance expertise gained through the ability to understand and interpret financial regulations and design and implement appropriate compliance controls </li></ul><ul><li>Strong presentation and relationship management skills, with the ability to communicate and articulate regulatory requirements and/or resulting analysis effectively, while inspiring confidence and with an enthusiastic and approachable style. </li></ul><ul><li>Highly effective executive communication skills and experience creating persuasive arguments and presentations intended to educate and influence others </li></ul><ul><li>Must have prior experience successfully supporting business units with the execution of aforementioned responsibilities. </li></ul><ul><li>Excellent leadership skills demonstrated through problem-solving skills, ownership of issues seen through to resolution, providing sound guidance to the business, and positively influencing organizational culture. </li></ul><ul><li>Ability to manage workload and shift priorities to meet deadlines in a dynamic and rapidly changing environment. </li></ul><ul><li>Proficiency in the use of Risk Management tools and systems to analyze the degree of compliance with external regulations. </li></ul>Benefits <ul><li>Competitive base salary </li></ul><ul><li>A role that has a decisive impact on positioning our team and company for future growth </li></ul><ul><li>Collaboration with Senior experts from different fields, based in the US and globally </li></ul><ul><li>A culture that encourages trust &amp; promotes an ownership mentality and rapid career growth </li></ul><ul><li>Health Insurance Reimbursement Program</li></ul><ul><li>Unlimited PTO </li></ul>

BSA Compliance Officer - Financial Crimes

Komatsu is an indispensable partner to the construction, mining, forestry, forklift, and industrial machinery markets, maximizing value for customers through innovative solutions. With a diverse line of products supported by our advanced IoT technologies, regional distribution channels, and a global service network, we tap into the power of data and technology to enhance safety and productivity while optimizing performance. Komatsu supports a myriad of markets, including housing, infrastructure, water, pipeline, minerals, automobile, aerospace, electronics and medical, through its many brands and subsidiaries, including TimberPro, Joy, P&amp;H, Montabert, Modular Mining Systems, Hensley Industries, NTC, and Gigaphoton. Job Overview Komatsu Longview Operations is seeking an experienced ISO Compliance Specialist to join our team. The successful candidate will be responsible for ensuring that our services, processes, and systems meet both internal and regulatory standards. Key Job Responsibilities <ul> <li>Conduct thorough evaluations to ensure services, processes, and systems meet internal and regulatory standards.</li> <li>Draft and review technical documents, ensuring alignment with ISO 9001:2015 standards and organizational processes.</li> <li>Build strategic partnerships and collaborate with various departments to implement and enhance quality management systems.</li> <li>Ensure the promotion and awareness of the management system and legal requirements throughout the site for ISO 9001 and ISO 45001.</li> <li>Coordinate, conduct, and assist with ISO training.</li> <li>Oversee the Internal Audit Scheduling and internal auditing program.</li> <li>Assist with internal auditing.</li> <li>Coordinate and assist in root cause analysis using various tools and methodologies to avoid future and recurring non-conformances.</li> <li>Coordinate corrective actions including data follow-up.</li> <li>Follow up on all ISO non-conformance corrective actions.</li> <li>Report and recommend corrective actions for any ISO issues.</li> <li>Provide technical advice and support for ISO compliance.</li> <li>Ensure all responsible parties document corrective actions on time.</li> <li>Verify implementation of corrective actions according to schedule.</li> <li>Follow up preventive action for effectiveness.</li> <li>Assist with the generation of compliance reports, including statistical data on management system performance, established objective tracking, key performance indicators, and informative OHS and QMS data, which is used as a basis for improvement.</li></ul>Qualifications/Requirements <ul> <li>Previous experience in ISO Lead auditing and demonstrated experience interfacing with quality system registrars.</li> <li>9001 and 45001 External Lead Auditor Certification.</li> <li>Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, welding codes, or governmental regulations.</li> <li>Experience with SAP.</li> <li>Formal RCA training.</li> <li>Bachelor's degree in business, management, psychology, or related field.</li> <li>5+ years of experience in manufacturing.</li> <li>3+ years of experience in ISO Management Systems.</li> <li>Good communication skills.</li> <li>Proficiency with Microsoft Office Suite.</li> <li>Familiarity with ISO 14001 implementation and sustainment</li></ul>Additional Information Komatsu is an Equal Opportunity Workplace and an Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.

ISO Compliance Specialist

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com What You'll Be Doing The incumbent will, as his/her prime role, play an important part in ensuring that market risk for CIBC's global commodities trading desk is completely captured, quantified and controlled. The role will provide independent oversight of market risks for the products traded by the global commodities desk which includes energy (crude oil, natural gas), metals (precious, base), agriculture, commodity index and environmental products. The role will include ad-hoc analysis of specific risks and transactions. In addition, the candidate will be expected to participate in leading group-wide projects, contributing innovative thinking and an advanced analytical approach. The incumbent will require a good understanding both financial markets in general as well as the analytical principles underlying the pricing and risk management of complex derivatives. This position interfaces with traders, treasury, operations, financial control, audit, technology, middle office and other departments within Capital Markets Risk Management (CMRM). The nature of the role involves making timely decisions with respect to complex risk scenarios in a high stress, time sensitive trading room environment. At CIBC we enable the work environment most optimal for you to thrive in your role. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview. How You'll Succeed <ul><li>Analyze and report on the risk profile of the commodities business, maintaining a continuous awareness of issues affecting the risk management of these markets.</li><li>Recommend appropriate risk limits and ensure processes are in place to monitor against limits. Review that the line of business activities fall within pre-established boundaries and expectations or concerns are escalated for management review.</li><li>Ensure the integrity or risk measurements and limit monitoring, resolve violations of market and credit risk limits and monitor linkage of trading P&amp;L to risk appetite. Review market risk limits on an ongoing basis.</li><li>Work with infrastructure partners in the onboarding of new products or initiatives, including risk assessment and capture.</li><li>Work closely with different parts of CMRM to facilitate effective dissemination of timely and accurate market risk information to senior management.</li><li>Work closely with technology and business support groups in ensuring continued development of comprehensive risk capture processes, taking a lead role in ensuring the integrity of market and risk data.</li><li>Perform User Acceptance Testing for new initiatives in methodology changes, risk measures and new programs.</li><li>Work closely with CMRM quantitative analysts to develop/enhance portfolio risk and stress test modeling.</li><li>Monitor the global macro market environment, reporting on the impact of market events on current portfolios</li><li>Communicate technical, analytical and conceptual information regarding market measurement/methodology to various internal stakeholders throughout the organization.</li></ul>Who You Are <ul><li>5-10 years of practical risk management and/or trading experience in commodity markets, particularly in oil, gas, metals, power and environmental trading.</li><li>Familiarity with methodologies for quantifying and analyzing market risks; good knowledge of relevant systems/programming issues.</li><li>Knowledge of VaR and PFE methodologies.</li><li>Familiarity with methodologies for quantifying and analyzing market and credit risks and knowledge of exchange traded and OTC derivative products and corresponding regulatory capital framework.</li><li>Demonstrated interest in markets and macro trends and the ability to assess impacts on our portfolios.</li><li>Strong interpersonal and communication skills with particular ability to translate technical complex issues for a variety of audiences. Excellent negotiation and mediation skills are highly desirable.</li><li>Undergraduate degree in a quantitative discipline preferred (Mathematics, Engineering or Computer Science).</li><li>Highly proficient Excel skills as well as knowledge of Python, VBA, and/or other programming languages a plus.</li><li>Self-motivated and flexible approach. Strong attention to detail and ability to focus on macroscopic view. Able to work independently and as part of a team. Able to effectively manage multiple projects of varying complexity.</li><li>Values matter to you. You bring your real self to work and you live our values - trust, teamwork, and accountability.</li></ul>At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $160,000 - $200,000 for the New York, NY market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee's needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members. Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process. What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. <ul><li>We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.</li><li>Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.</li><li>We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.</li></ul>*Subject to plan and program terms and conditions What you need to know <ul><li>CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact <a href="mailto:Mailbox.careers-carrieres@cibc.com" target="_blank">Mailbox.careers-carrieres@cibc.com</a></li><li>You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.</li><li>We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.</li></ul>Job Location NY-300 Madison Ave., 6th Floor Employment Type Regular Weekly Hours 40 Skills Analytical Thinking, Decision Making, Long Term Planning, Market Risk Analysis, Market Risk Management, People Management, Regulatory Requirements, Risk Management Framework

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