• Support Chief Compliance Officer/MLRO in developing the Compliance Program within the company
• Creating and updating guidelines, policies, routines and instructions within the compliance area
• Oversee the company's Data protection strategy and its implementation to ensure GDPR compliance.
• Supporting overall compliance activities, including administration and communication with regulators (e.g. preparing regulatory notifications and reports)
• Interpreting and implementing new and modified regulations
• Ensure regulatory obligations and compliance governance within the business
• Support in the preparation and execution of training of staff within regulatory requirements
• Advising the business within various compliance related matters
• Work closely together with Tech to develop and advise within compliance
• Collaborate with stakeholders across the organization in the development projects for new products and services
• Be the first point of referral for responses to regulatory investigations including investigations by the OAIC and FOS, arising from complaints being handled by the Operations team
• Analyse and review complaints and outcomes to identify risks/trends and escalate areas of concern in a timely manner.

Skills: Compliance Program Development, Policy Creation and Update, Data Protection Strategy, Regulatory Communication, Regulation Interpretation, Compliance Training Support, Regulatory Advisory, Risk Analysis and Escalation

• Monitor new and pending changes to laws, regulations, and regulatory guidance documents that may impact the organization, and assist in the implementation of new requirements.
• Complete risk assessment(s) and serve as a compliance resource on projects during the implementation of new products, processes, and services, including review and implementation of new or enhanced policies and procedures.
• Facilitate, maintain, and enhance, as needed, a comprehensive, risk-based compliance training program for new and existing employees.
• Recommend enhancements and changes to the compliance program to ensure effectiveness.
• Acts as a resource, instructor, and mentor for the education and development of Compliance Specialists and Compliance Officers
• Plan and conduct compliance reviews within established timeframes, ensuring all reviews conform to regulation as well as established departmental policies and procedures. 
• Prepare working papers and detailed reporting of findings and recommendations. 
• Ensure corrective action is taken.
• Provide guidance regarding compliance-related issues, including researching and collaborating with internal and external compliance resources 
• Review proposed marketing materials for approval, ensuring compliance and risk factors are adequately addressed.
• Interact with Management in coordinating appropriate responses to identified compliance risk concerns within the organization.
• Resolve consumer complaints.
• Act in accordance with FFC policies and procedures as set forth in the employee handbook.
• Adhere to compliance procedures and participate in required compliance training.

Skills: Regulatory Monitoring, Risk Assessment, Compliance Training Facilitation, Program Enhancement, Compliance Review Planning, Compliance Guidance, Marketing Material Review, Consumer Complaint Resolution

• Develop and implement practical application of necessary reviews and controls into daily operations and management systems.
• Maintain Sealing Devices Documented Export Control Program.
• Customer contact to obtain or clarify end use information.
• Investigation of export control issues.
• Establish classifications of suppliers to mitigate risk of non National exposure to controlled technical information.
• Perform periodic audits of exported items and employee understanding of export control practices.
• Provide employee training in company policies, red flag topics, internal control procedures and regulations and penalties.
• Perform and document item and order reviews using government classification tools and other regulatory information.
• Provide documented self-classification reviews based on customer end use information and regulatory guidelines.
• Necessary government reporting utilizing legal counsel 
• Review, Research, and Return all Product compliance requests from customers. 
• Develop an item compliance program within Sealing Devices’ ERP system.
• Maintain own training through applicable government agencies (Commerce, State, CBP). 

Skills: Export Control Management, Customer Interaction, Risk Classification, Audit Execution, Employee Training, Regulatory Research, Compliance Program Development, Continuous Professional Development

• Keeping up-to-date with industry and compliance changes, HMRC regulation, Anti-money laundering
• regulations, health and safety, HACCP and Food/Drinks safety
• Draft, modify and implement Company policies and regularly update to ensure compliance
• Obtaining Supplier due diligence packs and performing relevant HMRC and finance checks, prior to new suppliers being set up, and performing regular checks on the current suppliers list
• Working knowledge of Bonded Warehousing, and related HMRC regulations
• Working with the Assistant Operations Manager to achieve the BRC Accreditation, requesting
• suppliers to provide BRC accreditation certificates, product specifications and allergens list
• Manage all audit requirements and attain accreditations such as BRC Storage and Packaging; ISO 9001, 14001 certifications
• Ensure compliance with the Payment Card Industry Data Security Standard (PCI-DSS)
• Ensure compliance with GDPR
• Ensure the submission of obligated packaging waste
• Drive appropriate actions to ensure product compliance and corporate social responsibility in supply base
• Undertake any other projects in relation to compliance or industry compliance.

Skills: Regulatory Compliance, Policy Drafting and Implementation, Supplier Due Diligence, Bonded Warehousing Knowledge, Accreditation Management, Data Security Compliance, GDPR Compliance, Corporate Social Responsibility

• Reviewing and analyzing daily Tier 2 transactions and non-transaction operations
• Analyzing and performing a monthly review of account statements
• Advising branch managers when updates are required or documents are missing
• Following up on the various requests made by the Compliance Department
• Providing compliance support to branch managers & other business divisions
• Review Sales Communications for Advisory Network
• Conduct quarterly control testing (including supervisory controls) for the global Alternatives business
• Prepare management reporting of results of quarterly control testing, status of audit issue closure and ongoing project status / risks
• Participate in regulatory change project working groups and support the Alternatives COOs to consistently implement requirements by regulatory deadlines
• Support the preparation of regulatory filings, such as annual ADV updates
• Coordinate the global Alternatives delegation oversight process, including collection and reporting of quarterly MIS
• Coordinate with the businesses to ensure that procedures documents are updated annually and accurately represent business operations and key controls
• Assist with the closure of audit and Compliance issues
• Identify any recurring issues and analyze causes in order to reach a solution

Skills: Transaction Analysis, Account Review, Compliance Advisory, Compliance Support, Sales Communication Review, Control Testing, Regulatory Project Participation, Audit Issue Resolution

• Setting up compliance by design, especially in customer journeys or digital initiatives and while setting up playbooks for a further explanation of specific topics
• Promoting and explaining compliance related rules, policies and procedures.
• Actively creating awareness and increased sense of responsibility among management and employees with regard to rules and compliance as a whole and developing and giving training regarding compliance related items (not in a traditional way)
• Coordinating the monitoring of compliance and the reporting thereof and taking of or advising on the mitigation measures
• Coordinating proper responding on non-compliance
• Is end-to-end responsible for performing quality checks (2nd line of defence) on compliance assessments performed by countries in a portfolio, new products, and projects in portfolio.
• Regularly monitors and reviews risks as part of the compliance risk management process in the countries.
• Advises on further mitigation or on specific control testing.
• Evaluate country reports and advices countries on how to improve risk processes.
• Provides guidance and feedback to entity management and compliance teams in implementing the various initiatives launched by LPC.
• Actively advises and monitors LP entities on the (practical) implementation and advises management on improvements.
• Provides consultancy/training and facilitates knowledge sharing within-country portfolio in all compliance domains
• Initiates, formulates and advises on improvements in the reporting and process efficiency.
• Guides on incident learning reports, investigate (whistleblowing) incidents. 

Skills: Compliance Setup, Policy Promotion, Awareness Training, Compliance Monitoring, Non-compliance Response, Quality Assurance, Risk Review and Management, Incident Investigation Guidance

• Maintaining and improving Partners Group's compliance monitoring program 
• Maintenance of compliance related systems and controls, conducting compliance checks and investigations
• Drafting and reviewing periodic compliance reports, policies and directives
• Providing support in regulatory aspects of IT initiatives
• Contributing to regulatory projects (e.g. FIDLEG, MiFID II, ESG Regulation)
• Assisting with review of marketing materials and marketing activities
• Liaising with external and internal auditors, prepare documentation for regulatory audits
• Conducting AML tasks with respect to Partners Group AG
• Working closely with the B2B product teams ensuring that comply with all laws
• Anticipating potential changes & providing recommendations
• Working closely with the legal team ensuring all new products have appropriate legal advice
• Undertake periodic reviews of existing products & services
• Takes the lead in person-oriented investigations.

Skills: Compliance Monitoring, System and Control Maintenance, Compliance Reporting, IT Regulatory Support, Regulatory Project Contribution, Marketing Material Review, AML Task Management, Legal Collaboration

• Exposure to all areas of the business with significant exposure/interaction with the senior management 
• Great benefits and competitive compensation package (free healthcare and free lunch) 
• Manage Code of Ethics surveillance and monitor personal trade, gifts and entertainment, and email usage
• Prepare for and respond to regulatory inquiries and examinations
• Collaborate with team to lead the 206(4)7 annual review process
• Perform forensic testing to assess the adequacy of the firm’s policies and procedures, including fund pre- and post-trading surveillance and email surveillance
• Lead anti-money laundering screening efforts; conduct new hire, consultant and intern training
• Prepare internal allocations of expenses and manage the soft dollar approval and payment process, monitor expert network calls
• Assist with the preparation of regulatory filings (e.g., Form ADV, PF, CFTC, Blue Sky)
• Take responsibility to ensure that business units in the Region implement local regulations which are not addressed in any of the required compliance policies
• Ensure that employees in the Region are knowledgeable about legal, regulatory and policy requirements, aware of new risks, and committed to culture of compliance
• Takes responsibility for rolling-out in the Region the Group compliance policies and train staff appropriately
• Roll-out compliance communication and training actions for management and/or employees

Skills: Ethics Surveillance Management, Regulatory Response, Annual Review Leadership, Forensic Testing, Anti-Money Laundering Leadership, Expense Allocation Management, Regulatory Filings Preparation, Compliance Training and Communication

• Establish, implement, and manage compliance policies, procedures, and monitoring throughout the organization 
• Ensure that the compliance program is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with internal policies and regulatory requirements
• Stay up-to-date with regulatory developments, and interpret and apply across business
• Provide guidance to management and employees on ethics, business conduct, and compliance matters including the development and oversight of compliance training programs
• Oversee and implement testing programs to determine the adequacy and effectiveness of compliance controls, develop periodic reporting on test results
• Own corporate-wide compliance metrics and utilize data to support testing efforts and risk assessment
• Oversee third-party examinations and audits; ensure that information requests from insurance carrier partners, auditors, and regulators are completed accurately and on time
• Providing support for review of marketing materials to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA) and filing of materials with regulators
• Work closely and collaboratively with the Marketing Team on new initiatives, including social media campaigns
• Perform forensic testing of compliance-related activities
• Assist with various compliance monitoring activities
• Update policies and procedures, draft new policies and procedures
• Assist with the preparation and submission of various regulatory filings

Skills: Policy Management, Regulatory Monitoring, Ethics Guidance, Training Oversight, Testing & Reporting, Audit Coordination, Marketing Review, Regulatory Submissions

• Perform a detailed review of the audit reports prepared by the independent auditor to identify key risks and prioritize follow-up actions based on assessing the risks associated with audit findings and recommendations
• Review work performed by internal team members, to ensure actions taken to mitigate risks have been completed
• Working with external partners and if applicable outside legal counsel and internally with key SAP functions: Sales, Partner Organization, Legal
• Serves as liaison between SAP and the independent auditor for vetting audit results and recommendations
• Prepares regular Senior Management reporting that includes summarizing audit results appropriately so that key risks are transparent
• Supports Global initiatives and projects in the field of partner audit and monitoring
• Liaising and working closely with the local OEC field compliance teams
• Resolves issues with high complexity and cross-borders
• Develops collaborative work relationships within own team and cross-functional
• Communicates work assignments clearly and in a timely manner
• Serves as trusted advisor and functional peer to other teams in the organization
• Coordination with various internal business partners and other stakeholders
• Coordinate with key business partners, Legal and COO functions to develop or enhance the wealth management business and compliance practices
• Assess, address and escalate timely any compliance issues relating to the wealth management business

Skills: Audit Report Review, Risk Mitigation Verification, Cross-Functional Collaboration, Audit Liaison, Management Reporting, Global Compliance Initiatives, Cross-Border Issue Resolution, Stakeholder Coordination

• Communicate with data subjects to inform about how data is being processed and the rights have to data
• Provide advice to internal partners in the context of the relevant data protection requirements across APAC
• Give advice on data protection efforts, DPIAs and Privacy by Design questions
• Monitor and maintain records of all data processing activities conducted by the CS entities with focus on the countries in APAC
• Train the staff involved in data processing and support with the assessment of data subject right requests
• Coordinate data breach response and notification procedures together with the Group Data Protection Office
• Conduct regular and independent testing and monitoring to ensure compliance and address potential problems
• Develop and implement relevant projects relating to the strategic development of Data Privacy capabilities in APAC
• Liaise and coordinate communication with Data Protection Authorities (e.g. acting as the point of contact)
• Actively participate in Industry forums, including external speaking engagements.
• Review the policies and procedures of the company, and timely promote the revision and effectively implement of the P&Ps according to regulations and the company’s internal control management requirements.
• Provide Compliance support to the business for new projects
• Assist in the administration and development of trainings in conjunction with the broader compliance team on compliance or regulatory requirements
• Review and challenge business processes and practices to identify gaps against evolving regulatory requirements and/or industry best-practice

Skills: Data Subject Communication, Data Protection Advisory, DPIA Guidance, Data Processing Records Maintenance, Data Breach Coordination, Compliance Testing and Monitoring, Data Privacy Project Development, Policy Review and Implementation

• Maintaining a proficient level of knowledge of various federal banking laws and regulations related to commercial lending, including FinTech’s
• Advises on applicable regulations, and regulatory guidance, to include Reg B, Reg BB, SBA, financial technologies and other relevant regulations
• Providing compliance oversight and guidance on new products and initiatives within assigned business units and serving as a compliance Subject Matter Expert on new product/initiative project teams
• Serving as the main source of knowledge for the Enterprise Compliance Department regarding the systems, processes, and controls the assigned commercial lines of business have in place to mitigate compliance risk
• Clearly and concisely communicating compliance risks to assigned business units in the normal course of business and through formal reporting
• Assisting assigned business unit management in the development of controls, policies, and procedures to mitigate compliance risks identified through various means, including but not limited to internal audits, regulatory exams and internal compliance monitoring reviews
• Analyzes complex regulatory requirements to identify necessary changes to systems and processes
• Leads the development of initiatives required to address changes in regulatory requirements that affect responsible business units
• Researching compliance issues for management and providing guidance on applicable requirements
• Assisting with the compliance risk assessment by capturing applicable risks and controls for the commercial and consumer lines of business, determining the residual risk level, and identifying control gaps or weaknesses
• Working with the Enterprise Compliance Management to identify compliance related issues, performing root cause analysis, and assisting business unit with determining corrective action steps in accordance with the Bank’s Issue Management Program
• Assisting with the gathering of information for regulatory exams or audits
• Participate in compliance risk assessment of new business and new products according to the company's business development needs and regulatory requirements.
• In charge of routine compliance monitoring arranged by the department.

Skills: Federal Banking Regulations, Compliance Advisory, New Product Compliance, Compliance Risk Mitigation, Policy Development, Regulatory Change Analysis, Compliance Issue Research, Routine Compliance Monitoring

• Managing the collection of evidence from a variety of internal and external stakeholders to investigate suspected malpractice concerns.
• Evaluating facts and evidence to make informed decisions on whether malpractice has occurred.
• Deciding on outcomes that are justifiable and reasonable.
• Providing guidance to customers worldwide on regulations.
• Analysing data to identify trends in order to produce recommendations and inform process improvement
• Reviewing processes, procedures and external guidelines to ensure are always following best practice.
• Leading and helping with the design of programmes that improve compliance.
• Working with department heads to develop a program for reviewing and updating current processes across all business departments.
• Monitor internal compliance with internal processes.
• Ensuring that the business remains compliant with its regulatory obligations to the ICAEW, including annual compliance reviews, AML obligations, hot reviews, and cold review compliance.
• Performing research to stay informed about compliance standards.
• Organize and carry out compliance training and provide compliance consultation.
• Formulate and conduct compliance inspection plan, and promote relevant BUs to improve.

Skills: Evidence Analysis, Decision Making, Regulatory Guidance, Trend Analysis, Best Practices Review, Compliance Program Leadership, Process Improvement, Compliance Training, Compliance Inspection

• Handling the qualification and validation of the companies’ suppliers and customers
• Validating all transport companies and shipping lanes.
• Organising and planning the calibration and service schedules of company equipment.
• Carrying out and documenting risk assessments based on the company’s activities.
• Handling complaints and managing product recalls.
• Ensuring all company SOP’s are in accordance with licensing authorities.
• Recording and reporting deviations to the companies processes and implementing. corrective and preventative action (CAPA).
• Submitting applications for controlled drug import and export licenses.

Skills: Supplier and Customer Validation, Transport Validation, Equipment Calibration Management, Risk Assessment, Complaint Handling, SOP Compliance, CAPA Implementation, Regulatory Licensing Applications

• Draft Anti-Money Laundering legislation and reports
• Aid with relevant GDPR and Data Compliance work
• Adhere to statutory property industry compliance & PSRA regulation
• Complete new staff inductions for relevant company compliance requirements
• Assist with staff compliance training
• Assist with coordinating staff training for compliance matters 
• Monitor and report on the effectiveness of controls and the application of rules, regulations and the company’s compliance policies and procedures
• Engage with third party service providers to ensure outsourced activities are in compliance with regulations
• Ensure that adequate policies, procedures, systems and controls exist to enable the necessary compliance requirements of the company and clients are adhered to
• Build lasting relationships with all colleagues, regulators and other stakeholders.
• Support the Compliance Team in all day to day compliance queries

Skills: Legislative Drafting, GDPR and Data Compliance, Industry Regulation Adherence, Staff Induction Coordination, Compliance Training, Monitoring & Reporting, Third-Party Compliance Management, Stakeholder Relationship Building

• Assisting in the development of a quality assurance framework.
• Collaborating with key stakeholders to help build and monitor the performance of systems and processes.
• Undertaking internal compliance audits and daily reviews.
• Documenting and reporting relevant matters to the Compliance Manager.
• Reviewing and maintaining compliance frameworks to ensure continued compliance with relevant laws and regulations.
• Collaborating with various areas of the business to maintain customer satisfaction.
• Actively participate in the Compliance Monitoring programme.
• Oversee and complete regular departmental and thematic compliance monitoring reviews across relevant business areas
• Ensure all processes are being undertaken in accordance with regulations and company processes.
• Aid in the reporting of findings arising from the completion of the compliance monitoring programme, and present to relevant stakeholders in a timely manner.
• Conduct minute taking as required and prepare committee packs.

Skills: Quality Assurance Development, Stakeholder Collaboration, Compliance Auditing, Documentation & Reporting, Compliance Framework Maintenance, Customer Satisfaction Management, Compliance Monitoring, Regulatory Adherence

• Assist/Manage due diligence requests from external partners and service providers
• Develop and maintain a strong working knowledge regarding industry standards, applicable legislation, and technical working papers relevant to the compliance function
• Assist the Senior Compliance Manager in providing the business with accurate and timely advice and support
• Assist with the development and maintenance of internal Policies and Procedures to ensure compliance with applicable regulations
• Support the compliance team with the implementation of policies and procedures
• Draft and distribute internal documents with educational purposes regarding how to improve the compliance level
• Assist in the assessment of product, compliance, and operational risks
• Assist with the preparation and completion of reports and regulatory returns with various Regulatory authority’s
• Assist the Senior Compliance Manager with conducting periodic internal reviews or audits to ensure that compliance procedures are followed
• Consult with the legal team and other professionals on compliance matters
• Communicate confidentially with employees and management and address any concerns have about ethical or other compliance matters within a departments or division
• Assist with all DSARs from customers

Skills: Due Diligence Management, Regulatory Knowledge, Policy Development & Maintenance, Compliance Support & Advice, Risk Assessment, Internal Audit Execution, Regulatory Reporting, Confidential Communication

• Serve as the money laundering reporting officer for domiciled funds and the “RC” for Management Company, with accountability to regulators and fund boards of directors
• Ensure the fund AML programme meets regulatory obligations and enterprise standards and best practices
• Develop strong collaborative relationships with key stakeholders in fund management, fund administration and client servicing to facilitate strong end-to-end support of the fund compliance programme
• Manage internal and external audits and regulatory exams relating to the Fund AML compliance programme, attend to required AML related regulatory filings
• Maintain relevant policies and procedures, conduct risk assessments, and periodically report on the status of the programme to senior leadership and governance committees
• Provide advice and support to the business
• Draft regulatory Fund submissions, investigate and manage responses to regulatory questions
• Monitor and advise on regulatory change, co-ordinate the introduction of new regulatory requirements in the Fund AML programme
• Provide training to internal groups supporting the Fund AML compliance programme
• Educating employees and partners through training sessions.
• Motivating employees to exceed compliance standards.
• Conducting investigations to discover the root cause of compliance problems as arise.

Skills: Anti-Money Laundering Compliance, Regulatory Reporting, Stakeholder Engagement, Audit Management, Policy Maintenance, Risk Assessment, Regulatory Change Management, Compliance Training

• Providing regulatory and product governance advice and guidance to CEO
• Keeping abreast of any regulatory changes (horizon scanning) 
• Implementing and updating policies and procedures
• Regulatory engagement and liaison with the regulator and stakeholder management
• Management and governance of products, and undertaking reviews
• Regulatory reporting to the Board and Committees, making recommendations for changes to current procedures
• Designing and rolling out training across the business
• Implement, in the Region, the compliance program, supporting the business units and setting common compliance priorities and standards for the region businesses
• Take responsibility to ensure that each business units located in the Region implement the elements of the required compliance policies, taking into account local regulations if are stricter
• Assist with the creation of training materials and the delivery of presentations
• Maintaining, reviewing and updating the compliance manual
• Assist Head of Legal and Compliance generally 

Skills: Regulatory Advisory, Policy Implementation, Stakeholder Management, Product Governance, Regulatory Reporting, Training Design & Delivery, Compliance Program Management, Horizon Scanning

• Provide enabling guidance and technical expertise to Asset Management with respect to Asset Management initiatives and compliance requirements including implementation of the Compliance Program, review of regulations, regulatory submissions and reporting, guidance on investment restrictions and financial crime due diligence topics
• Identify Compliance Risk exposure that might impact Group Asset Management and businesses and coordinate accordingly with the relevant Compliance Officers or team
• Develop, maintain and deliver the Compliance Program and associated compliance risk mitigation standards for existing and new regulations including policies, guidelines, training and communication
• Monitor and act upon regulatory developments (including trade and transaction reporting, ESG, market conduct) relating to Compliance Risks and the associated regulatory obligations
• Perform Compliance Risk assessments and reporting to Senior Management
• Build and maintain cross-functional relationships with other team members & teams
• Support for the Coordinated Assurance Framework working with Group Internal Audit and Risk Management
• Understand each regulated entity’s regulatory requirements and implement necessary licensing and registration.
• Collaborate with different departments, affiliated companies to enforce rules and regulations.
• Communicate with various exchanges for trade reporting matters.

Skills: Regulatory Compliance, Asset Management, Compliance Risk Assessment, Policy Development, Training & Communication, Cross-functional Collaboration, Regulatory Reporting, Financial Crime Due Diligence

• Compliance experience either in banks/financial institutions/local regulators
• Strong knowledge and experience in managing local regulatory requirements
• Extensive experience in conducting risk assessments. 
• University degree in law, finance and/or economics
• French (both written and spoken)
• English fluent (both written and spoken), Italian
• Deep understanding of the French and EU regulatory environment and expectations
• Knowledge of the French AMF and ACPR main regulatory requirements, of the French Financial and Monetary code and the Reglement General of the AMF
• Knowledge of international Compliance regulations and international practices
• Ability to research laws and regulations and provide advice on the applicability within a given environment
• Deep understanding of the corporate and investment banking business
• Knowledge of financial institutions, correspondent banking and trade finance products and services
• Have worked in an audit, project management or quality management environment 

Qualifications: BA in Business Administration with 4 years of Experience

• Experience in the health care industry (or equivalent experience).
• Demonstrated knowledge in compliance process improvement and the requirements of Federal healthcare programs requirements. 
• Experience working under a Corporate Integrity Agreement (CIA) 
• An energetic and results-oriented leader who inspires confidence and possesses high personal and professional integrity.
• Clear, concise and persuasive writing and presentation skills.
• Strong organizational skills and an orientation to deadlines and detail.
• Ability to respond well under pressure.
• Skills in use of information systems, databases, Excel and Microsoft Word.
• Enjoys working as a member of a cohesive team, and is good at doing so.
• Well-developed communications and consensus building skills
• Strong presentation skills.
• Able to produce sound working documentation and presentations, including business case proposals and requirements, briefs and presentations.

Qualifications: BA in Finance with 5 years of Experience

• Insurance experience, with extensive background in a compliance, risk management or legal role, preferably with an MGA or insurance carrier in property and casualty insurance
• Significant experience with initiating, developing, implementing and maintaining written policies and written procedures, testing and risk assessment programs
• Comprehensive knowledge of insurance laws and regulations, risk management controls, internal control processes, as well as experience overseeing internal and external audits
• Experience in driving compliance and operational controls applicable to economic sanctions, anti-money laundering, privacy, conflicts of interest, code of conduct, anti-corruption, anti-trust, anti-boycott, insider trading and records management
• Excellent organizational and communication skills, including the ability to resolve conflict and difficult issues in a professional, assertive and proactive manner
• Ability to think and act strategically and tactically, multi-task, follow through on projects in a timely manner, and adapt to a fast-paced and changing environment
• Experience drafting policies and procedures
• Experience working in smaller teams and fintech experience 
• Good verbal and written communication skills Understanding of regulations such as MLR, JMLSG guidelines, PSD2 and GDPR
• Ability to work under pressure in a fast paced environment
• Experience of working in a Compliance function for a number of years
• Have experience of working in a complex shareholder set-up with diversified business departments 

Qualifications: BA in Law with 7 years of Experience

• Ability to manage multiple tasks in a fast-paced environment
• Highly detail oriented and possess strong organizational skills
• Team player who is able to collaborate across departments
• Strong work ethic and ability to prioritize projects
• Ability to work on tasks independently and escalate issues as arise
• Must be a self-starter, flexible, innovative and adaptive
• Strong analytical skills and compliance experience
• Strong interpersonal skills, using considerable tact, diplomacy, and judgment.
• Strong working knowledge of current Lending requirements and controls (Reg Z/TRID, HMDA, ECOA etc.).
• Be highly proficient in Word and Excel

Qualifications: BA in Accounting with 5 years of Experience

• Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, SEC and FINRA Rules and Regulations
• Proficiency in Microsoft Office products, in particular Excel
• Ability to manage multiple tasks simultaneously
• Ability to work as a contributing member of a team
• Excellent communication skills, both written and oral
• Fine attention to detail
• Knowledgeable with systems used to monitor employee personal trading
• Knowledgeable with coding and operating compliance systems employed in monitoring investment guidelines and restrictions (e.g., Charles River)
• Experience working with lending programs (including, but not limited to fair lending laws, BSA/AML, and more).
• Effectively communicate across various lines of business and senior management.
• Sufficient banking and regulatory knowledge, organizational and technical skill 
• Ability to effectively prioritize and execute tasks in a fast-paced environment.
• Experience in a compliance role working with banking regulations, assessing and addressing compliance risks of various bank products and services, customer types, and banking transactions 

Qualifications: BA in Criminal Justice with 4 years of Experience

• Understanding of the FCA Regulatory Framework and general principals of business
• Understanding of the Financial Ombudsman Service
• Experience in using and interpretation of the FCA handbook
• Knowledge of and experience using the FCA Connect registration system
• Knowledge and experience using the FCA RegData reporting system
• Knowledge and experience of the AR and IAR models within the FCA regime
• Knowledge and experience of complaint handling, investigation and reporting to the FCA / FOS
• Experience using Microsoft Office with good skills in Excel and PowerPoint
• Fluent English and French, any other language
• Experience managing projects of a cross-functional and/or technically complex nature.
• Work efficiently and independently in an ambiguous, fast-paced environment, with the discernibility to escalate urgent issues 

Qualifications: BA in Economics with 3 years of Experience

• Experience within the digital assets industry (cryptocurrency) is strongly preferred and advantageous.
• Demonstrating an understanding of regulatory requirements
• Ability to distil and discern important information from regulatory guidance, statutes and regulations, audit findings, and determine how it impacts the business.
• Excellent written, verbal and interpersonal communication skills 
• Proven history of working effectively with people at all levels both inside and outside the Company and within and across a decentralised international and matrixed environment.
• Motivated and solution-oriented, with the ability to work successfully across multiple cultures 
• Demonstrated success working closely within a team as well as independently.
• Perform and execute to a high standard autonomously with minimal supervision.
• Demonstrated ability to execute under pressure whilst meeting deadlines. 
• Must be adept at multitasking and able to adapt to changing priorities.
• Deep understanding of the fintech industry and related products 

Qualifications: BA in Political Science with 3 years of Experience

• Financial services industry experience in compliance, audit, or internal control functions strongly
• A good understanding of bank or trust and loan company regulations
• Proven ability to interpret the regulatory requirements and translate into compliance activity tailored to CTC products and processes.
• Strong verbal and written communication skills that illustrate the importance of compliance and how best to achieve it in accordance with the business objectives, suitable for Senior Management and Board reporting.
• Ability to gather, analyze, document and present large volumes of information in a succinct and organized manner.
• Ability to collaborate with all internal and external stakeholders (Management, auditors, regulators).
• High proficiency in Microsoft Office (Word, Excel, PowerPoint and Outlook) and Google Workspace
• Fluency in English and Mandarin (spoken and written). 
• Experience in Luxembourg as a Compliance Officer
• Flexible, motivated and dynamic, team player
• Experience interacting with local regulators

Qualifications: BA in Ethics with 3 years of Experience

• Knowledge of AML systems and routine use of MS Office
• Excellent hands-on knowledge of SQL
• Experience with data visualisation in BI Tools such as Tableau, Looker or similar
• Good organizational and communication skills
• Analytical thinking and an independent, self-reliant way of working
• Ability to work in a team and pursue the overall interests of the company
• Very good written and spoken German and English, other languages
• Exposure to and knowledge of SFC, MAS, SEC, and other jurisdictions including EU, JPN regulations/regulators
• Demonstrated history of adhering to the highest ethical and professional standards.
• Experience with ISO13485, ISO9001, GDP and quality
• An awareness of legislation relevant to medical devices and GDP

Qualifications: BA in Risk Management with 5 years of Experience

• Experience performing operational or investment due diligence of investment managers across multiple asset classes (e.g., hedge funds, private equity, real estate, fixed income, private credit, mortgages).
• Superior understanding of financial markets, institutional asset management, investment regulations, complex investment strategies, investment process and best practices relating to internal controls and procedures
• Ability to influence senior management and peers, be comfortable speaking up and providing counterbalance, while simultaneously maintaining collaborative relationships
• Ability to multi-task and exhibit high attention to detail and accuracy
• Demonstrates a strong commitment to AIMCo’s core values of excellence, transparency, humility, integrity and collaboration, and inspires the same in others
• Required language(s) spoken & written: English & BM. (Other language and dialect)
• Good communication skills
• Experience in service related industries 
• Self-motivated with strong organizational, communication and interpersonal skills.
• Outstanding attention to detail and organization skills with accuracy.
• Ability to multitask and excel independently in a dynamic environment under pressure

Qualifications: BA in Public Administration with 4 years of Experience

• Experience in compliance, KYC or similar position.
• Able to interpret and apply the law as well as the procedures. 
• Flexible, impartial and have a critical mind. 
• Able to cope with tight deadlines.
• Fluent in English and Dutch or French, both written and spoken.
• Excellent organizational skills demonstrated ability to create, plan and successfully execute projects the ability to meet multiple deadlines in a fast-paced environment.
• Able to adjust quickly to changing priorities and manage conflicts effectively and expeditiously.
• Ability to problem-solve and contribute to process improvement using innovative and cost-effective solutions.
• Ability to influence leadership on new ideas and approaches to improve processes.
• Innovative, with ability to develop recommendations for process changes and enhancements to improve efficiency and effectiveness.
• Proven ability to create and deliver Compliance Training Programs

Qualifications: BA in Business Administration with 5 years of Experience

• Experience in mobile money, banking, or other financial sectors
• Experience in Compliance, Internal Audit, Internal Control et Risk functions
• Proficiency in spoken and written French and English. 
• Fluency in Wolof 
• Proficient in Microsoft Word, Excel and PowerPoint.
• Experience in the Financial Services Industry (investment funds, banking, professional auditing firms, insurance, 3rd party provider, etc.)
• Knowledge of financial instruments and basic statistics.
• Experience with SQL or similar database skills
• Strong verbal and written communication skills, experience with proofreading 
• Analytical thinking, project management experience 
• Fluent in business English, plus an ability to speak German is highly preferred for this role due to the particularly prescriptive requirements in Germany,

Qualifications: BA in Finance with 3 years of Experience

• Excellent knowledge of securities laws and regulations in Singapore including Securities and Futures Act. 
• Familiarity with banking, securities and bank holding company laws and regulations is desirable
• Some understanding of the general operation of international financial markets, international trade, and the conduct of business on a cross-border basis
• Some understanding of the purpose and importance of effective regulatory oversight, risk management and corporate governance
• Some understanding of full service global financial institution, knowledge of financial products/services offered by Wells Fargo, including features and life-cycle and a general understanding of how these businesses operate, desirable
• Ability to identify Compliance risk and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate those risks
• Ability to identify and advise management of changes in the regulatory and compliance environment and design and implement appropriate Compliance solutions
• Experience of providing timely and prudent counsel and advice involving Compliance issues and solutions
• Excellent oral, presentation and written communication skills
• Self-motivated, confidence to communicate pro-actively and effectively with peers and senior management
• Ability to manage to a set of deadlines and deliverables with limited supervision

Qualifications: BA in Law with 8 years of Experience

• Excellent knowledge of HR compliance topics to include EEO and Affirmative Action Plans.
• Strong working knowledge of government regulatory compliance including the FAR, DFARS, GSAM/R, 38+ FAR Supplements, CAS, NISPOM and relevant professional auditing standards (e.g., GAGAS).
• Knowledge and experience working directly with GSA Federal Supply Schedule(s) including contract management administration and contract compliance.
• Experience as company representative/liaison working directly with government contracting officers, auditors and government administrators including support of the management and negotiation of government contracts, audits, pricing, reporting and other compliance requirements.
• Proven experience working directly with all government contract types including Grants, Coop Agreements and JV type contracting.
• Experience performing and managing risk assessments as well as developing and improving compliance programs.
• Demonstrates ability to balance legal, quality and business objectives and distinguishing between risk mitigation and risk elimination.
• Excellent verbal and written communication and advocacy skills
• Ability to interface and communicate effectively and diplomatically with all levels of personnel including individuals in many different functions and business units.
• Strong teamwork and collaboration skills. 
• Ability to build relationships across functions, service lines, geographies, and levels. 
• Strong leadership skills, including experience managing project teams on multiple priorities and providing direction to team members.

Qualifications: BA in Accounting with 15 years of Experience

• Experience in all the following: Governance/Risk and compliance and AML.
• Preferably experience in a Law Firm on the subject matter.
• Experience in coordinating initiatives for obtaining assurances, including process control design.
• Experience in creating, implementing, maintaining, monitoring, and enforcing the Compliance Awareness Program.
• Experience in creating, implementing, maintaining, monitoring, and enforcing Risk assessment programs.
• Familiarity with international and local regulatory (GDPR, etc.) requirement, as well as MALs.
• Understands the basic tenants of enterprise risk and compliance management (threat management, vulnerability management, and risk and compliance treatment).
• Excellent English skills (both oral and written communication).
• Evidence of problem solving, management by objectives, preciseness and good judgment.
• High interpersonal skills.
• Excellent team spirit and ability to work with remote teams across multiple locations

Qualifications: BA in Criminal Justice with 2 years of Experience

• High level of integrity with character consistent with Ericsson values of respect, professionalism, and perseverance, must be empathetic and willing to listen.
• Excellent communication skills (including the ability to handle executive level internal and external contacts, including government authorities and regulators)
• Proficient in English, and Portuguese and/or Spanish.
• Some years of working experience in compliance, legal or other relevant field (finance, audit) or at a recognized international third-party service provider
• Experience with monitorship
• International experience and cultural awareness.
• Independent, goal-oriented and systematic way of working.
• Knowledge of governmental regulations and laws associated with banking.
• General knowledge and understanding of bank deposit operations, lending activities, and other related consumer banking and compliance functions.
• Strong interpersonal, and organizational skills.
• Rigorous, well-organised with a structured and logical approach.

Qualifications: BA in Economics with 5 years of Experience

• Have worked and gained experience in a legal, regulatory, compliance or administration environment. Knowledge of motor industry regulation will be an advantage.
• Have experience of project management, well organised and pragmatic.
• Self-confident and able to synthesise information efficiently
• Ability to work on own initiative.
• Strong interpersonal and customer service skills, with the ability to influence.
• Experience in a financial service organization.
• Up to date knowledge of local and international compliance regulations.
• Fluency in both written and spoken Japanese and English.
• Experience working in small teams.
• Knowledge and preferably some experience of operational regulatory requirements applicable to the NL market
• Able to identify, establish, maintain, monitor and analyze changes in the regulatory universe, able to come up with clear actions for the business

Qualifications: BA in Political Science with 5 years of Experience

• Experience in Compliance, ideally in the pharmaceutical industry
• Strong communication and presentation skills
• Well-organized and highly adaptable to changing priorities
• Team player who can also work independently
• Impressive organisational skills and ability to handle multiple tasks in a rapidly changing environment.
• Ability to work independently and prioritise tasks.
• Brilliant communication skills - both written and verbal.
• Exceptional social skills to liaise with a range of internal and external partners.
• Natural leadership ability to motivate and inspire a diverse team.
• Strong decision making, analytical and investigative abilities with attention to detail and accuracy.
• Display irreproachable integrity, confidentiality and objectivity.

Qualifications: BA in Ethics with 7 years of Experience

• Extensive knowledge & experience with compliance and risk & control programmes and processes
• Demonstrated effective risk management, process improvement, and/or project management skills
• Able to communicate at a senior level
• Project management skills to drive multiple initiatives across multiple departments simultaneously
• Track record in providing high degree of self-reliance, accountability, and value-added consultation/support to senior business managers and other support functions
• Strong interpersonal skills with the ability to influence individuals at all levels of the organisation to work in accordance with company expectations
• Ability to work effectively and sensitively in a highly matrixed organisation
• Maintain a high degree of credibility, independence, integrity, confidentiality and trust especially around sensitive compliance issues
• Superior listening skills, analytical ability to diagnose problems, resolve conflict and develop practical solutions
• Strong project management skills.
• Proficiency in MS Office (Word and Excel) and Outlook, preferable to have knowledge of and experience using AML software models.

Qualifications: BA in Risk Management with 5 years of Experience

• Experience in a law firm with experience supporting emerging or high-growth companies in general corporate and commercial work. 
• Prior experience working in-house will be an advantage. 
• Prior experience managing or supporting international/cross-border commercial projects and/or working with investment funds
• Bilingual fluent in English and Vietnamese
• Action-oriented and able to independently handle multiple, competing tasks, with strong delivery focus. 
• Proactive and able to independently move initiatives forward.
• Strong stakeholder management skills
• Ability to communicate confidently, clearly, and succinctly, coordinate multiple parties, and manage competing interests.
• Thrives in a fast-paced, often chaotic environment.
• Passionate about early-stage tech and venture capital.

Qualifications: BA in Public Administration with 5 years of Experience