Job Summary: 

• Ensuring sound and effective internal controls are in place across F&A processes
• Coordination of Internal and External Audit visits and monitoring post audit results
• Remediation of identified controls deficiencies and/or framework gaps
• Participation in risk / fraud assessments for the selected processes
• Supporting process improvements initiatives to simplify tasks and increase productivity
• Performance of independent control testing on Client existing control framework
• Ensures business is conducted in compliance with relevant laws, rules and regulations, identifies and analyses business risks
• Prepares, reviews and maintains Compliance and Risk Management policies and regulatory procedures up-to-date
• Act as the main point of contact of Luxembourg’s Financial Investigation Unit (“FIU”), identify and report any non-compliance or suspicious activity, in accordance with anti-money laundering legislation and regulations in a timely manner
• Perform level of controls on compliance matters, such as transaction monitoring, client acceptance files, onboarding of Fund investors
• Promotes the Compliance Department throughout the region, including ownership of compliance obligations, establishing and maintaining a compliance framework, evaluating compliance requirements, providing compliance training
• Plays an active role in the maintenance and continuous improvement of the compliance governance framework
• Prepares reports for the Regulatory Authorities, the Board of Directors and the Management team
• Remains updated on developments and changes concerning relevant regulatory and money laundering laws and regulations

Skills on Resume:

• Internal Controls Management (Hard Skills)
• Audit Coordination (Hard Skills)
• Risk Assessment (Hard Skills)
• Process Improvement (Hard Skills)
• Compliance Testing (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Stakeholder Communication (Soft Skills)
• Compliance Training (Hard Skills)

Job Summary: 

• Discusses the advantages of formal apprentice training programs in the skilled trades and expansion industries with representatives of management and with labor in the public and private sectors, civic, veterans, schools and legislative groups
• Promote the establishment, expansion and use of apprentice training programs, in collaboration with other Division of Apprentice Standards staff.
• Explains and/or clarifies apprentice training rules, regulations, procedures, policies and responsibility to technical, professional, educational and other training personnel in businesses and labor organizations and provides information on apprentice training needs for specific industries.
• Explains details of apprentice training programs and the obligations of the participants to both sponsor and apprentices. 
• Explains the record keeping requirements to employers and reviews completed documentation.
• Visits facilities at which apprentice training programs are in place or are proposed to be established to ensure compliance with regulations governing matters such as hours, types of work, training, wages, standards and attendance.
• Prepares reports, letters, and memoranda to obtain and/or disseminate information or to respond to inquiries regarding apprentice and pre-apprentice training programs.
• Obtains evidence and establishes facts by interviewing individuals and conducting on-site visits to determine the extent of non-compliance and prepare information for appropriate action.
• Performs related work such as reviewing professional literature, attending meetings, conferences and workshops, data entry, data review, and maintaining and updating records.
• Conducts administrative tasks, as necessary, to fully review and validate all form requests submitted to the Division of Apprenticeship Standards.
• Assists Compliance Unit with development of procedures and coordinates scheduling and implementation of monitoring and desk audit functions required by Unit.
• Keep in regular contact with both the Complaints Management team and Compliance colleagues providing advice and guidance on complex customer complaints and policy and legal issues, some of which will require appropriate legal advice.
• Work with the Financial Crime and the Data Protection teams to ensure that guidance to the business is timely and appropriate with respect to terms and conditions and product brochures and other customer communications (paper and digital).

Skills on Resume:

• Program Promotion (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Policy Explanation (Hard Skills)
• Documentation Review (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Reporting and Correspondence (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Interdisciplinary Collaboration (Soft Skills)

Job Summary: 

• Responsible for the development and maintenance of the fair lending policy and program, and any other regulatory compliance responsibilities that may arise.
• Preserves orderly And detailed work papers, assist management with the determination of the Cause of violations or exceptions, recommends corrective action, and drafts reports of compliance findings to senior management.
• Conducts investigations with the business line and other staff stemming from system generated and/or external requests, analyze and investigate significant case escalations
• Identify causes of unreal overdue.
• Trace receivable Report and verify it.
• Investigate Reconciling items and make sure entries should be fully documented
• Test invoices listed in receivable report
• Assess the Allowance for doubtful accounts and a determination of whether the method is appropriate for business environment
• Assess bad debt write-offs and review credit memos.
• Confirm recorded Receivable balances are inaccurate.
• Determine reasons for not being possible to collect accounts receivable
• Confirm the allowance for doubtful accounts which may not reflect bad debt experience.
• Confirm That Sales transactions are processed & settled in the correct periods, against correct accounts
• Work cooperatively with other Department or BU’s
• Delivers support and monitoring of various regulations

Skills on Resume:

• Policy Development (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Investigative Analysis (Hard Skills)
• Financial Reporting Verification (Hard Skills)
• Debt Management (Hard Skills)
• Collaborative Problem Solving (Soft Skills)
• Regulatory Advisory (Hard Skills)
• Interdepartmental Coordination (Soft Skills)

Job Summary: 

• Liaise with other departmental heads to ensure That all business operations are in line with business policies.
• Monitoring and evaluating various lines of business and cross functional activities performed across similar areas.
• Ensure compliance risk requirements and processes Comply with the regulatory requirements, policies and program requirements and the business activities.
• Determines potential risk areas and conducts periodic file reviews in accordance with Internal Departments
• Evaluates and analyzes information uncovered during investigations and creates a Suspicious Activity.
• Assist in the process of providing customer and coworker support to collect delinquent accounts and to provide support to collection team.
• Determining appropriate customer support and collection activities by contacting customers and negotiating payment plans and settlement actions.
• Create, modify, update, and implement the company’s policies for all contract terms with the customer
• Act as a subject matter expert for the organisation's payment services client accounts.
• Review Financial Promotions and marketing material and ensure the appropriate legislative and regulatory rules are met.
• Responsible for the process to ensure that responses to FOI requests are issued within regulatory deadlines.
• Assist to handle enquiries from regulatory authorities and internal audit
• Prepare and deliver compliance trainings to the front office
• Assist senior members of Compliance team with ad-hoc compliance issues.

Skills on Resume:

• Policy Development (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Risk Assessment (Hard Skills)
• Contract Management (Hard Skills)
• Negotiation Skills (Soft Skills)
• Stakeholder Engagement (Soft Skills)
• Training Delivery (Hard Skills)
• Regulatory Liaison (Hard Skills)

Job Summary: 

• Identifying and agreeing the prioritisation of work initiatives with the IG Lead/DPO.
• Provide advice and guidance to operational leads and support the Trusts Data Protection Impact Assessment programme.
• Support the IG Lead/DPO to ensure a managed and co-ordinated approach to the implementation of all IG and Data Security & Protection Toolkit initiatives across the organisation and key partners.
• Attendance at key meetings both internally and externally.
• Support and promote best practice to ensure compliance with legislation and Trusts responsibilities.
• Implement and monitor improvement initiatives and ensure any new processing is fully integrated into core business functions.
• Develop and contribute to policies, procedures and training programmes.
• Prepare reports and updates against the workplan and monitor actions plans following data breaches or the introduction of new processing activities.
• Incident management and trend analysis of all data security issues.
• Maintenance of evidence portfolio for Toolkit and dissemination of appropriate and practical information to staff.
• Undertaking trust wide compliance audits and data analysis and development of improvement plans + monitoring.
• Provide advice on corporate records management issues and contribute to new developments against data standards.
• Delivery and development of training and awareness programmes.
• Responsible for maintaining and contributing to a robust process for managing FOI.
• Line management of FOI and Support Officers role

Skills on Resume: 

• Data Protection Advising (Hard Skills)
• Policy Development (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Incident Management (Hard Skills)
• Data Analysis (Hard Skills)
• Training Program Development (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Team Leadership (Soft Skills)

Job Summary: 

• Managing the pre-employment checking process which includes obtaining all relevant checks in a timely manner for any candidates registering 
• Keep CRM up to date ensuring documents are always in date such as right to work, proof of address
• Looking after the DBS renewals for all of current workers ensuring these are completed every 12 months and update service every 3months
• Accountable for engaging each candidate during compliance process and actively work to minimise the risk of losing candidates during this time
• Pro-actively seek to mitigate any potential delays in processing candidates files and seek solutions
• Obtain candidates references, ensuring these come back by calling them
• Check candidates eligibility to work ensuring have all relevant documents, this includes printing and verifying documents
• Check the necessary registers such as SW England ensuring these are up to date
• Maintaining and updating compliance spreadsheets
• Processing DBS applications
• Involve in monitoring changes and development of relevant new laws, rules and regulations affecting APAC Global Trading Solutions
• Assist to roll out compliance plan, framework and controls for APAC Global Trading Solutions
• Collaborate with senior members of Compliance team to involve in products governance, including both retail and institutional products

Skills on Resume:

• Pre-Employment Screening (Hard Skills)
• CRM Management (Hard Skills)
• DBS Processing (Hard Skills)
• Candidate Engagement (Soft Skills)
• Problem Solving (Soft Skills)
• Document Verification (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Team Collaboration (Soft Skills)

Job Summary: 

• Responsible for the development, monitoring, and maintenance of APFC’s compliance program
• Maintains a thorough understanding of and is current on all applicable (State, Federal, International) regulatory frameworks, including filing and reporting requirements, and ensure APFC is incompliance.
• Maintains a thorough understanding of internal policies, investment management agreements and other counterparty agreements
• Partners with management for drafting policies, procedures, and ongoing documentation
• Works collaboratively to identify operational weaknesses in exiting procedures and communicates necessary corrections
• Conducts compliance reviews considering applicable statues, regulations, policies, and contracts and provides feedback to stakeholders
• Responsible to source the information/data, compile reports and execute the filing process for all regulatory filing requirements
• Escalates any compliance concerns to senior leadership for possible corrective action
• Assists with monitoring, tracking, and reporting changes to internal policy, state and federal laws and regulations
• Prepares compliance reports by collecting, analyzing, and summarizing information and produces accurate and reliable information for decision making
• Assess and record audits on applicants.
• Provide support to senior members of Compliance team to cover the businesses within APAC Global Trading Solutions
• Review sales and marketing materials from product and regulatory perspectives

Skills on Resume:

• Compliance Program Development (Hard Skills)
• Regulatory Frameworks Knowledge (Hard Skills)
• Policy Drafting (Hard Skills)
• Operational Analysis (Hard Skills)
• Compliance Review (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Decision Support Analysis (Hard Skills)

Job Summary: 

• Ensuring that all regulatory reporting/ auditing is being performed accurately and promptly
• Identifying, assessing, and mitigating the risks that the business is facing related to Regulatory Compliance, through proper Risk Register management
• Performing checks to ensure regulatory obligations are met
• Collaborating closely with key departments such as AML, RG, Fraud, and Data Privacy
• Delivering on the vision, mission, and strategies of the compliance department to ensure the business is compliant with all applicable regulations
• Being a point of reference for the business for a certain jurisdiction, dealing with a variety of internal stakeholders such as operations, marketing, country managers, and legal.
• Managing and overseeing the company’s website, verifying that product specifications and policies are consistent with the regulatory requirements for the jurisdiction, as well as compiling, maintaining, and submitting compliance reports
• Supervising and managing any change management procedures
• Having and maintaining a full knowledge base of the applicable legislation, regulations and technical documents
• Identifying and suggesting innovative solutions to regulatory compliance issues
• Assisting in preparation of future licenses where applicable
• Assist in the handling of consumer complaints.
• Answer telephone enquiries from customers and others and redirect calls 
• Provide general customer support regarding inspections and registrations.

Skills on Resume:

• Regulatory Reporting (Hard Skills)
• Risk Management (Hard Skills)
• Regulatory Compliance Checks (Hard Skills)
• Cross-Departmental Collaboration (Soft Skills)
• Stakeholder Engagement (Soft Skills)
• Website Compliance Management (Hard Skills)
• Change Management (Hard Skills)
• Customer Support (Soft Skills)

Job Summary: 

• Completion and submission of compliance applications
• Building strong relationships with contacts in government and regulatory bodies
• Reviewing current product line to ensure continued compliance
• Identifying and remedying any future compliance gaps if there’s a policy change
• Guidance with new projects to ensure all regulatory requirements are met
• Policy and SOPs creation
• Maintaining and serving as the key stakeholder for regulatory relationships management /resolution, including regulatory investigations and audits
• Liaise with the inspection administrators.
• Liaise with technicians to resolve cases swiftly and as efficiently 
• Collate and record evidence and liaise with inspection administrator.
• Continuously implement, review and update applicable policies in compliance frameworks in order to enable the business to anticipate business opportunities that may arise
• Establishing and maintaining effective compliance control systems, including monitoring, reviewing and reporting
• Providing timely advice to the organization on relevant changes in the regulatory environment and implement necessary changes
• Assist Management with various projects, ad-hoc issues and business opportunities
• Provide necessary training to staff members

Skills on Resume:

• Compliance Applications (Hard Skills)
• Relationship Management (Soft Skills)
• Compliance Review (Hard Skills)
• Policy Development (Hard Skills)
• Audit Coordination (Hard Skills)
• Regulatory Liaison (Hard Skills)
• Change Management (Soft Skills)
• Training Delivery (Hard Skills)

Job Summary: 

• Contribute to the development of a Compliance framework and culture
• Conduct activities to identify, assess, and mitigate compliance risks
• Implement the Compliance Monitoring Program
• Follow the new legislation and regulations in Ireland and adapt the existing procedures and policies and Compliance manual
• Provide support to the business lines and operations teams with explanations, recommendations, and training on functions
• Assist the MLRO in the ongoing monitoring of the delegated AML functions, AML
• Attendance at Industry Events/webinars to keep abreast of regulatory change impacting the AIFM and the Funds it manages.
• Assessing the risk of the customer base to contribute to a prioritised audit/assurance programme.
• Undertaking a full range of assurance activities from full systems audit (sometimes with trained auditors) to simpler desk checks.
• Supervising over operator compliance (outstanding returns, payments and debt) and ensuring action is taken to address non-compliance by issuing assessments and penalties 
• Providing support and expert legal based advice on APD operational and technical issues to external customers, operational and policy colleagues and other partner's 
• Contributing to discussions on policy changes including feasibility of options and implementation whilst providing clear guidance and advice.
• Contributing to projects and work collaboratively as part of a team including working with stakeholders as part of the centralisation and digitalisation of the regime and processes.

Skills on Resume: 

• Framework Development (Hard Skills)
• Risk Assessment (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Regulatory Adaptation (Hard Skills)
• Training Support (Hard Skills)
• Industry Engagement (Soft Skills)
• Collaborative Solving (Soft Skills)
• Policy Advisory (Soft Skills)

Job Summary: 

• Complete assigned Thematic Reviews and Control Tests in line with the Compliance Monitoring Programme
• Engage with the Compliance Advisory and Information Security Governance, Risk and Compliance teams to understand the regulatory scope of reviews
• Plan and evaluate the scope for Thematic Reviews and Control Tests
• Complete testing against FCA and GDPR regulations and internal policies and procedures
• Complete design and effectiveness testing of business Controls
• Engage with the business pre and post testing to verify findings and actions
• Write reports which includes a presentation of results, the rationale for findings and a reporting rating
• Track the businesses remedial actions through to completion
• Support the business by documenting Controls and Issues in the Integrated Risk Management (IRM) system
• Complete monthly QCA for the first line of defence
• Send remediation forms to provide feedback to the first line of defence
• Track remediation forms through to completion
• Attend monthly calibration sessions with the first line of defence
• Support the completion of MI and Reporting for the Compliance Monitoring and Assurance Manager

Skills on Resume:

• Compliance Monitoring (Hard Skills)
• Regulatory Testing (Hard Skills)
• Report Writing (Hard Skills)
• Risk Management System Documentation (Hard Skills)
• Quality Control Analysis (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Communication (Soft Skills)
• Project Management (Soft Skills)

Job Summary: 

• Design and implementation of policies within Oyster to enable compliance by Oyster with applicable regulations and norms in the financial sector.
• Measure the risk of being in non-compliance, avoid fines, and carry out the compliance program.
• Counsel in the design of new products and services from a compliance perspective.
• On -Charge of Regulatory reports to CNBV, Condusef, and Banxico.
• Review of advertising material from a compliance perspective.
• Complete High Risk Monitoring requests submitted by the business
• Assist the Compliance Monitoring and Assurance Manager in keeping standards and templates up to date
• Complete projects to support the Compliance Department
• Act as a center of expertise and serve as a trusted advisor on the improvement of compliance and governance within Basic-Fit. 
• Provide advice and guidance to the business on a broad range of compliance related topics in order to facilitate the business to be compliant with laws, regulations, and policies and stay on top of regulatory trends and developments as well as emerging risks.
• Identify legal compliance risks within the organization, guide and review compliance assessments and support informed decision making by the General Counsel, Risk Manager, Management Team and Directors
• Provide training and awareness on Compliance to the first line of defense and support and facilitate the first line in complying with the Compliance policies and procedures
• Coordinate and facilitate compliance assessments and monitor the implementation of the findings, such as assessments on integrity, fraud, corruption, health & safety, procurement and ESG

Skills on Resume:

• Policy Design and Implementation (Hard Skills)
• Risk Assessment (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Training Development (Hard Skills)
• Advisory Skills (Hard Skills)
• Strategic Planning (Soft Skills)
• Stakeholder Engagement (Soft Skills)

Job Summary: 

• Reviewing all the existing and new laws regarding AML/CFT issues by FCA/HMRC and ensuring these are being adopted by the company.
• Making sure appropriate due diligence is carried out on customers and business partners.
• Receiving Suspicious Activity Reports to decide if the SAR should be passed on to the National Crime Agency (NCA).
• Monitoring Business Relationships, recording reviews, and decisions taken about continuing or terminating trading activity with particular customers and monitoring the activity levels of the business itself.
• Update existing AML manual according to law, if applicable, and sending to Group Compliance Officer for approval.
• All other AML/CFT related works.
• Assist with appropriate licensing.
• oversee control systems to prevent or deal with violations of legal guidelines and internal policies.
• Assisting Group Compliance Officer with evaluating the efficiency of controls and improve them continuously, specifically with regards to AML/KYC control measures.
• Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues, specifically with regards to AML/KYC control measures.
• Assisting Group Compliance Officer (based in South Africa) to assess the business’s future ventures to identify possible compliance risks.
• Strengthen the compliance infrastructure within the Mama Money business to ensure the business makes informed risk-based decisions regarding new opportunities, markets, local initiatives, and product and service offerings and that appropriate compliance processes and controls are developed, documented, and implemented.
• Review the work of colleagues when necessary to identify compliance issues and provide advice or training.

Skills on Resume: 

• AML/CFT Compliance (Hard Skills)
• Due Diligence Execution (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Policy and Manual Updating (Hard Skills)
• Risk Management (Hard Skills)
• Collaborative Problem Solving (Soft Skills)
• Training and Development (Soft Skills)
• Strategic Decision-Making (Soft Skills)

Job Summary: 

• Working with stakeholders to establish a good compliance culture
• Providing regulatory advice and developing the Business Unit’s understanding of regulatory risk
• Identifying commercially viable solutions to the application of regulatory requirements
• Communicating regulatory change and establishing control frameworks
• Proving regulatory SME support to projects and change initiatives
• Addressing findings from compliance monitoring reviews
• Preparing Executive and Board level presentations
• Overseeing the Business Units key regulatory risks
• Responding to the Business Units day to day regulatory queries
• Co-Coordinating and submitting key regulatory returns
• Supporting the wider compliance team (e.g. weekly sanctions screening)
• Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
• Preparing reports for the Group Compliance Officer and external regulatory bodies 
• Assisting the Group Compliance Officer to manage and implement the company’s compliance training manual, specifically with regard to AML/KYC control measures.

Skills on Resume: 

• Regulatory Advisory (Hard Skills)
• Risk Management (Hard Skills)
• Change Management (Hard Skills)
• Presentation Preparation (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Communication (Soft Skills)
• Leadership (Soft Skills)
• Team Support and Collaboration (Soft Skills)

Job Summary: 

• Performs compliance evaluations and monitoring at Branch Offices and facilitates the execution of audit procedures in accordance with the approved audit program
• Division policies and procedures, prepares working papers that document the audit procedures performed, information obtained and the conclusions reached. 
• Assists in business unit’s compliance with all regulatory requirements and Bank policies and procedures, including those related to Anti-Money Laundering laws and regulations, Bank Secrecy Act and USA PATRIOT Act, as applicable.
• Completes Branch review fieldwork within schedule time
• Identifies major internal control weaknesses and value added recommendations related to inefficient and ineffective procedures
• Clearly documents all audit findings and communicates audit findings to auditee
• Informs Retail Delivery Channel Compliance and Operational Risk Manager of the status of the audit. Works effectively with auditee and other members of the audit team.
• Provides regulatory compliance training for bank personnel/branches/departments. 
• Training includes basic regulatory training, as well as department/branch specific periodic training.
• Conducts periodic (daily, monthly, quarterly) report review and/or reporting for Branch Division’s deposit account activity to ensure compliance with various regulatory requirements, i.e., CIP (Customer Information Program), adverse action notice requirements, overdraft protection services, etc. and operational risk, i.e. uncollected funds reporting for Retail and Business Banking.
• Provides recommendations and guidance to Lines of Business and Administrative units to ensure new and existing compliance and operating policies and procedures are executable by the sales and service force and maintains a high quality branch experience for customers. 
• Assists these departments in conducting compliance monitoring and in preparation for compliance audits and regulatory examinations.
• Obtains and maintains proficient knowledge of consumer laws and regulations, specifically, all laws and regulations relating to retail deposit products. 
• Obtains and maintains knowledge of bank services, policies and procedures.

Skills on Resume:

• Audit Procedure Execution (Hard Skills)
• Regulatory Compliance (Hard Skills)
• AML and Compliance Training (Hard Skills)
• Report Analysis (Hard Skills)
• Communication of Audit Findings (Hard Skills)
• Recommendation Development (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Adaptability and Knowledge Acquisition (Soft Skills)

Job Summary: 

• Utilize vendor surveillance tools and internal systems to research alerts generated across different asset classes
• Analyze large amounts of trading data
• Help develop and maintain effective trade surveillance program
• Interact with the personnel at all levels of the Firm’s various business units to satisfy day-to-day assignments as well as ad-hoc projects
• Support process, system, and data dependent elements of the Code of Ethics program
• Developing, implementing, and overseeing the businesses quality, governance and risk management framework
• Ensuring that policies and procedures deliver against the expectations of clients and ensure remain compliant with regulators
• Develop and manage team training across the business Challenge and audit procedures to ensure that are providing correct and proper customer outcomes which meet regulatory requirements
• Work alongside both sales and operational teams on both live clients and new business opportunities
• Lead the business through ISO 9001/2008 & 27001 accreditations (commencing Q4 2020)
• Supporting the business with managing day-to-day compliance risks or issues and assist with translating business needs for compliance and governance into specific initiatives and projects
• Encourage the integrity of business operations, management and employees of Basic-Fit in work and relationship with each other and with third parties.

Skills on Resume:

• Data Analysis (Hard Skills)
• Trade Surveillance (Hard Skills)
• Risk Management Framework Development (Hard Skills)
• Policy and Procedure Development (Hard Skills)
• Training Program Management (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Leadership (Soft Skills)
• Project Management (Soft Skills)

Job Summary: 

• Responsible for monitoring the activities in a specific product line of asset management products managed by Invesco Ltd. to ensure adherence to the regulatory requirements and to internal restrictions. 
• Assist in developing and implementing a written BSA AML OFAC Compliance Program including risk assessment and policies meeting the regulatory requirements and industry best practices.
• Develop, implement, and maintain BSA/AML/OFAC procedures and system of internal controls.
• Coordinate and maintain day to day BSA/AML/OFAC Compliance Program responsibilities including but not limited to regulatory reporting and recordkeeping.
• Assist in developing, implementing and maintaining BSA/AML/OFAC transaction monitoring system to identify suspicious and fraudulent activity.
• Performing initial and ongoing BSA/AML/OFAC training of all employees on regulatory requirements and internal policies, procedures, and system controls. 
• Documenting and retaining attendance records and training materials.
• Monitoring, reviewing, and documenting testing of effectiveness of the policies, procedures, and training to ensure that regulatory obligations are met.
• Liaising with federal and state regulatory organizations.
• Coordinating responses to regulatory examinations and audits and actions taken to insure deficiencies are corrected.
• Performing analysis of BSA related data to draw conclusions and assess the level of compliance, implementing corrective actions, and reporting on a regular basis to the senior management.
• Staying abreast of and analyze changes to applicable laws and regulations and incorporate timely updates to eMoola’s policies and procedures.

Skills on Resume:

• Regulatory Compliance Monitoring (Hard Skills)
• Program Development and Implementation (Hard Skills)
• Risk Assessment (Hard Skills)
• AML/OFAC Training (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Stakeholder Liaison (Soft Skills)
• Analytical Thinking (Soft Skills)
• Change Management (Soft Skills)

Job Summary: 

• Lead, motivate and develop the Compliance team, taking into consideration each employee’s ability and knowledge to achieve agreed contributions, and manage the team in terms of administrative tasks.
• Compliance risk assessments, performance monitoring and reporting
• Support the local management in assuming and executing its responsibility to implement and maintain an effective Compliance program at the unit level.
• Compliance and Integrity awareness at the unit level.
• Obtaining support and collaboration from management and all employees
• Effective unit governance structures and procedures for compliance and integrity oversight and management.
• Implementation and maintenance of clear standards of business and ethical conduct.
• Implementation of risk based control procedures.
• Ongoing, effective communications and training on compliance requirements, e.g. for internal stakeholders, external business partners.
• Performing client opening and KYC due diligence procedures
• Documentation of relationships, regular reviews, and update of client documentation
• Support in regard to the implementation of KYC/AML policies and new regulations (AMLO-FINMA, CDB 20, FINSA/FINIA)
• Assistance with compliance reviews and reporting
• Compilation and preparation of the necessary documentation for internal and external audit examinations

Skills on Resume:

• Team Leadership (Soft Skills)
• Compliance Risk Assessment (Hard Skills)
• Performance Monitoring (Hard Skills)
• Program Implementation (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Training Development (Hard Skills)
• KYC and Due Diligence Procedures (Hard Skills)
• Audit Preparation (Hard Skills)

Job Summary: 

• Working together with the relevant internal and external stakeholders to ensure Bluegreen Energy activities are compliant with the applicable regulatory regimes, including overseeing the implementation of regulatory changes
• Working with Executives, Directors, Senior Managers and operations staff to help understand regulatory demands, work with to address these in a collaborative and pragmatic way and overseeing effective operation of compliance systems and controls
• Become a ‘trusted advisor’ of the business, engaging with them early on to provide advice on the development of new products and services or significant changes to business processes
• Ensure business areas have comprehensive regulatory knowledge to understand the impact of rules and regulations, including delivery of approved training
• Contribute to the development of compliance policies
• Provide legal/regulatory/compliance advice to the business on projects, providing tailored solutions to legal and regulatory issues
• Monitoring compliance obligations and diligently reporting to stakeholders such as local regulators and other authorities and being the contact person of bluegreen energy for regulators, ombudsman, and other relevant energy (governmental) bodies.
• Prepare, develop and maintain relevant risk analysis including risk-based derivation of respective control measures
• Prepare reports on the control measures and controls
• Ensure application of Know-Customer principles and quality assurance of related files
• Provide Compliance and Conduct Advisory to the business and all other areas as well as to Senior Management
• Monitor regulatory and legal requirements as well as market practices and ensure regulatory and legal compliance of Fondcenter with applicable laws and regulations
• Ensure Compliance with applicable policies and procedures

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Development (Hard Skills)
• Risk Analysis and Management (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Regulatory Advisory (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Training and Development (Soft Skills)
• Leadership (Soft Skills)

Job Summary: 

• Reporting directly to the Legal & Complaince Director (LCD), responsible for assisting in the development of the new Joint Ventures Compliance Framework. 
• Provide Compliance support and regulatory advice / guidance to the business and be an ambassador for “positive FCA compliance”. 
• Maintaining up-to-date awareness of all relevant legislation and market best practices and acting in order to continually refine business policies and processes, and act as internal ‘technical compliance expert’ within the organisation.
• Assist LCD in developing an annual activity plan outlining timings and high-level deliverables and deliver the plan in line with the prescribed timings.
• Supporting the LCD with Regulatory reporting responsibilities.
• Undertake reviews in accordance with the agreed compliance plan, assessing the effectiveness of key conduct risks and regulatory control processes 
• Assess delivery of intended business and regulatory outcomes, including adherence to regulatory and company standards
• Provide compliance support with respect to any initiatives or development of new products or distribution channels.
• Contract and template management across Leonteq’s markets
• Support in other core compliance tasks, including daily interaction with the front office
• Define and maintain the 2nd Line of Defense Compliance Control plan
• Supervise and perform controls as a 2nd Line of Defense on activities carried out by the business areas

Skills on Resume:

• Compliance Framework Development (Hard Skills)
• Regulatory Advisory (Hard Skills)
• Policy Refinement (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Risk Assessment (Hard Skills)
• Project Management (Soft Skills)
• Stakeholder Engagement (Soft Skills)
• Leadership (Soft Skills)

Job Summary: 

• Handling of all legal compliance cases within Octapharma AG
• Support the Chief Compliance Officer in organizational and administrative compliance issues
• Coordination of legal compliance training program within the Octapharma Group
• KYC screening of business partners
• Advice in pharmaceutical advertising regulations
• Responsibility for LCM (contract management system): System admin, user trainings, quality control, keeping the user manual and other documentation up to date, first point of contact for system users
• Support the legal department in administrative tasks
• Define and lead Mos' regulatory and compliance practice for banking services.
• Work cross-functionally to identify regulatory and compliance risks and define risk mitigation strategies.
• Develop and maintain compliance & security documentation, policies, guidelines, frameworks, standards, and procedures.
• Communicate policies and procedures to relevant stakeholders both within and external to Mos.
• Manage day-to-day regulatory and compliance operations.
• Monitor and review updates to industry regulations and frameworks as relevant to Mos' products and business practices.

Skills on Resume:

• Legal Compliance (Hard Skills)
• Training Program Coordination (Hard Skills)
• KYC Screening (Hard Skills)
• Contract Management (Hard Skills)
• Policy Development (Hard Skills)
• Cross-functional Collaboration (Soft Skills)
• Communication (Soft Skills)
• Leadership (Soft Skills)

Job Summary: 

• Responsible for the MGA Jurisdiction
• Keeps abreast of the industry and regulatory frameworks
• Conduct a full gap analysis of the MGA framework and to be able to disseminate throughout the organization
• Responsible for developing policies and procedures
• A keen eye to reviewing site content to ensure adherence with advertising codes, advertising standards requirements, and general good marketing conduct
• Review, manage and resolve customer complaints from regulatory bodies and dispute resolution bodies
• Supporting the company to develop and implement compliance controls with regards to applicable internal and external rules, regulations, company policies, and standards, as well as developing such policies and standards
• Provide effective compliance advice, support, and internal training across the business on different aspects
• Suggesting improvements on sites, products, policies, and procedures
• Providing reports to management on a regular basis to keep the company informed of the operation and progress of compliance efforts
• Monitoring and reporting risks and compliance gaps with respect to internal and external regulations
• Working in areas such as AML, CTF, Gaming License and Legislation, ODR, PCI DSS, Advertising, Data Protection, etc
• Follow up on MAS policies and guidelines, implement and update internal process and policy accordingly
• Understand regulatory requirements and meet all submissions and filing deadlines.

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Development (Hard Skills)
• Gap Analysis (Hard Skills)
• Complaint Management (Hard Skills)
• Training and Development (Hard Skills)
• Analytical Thinking (Soft Skills)
• Communication (Soft Skills)
• Problem Solving (Soft Skills)

Job Summary: 

• Work closely with Group 2LoD to understand the regulatory requirements, evolving risk landscape and manage local office activity.
• Ensure the establishment and maintenance of effective systems and controls in relation to legal / regulatory requirements and risk, specifically around Treating Customers Fairly (TCF), Training and Competency as per Group Policies and Procedures
• Understand the impact changes in regulation will have on the business as per 2LoD guidance and advise and coordinate the business regulated entities on changes that need to be implemented
• Working with the business to support the delivery of new products
• Ensure appropriate maintenance of the FCA Register in relation to all Business Units where not undertaken at Group level.
• Working with the Training team to ensure Training & Competence schemes enable adherence to regulation
• Oversee the complaints process, providing complaint handling guidance to business leaders and complaint handlers, including quality assessment of complaint files, root cause analysis (RCA) and appropriate follow up.
• Define and analyse TCF MI in conjunction with the business and 2LoD driving forward business improvements to deliver fair customer outcomes
• Identify and deliver compliance deep dives on local business activity working with the business to close gaps
• Own or support where appropriate delivery of actions on the back of Insurer Audits and/or compliance reviews
• Oversee and ensure accuracy, liaising with Group Compliance, of Regulatory submissions - e.g. CMA, RMAR
• Undertaking appropriate first-line review of asset changes across the division.
• Develop, with support from broking and underwriting teams, a suitable operational and technical QA process that can be adopted across the division
• Undertake Line 1 operational quality monitoring reviews throughout the division reporting findings to all stakeholders

Skills on Resume: 

• Regulatory Compliance (Hard Skills)
• Risk Management (Hard Skills)
• Policy Development (Hard Skills)
• Training Design and Implementation (Hard Skills)
• Quality Assurance (Hard Skills)
• Analytical Thinking (Soft Skills)
• Stakeholder Communication (Soft Skills)
• Leadership (Soft Skills)

Job Summary: 

• Identify all regulations or standards that affect the organization, both national and sectoral, or the own ethical codes of the organization.
• Identify the situations that may generate ML /TF risk in the operations carried out by the entity.
• Integration of the processes and procedures of the organization with the pertinent regulations.
• Prepare and develop the processes and procedures through which the approved policies to prevent ML/TF risk will be put into practice
• Participate in the design and development of training programs on ML / TF risk and ensure compliance.
• Responsible for the implementation of the controls that are necessary for the identification of risks and incidents with regard to legal compliance.
• Complaints and claims system, considering the risks associated with customers.
• Regular reports and meetings with process managers.
• Compliance indicators in order to control the preventive system and the measures implemented for it.
• Monitoring the efficiency and effectiveness of policies, established procedures and controls.
• Ensure the proper archive of documentary supports and other information related to the ML / TF risk of the entity
• Propose to the Management Board the necessary adjustments or modifications to the policies to prevent the risk of ML / TF.
• Serve as a liaison between regulators and the company.

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Risk Management (Hard Skills)
• Process Integration (Hard Skills)
• Policy Development (Hard Skills)
• Training Design and Implementation (Hard Skills)
• Incident Management (Hard Skills)
• Reporting (Hard Skills)
• Stakeholder Communication (Soft Skills)

Job Summary: 

• Provide compliance advice to business personnel, with regard to the rules, regulation and internal policies that govern the Van Lanschot Kempen private clients related investment activities
• Provide advice on other regulatory and policy matters, including new products, services and business initiatives
• Participate in the continuous development of the policy framework for the coverage areas, with a special attention to product governance, suitability and disclosures
• Participate in the compliance risk assessment for the coverage areas
• Perform compliance reviews, monitoring and investigations as needed for the coverage areas, in cooperation with the monitoring team
• Pro-actively participate in the continuous development of the group-wide compliance program
• Assist with responses to regulatory enquiries
• Assist in the development of policies and procedures
• Assist with the compliance reporting to the business on all related Compliance topics
• Enhance level of conduct within the coverage areas
• Stimulate organizational change and understand the importance of new technologies.
• In conjunction with the Group Conduct Officer ensure that any compliance monitoring or audit findings are implemented by business areas and central monitoring systems updated
• Oversee and monitor breach logging, further to QA findings, undertaking appropriate root cause analysis and engaging with the business to ensure delivery of improvements

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Development (Hard Skills)
• Risk Assessment (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Advisory Skills (Hard Skills)
• Analytical Thinking (Soft Skills)
• Change Management (Soft Skills)
• Stakeholder Engagement (Soft Skills)

Job Summary: 

• Collaborating across both Group and divisional Compliance and Regulatory teams to develop / maintain policies and procedures, and investigation and monitoring of incidents and breaches.
• Providing information, advice and support on compliance policy and issues to ensure internal stakeholders are up-to-date and are aware of key issues. 
• Group communications and training to support understanding and adherence to Compliance policies and understanding of emerging areas of compliance risk.
• Supporting the Head of Group Compliance and the wider Group Compliance team.
• Reviewing and where applicable enhancing the swap trading framework of the firm’s existing compliance monitoring programme
• Advising on and supporting the implementation process of compliance requirements
• Support the implementation of current and new trading rules & regulations
• Identifying potential areas of compliance concern in order to develop policies, procedures, and compliance monitoring for the given area
• Audit and review existing monitoring systems and controls
• Issue memos and conduct trainings on new or changed rules and acceptable business practices.
• Identify themes / learning outcomes following quality monitoring reviews and assist business areas by providing root cause analysis and training to staff
• Work with the CEO, COO and / or Group Conduct Officer to review internal processes and procedures to ensure compliance with FCA regulations and company procedural standards
• Act as the point person in the coordination of Coverholder Audits

Skills on Resume:

• Policy Development (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Regulatory Advisory (Hard Skills)
• Incident Investigation (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Training and Development (Soft Skills)
• Analytical Thinking (Soft Skills)
• Leadership (Soft Skills)

Job Summary: 

• Supporting the compliance team with management, execution and coordination of projects
• Maintaining compliance relating to external communication
• Establishing policies and guidelines
• Reviewing safety and compliance programs
• Composing and delivering reports
• Creating a Compliance Framework & Annual Compliance Plan & delivering it
• Monitoring the business on compliance standards
• Ensure that the broker keeps on top of regulatory updates
• Training the business on compliance
• Advising the business on FCA, PRA & ICO regulations
• Leading regulatory projects and regulatory reporting
• Creating a positive and proactive compliance culture within the business
• Conduct compliance related trainings periodically for all employees
• Evaluate efficiency of internal control, procedure and process and keep them current and updated

Skills on Resume:

• Project Management (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Policy Development (Hard Skills)
• Risk Assessment (Hard Skills)
• Report Writing (Hard Skills)
• Training and Development (Soft Skills)
• Leadership (Soft Skills)
• Communication (Soft Skills)